IIROC staff oversee the application process for IIROC-regulated investment dealers and their registered/approved individual staff. We require that all partners, directors and officers of IIROC Dealer Members and all Dealer Member staff who conduct or supervise regulated activities meet regulatory requirements. These requirements pertain to proficiency, integrity, experience, conflicts of interest and client service as required under IIROC rules and applicable Securities Acts and regulations.
IIROC also oversees a membership process for Canadian marketplaces. Any marketplace that retains IIROC as its regulation services provider to regulate equity trading activity will become a Marketplace Member. All firms operating as Alternative Trading Systems must become Dealer Members, in addition to being Marketplace Members.
For information about the qualification standards and approval and registration categories for individuals, please see the
Guide to IIROC Categories.
The Registration department grants provincial registration under securities legislation to investment dealers in British Columbia, Alberta, Saskatchewan, Ontario, Quebec, New Brunswick and Newfoundland and Labrador. To find out more about becoming IIROC registration or membership, please choose one of the following categories: