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 174 firms and their 32,000 registered representatives.
We refer to the firms that we regulate as IIROC Dealer Members.
For more information on Dealer Members subject to Terms and Conditions, please click on the following:
- SIG North Trading, ULC – the T&Cs were imposed on March 25, 2021
- Admiral Markets Canada Ltd. – the T&Cs were imposed on March 24, 2022
- Pollitt & Co. Inc. – the T&Cs were imposed on February 3, 2023
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
- Download the list of IIROC Dealer Members by Peer Group (pdf).
Dealers we regulate
| Organization Name | Address |
|---|---|
| ATB Capital Markets Inc. | #410, 585 - 8th Avenue SW 403-539-8600 www.atbcapitalmarkets.com |
| ATB Securities Inc. | 2100, 10020 100 Street NW 1-888-282-3863 www.atb.com |
| AURAY Capital Canada inc. | 600, rue de la Gauchetière Ouest 514-499-8440 www.auray.com |
| B2B Bank Securities Services Inc. | 199 Bay Street, Suite 610 416-964-0660 www.b2bbank.com |
| Barclays Capital Canada Inc. | Bay Adelaide Centre 416-863-8900 www.barclays.com |
| Beacon Securities Limited | 66 Wellington Street West 416-643-3830 www.beaconsecurities.ca |
| Bloom Burton Securities Inc. | 65 Front Street East 416-640-7580 www.bloomburton.com |
| Bloomberg Tradebook Canada Company | 161 Bay Street 416-365-7161 www.bloombergtradebook.com |
| BMO InvestorLine Inc. | 100 King Street West 888-776-6886 www.bmoinvestorline.com |
| BMO Nesbitt Burns Inc. | 100 King Street West 416-359-4000 www.bmonb.com |
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.