All firms and their registered representatives that are in the business of advising on or trading in securities in Canada must be members of IIROC and follow IIROC rules for business conduct, financial operations and trading practices.
IIROC oversees approximately 175 firms and their 30,000 registered representatives.
We refer to the firms that we regulate as IIROC Dealer Members.
For more information on suspended Dealer Members, read the related notices on:
For more information on Dealer Members subject to Terms and Conditions, please click on the following:
Terms and conditions listed on the IIROC Website are with regards to current terms and conditions imposed on a Dealer Member’s membership.
For information on any terms and conditions that may be imposed on a Dealer Member’s registration, please see the National Registration Search database provided by the Canadian Securities Administrators at CSA National Registration Search.
IIROC Dealer Members by Peer Group