Dealer Member Rules (repealed December 31, 2021)

The Dealer Member Rules form the base of IIROC’s requirements for Dealer Members, with additional requirements separately documented in IIROC’s Consolidated Enforcement, Examination and Approval Rules, and Continuing Education Rules.

On December 31, 2021, the IIROC Rules consolidated and replaced the Dealer Member Rules, the Consolidated Rules and the Continuing Education Rules. 

• Dealer Member Rule Book (pdf)
• Form 1 (Financial Report, pdf)
• Form 2 (New Client Application Form, pdf)

Notices and Bulletins

Consolidated Enforcement, Examination and Approval Rules (repealed December 31, 2021)

IIROC's Consolidated Enforcement, Examination and Approval Rules are a set of rules relating to:

• standards of conduct
• enforcement investigation
• enforcement proceedings
• hearing committees
• rules of practice and procedure
• compliance examination approvals 
• regulatory supervision
• regulatory review proceedings, and
• procedures for opportunity to be heard.

IIROC Consolidated Enforcement, Examination and Approval Rules (pdf)

Continuing Education Rules (repealed December 31, 2021)

The Continuing Education Rules are a set of rules relating to IIROC’s Continuing Education Program.

Rule 2650 – Continuing Education Requirements for Approved Persons (pdf)

For Supporting Resources, visit Continuing Education