IIROC's Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) are a consolidated set of rules relating to:
1000 Series – Definitions and Interpretation
Rule 1200 – Definitions
Rule 1400 – Standards of Conduct
8000 Series – Procedural Rules - Enforcement
Rule 8100 – Enforcement Investigations
Rule 8200 – Enforcement Proceedings
Rule 8300 – Hearing Committees
Rule 8400 – Rules of Practice and Procedure
9000 Series – Procedural Rules - Other
Rule 9100 – Compliance Examinations
Rule 9200 – Approvals and Regulatory Supervision
Rule 9300 – Regulatory Review Proceedings
Rule 9400 – Procedures for Opportunities to be Heard
Full text version of IIROC Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules)
Forms
Hearing Date Request Form
Pre Hearing Conference Form
Hearing Summons – Alberta
Hearing Summons – PEI
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