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)
Best Practices
IIROC Hearing Committee Best Practices for Electronic Proceedings
Forms
Hearing Date Request Form
Pre Hearing Conference Form
Hearing Summons – Alberta
Hearing Summons – PEI
Hearing Record Request Form
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