Overview of IIROC’s Plain Language Rules Series


Continuing Education Credit

Compliance continuing education credit: 2.5

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Several years ago, IIROC started a project to rewrite, reformat, rationalize, and reorganize its Dealer Member Rules in plain language. The intent of the plain language rule project was to:

  • improve the understanding of our Dealer Member Rules by clearly stating the objective of each rule or set of rules and rewriting them in plain language,
  • focus our rules on core requirements by moving non-essential rule details to guidance and eliminating obsolete, duplicative, and unnecessary requirements,
  • improve the ability to find a particular rule by reorganizing, reordering, and renumbering our rules and by using summary index tables with links to specific provisions.

IIROC’s Member Regulation Policy team will host six webcasts and provide an overview of each of the IIROC Rules Series.

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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.

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