The IIROC Rule Book is made up of Dealer Member Rules; Universal Market Integrity Rules (UMIR); the Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules) and the Transition Rule.

Additional supporting resources such as various forms, regulatory documents and agreements are also included in the links below.

• Dealer Member Rules (DMR)

• IIROC Rules (effective June 1, 2020)

• Transition Rule

• Universal Market Integrity Rules (UMIR)

• Consolidated Enforcement, Examination and Approval Rules (Consolidated Rules)

• Continuing Education Rules

Dealer Member Rules

The Dealer Member Rules (DMR) contain IIROC rules relating to dealer regulation.

• Regulatory Documents
  
  
• List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
  
  
• Agreements
  
  
• Acceptable Institutions
  
  
• Form 1 (Financial Report)
  
  
• Form 2 (New Client Application Form)

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IIROC Rules (effective June 1, 2020)

• IIROC Rule Book

• Table of Concordance

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Transition Rule

• Transition Rule (as at September 1, 2016)
  
  
• Former Transition Rule
  
  

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Universal Market Integrity Rules (UMIR)

The Universal Market Integrity Rules (UMIR) contain IIROC rules relating to marketplace regulation.

• Circuit Breaker Levels
  
  
• List of Single Stock Circuit Breakers (SSCB)
  
  
• List of Highly Liquid Stocks
  
  
• List of Acceptable Foreign Trade Reporting Facilities
  
  
• List of Exempt ETFs
  
  
• List of Designated Indexes
  
  
• List of Protected and Unprotected Marketplaces
  
  
• April 2020-March 2021
  
  
• April 2019-March 2020
  
  
• April 2018-March 2019
  
  
• April 2017-March 2018
  
  
• July 2016-March 2017
  
  

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IIROC Consolidated Enforcement, Examination, and Approval Rules (Consolidated Rules)

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

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

• Hearing Date Request
  
  
• Motion Date Request
  
  
• Notice of Pre Hearing Conference
  
  
• Pre Hearing Conference Date Request
  
  
• Pre Hearing Conference Form
  
  
• Hearing Summons – Alberta
  
  
• Hearing Summons – PEI
  
  
• Regulatory Review Proceedings Request Form

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