IIROC Forms and Templates

For best results, please view and fill the forms in Adobe Reader.

Registration

• New Member Application Form - Corporations and Partnerships (pdf)
• Investor Application Form (pdf) - For investors holding 10% or more of an IIROC member firm
• Investor Notification Form (pdf) - For investors holding less than 10% of an IIROC member firm

Training & Proficiency

• 30 Day Training Certificate (pdf)
• 90 Day Training Certificate (pdf)

CE Course Accreditation

• IIROC Continuing Education Course Accreditation Application Form (pdf)

Supervision

• Close Supervision Report (pdf)
• Close Supervision Report for IRs (pdf)
• Strict Supervision Report (pdf)
• Supervision Report - Traders (pdf)
• Supervision Report - Six months (pdf)

Regulatory Reporting

• Reporting form for certain DEA and OEO clients and Advisers (excel) - effective July 26, 2021

“Regulated by IIROC” Logo

• Type 1
  • Download for use in print material such as financial statements (transparent background, EPS format)
    • colour
    • black and white
    • grey
    • white
  • For web (white background, JPG format, 300 dpi)
    • colour
    • black and white
    • grey
  • For web (transparent background, PNG format, 72 dpi)
    • colour
    • black and white
    • grey
    • white
• Type 2
  • Download for use in print material such as financial statements (EPS format)
    • colour
    • black and white
    • grey
    • white
  • Download for web (white background, JPG format, 300 dpi)
    • colour
    • black and white
    • grey
  • Download for web (transparent background, PNG format, 72 dpi)
    • colour
    • black and white
    • grey
    • white
• Type 3
  • Download for use in print material such as financial statements (EPS format)
    • colour
    • black and white
    • grey
    • white
  • Download for web (white background, JPG format, 300 dpi)
    • colour
    • black and white
    • grey
  • Download for web (transparent background, PNG format, 72 dpi)
    • colour
    • black and white
    • grey
    • white

Books and Records audit reports (New Member Applicants)

• Recognized EDP Service Provider Types 1 and 2 (pdf) 
• Recognized EDP Service Provider Types 3 and 4 and Full Service (pdf) 
• Proprietary EDP Systems (pdf) 

Custody Agreements

• Custodial Agreement (general) (pdf)
• Custodial Agreement (NCI) (pdf)
• Mutual Fund Bare Trustee Agreement (pdf)

Introducing Broker/Carrying Broker Agreements

• Type 1 Introducing Broker (pdf)
• Type 2 Introducing Broker (pdf)
• Type 3 Introducing Broker (pdf)
• Type 4 Introducing Broker (pdf)

Financing Agreements

• Subordinated Loan Agreement (pdf)
• Limited Recourse Call Loan Agreement (pdf)
• Bank of Canada – Term Purchase and Resale Agreement (pdf)
• Repurchase/Reverse Repurchase Agreement (pdf)
• Securities Loan (with set-off) (pdf)
• Securities Loan (no set-off) (pdf)
• New Issue Loan Master Agreement (pdf)

Other

• Member New Issue Levy Form (excel)
• CEO Business Continuity Plan Certification (pdf)
• Cross Guarantee Agreement (related companies) (pdf)
• File Copy Request Form (pdf)
• File Copy Payment Form via EFT (pdf)

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NRD Forms

• Form 1 - Enrolment Of Firm (pdf)
• Form 2 - Enrolment Of Chief Authorized Firm Representative (pdf)
• Form 3 - NRD Account Holder Authorization (pdf)