Forms and Templates

IIROC Forms and Templates

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


Training & Proficiency

CE Course Accreditation


Regulatory Reporting

“Regulated by IIROC” Logo

Books and Records audit reports (New Member Applicants)

Custody Agreements

Introducing Broker/Carrying Broker Agreements

Financing Agreements


NRD Forms

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on and