IIROC Forms and Templates
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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
CE Course Accreditation
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)
- For web (white background, JPG format, 300 dpi)
- For web (transparent background, PNG format, 72 dpi)
- Type 2
- Download for use in print material such as financial statements (EPS format)
- Download for web (white background, JPG format, 300 dpi)
- Download for web (transparent background, PNG format, 72 dpi)
- Type 3
- Download for use in print material such as financial statements (EPS format)
- Download for web (white background, JPG format, 300 dpi)
- Download for web (transparent background, PNG format, 72 dpi)
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)
NRD Forms
- Form 1 - Enrolment Of Firm (pdf)
- Form 2 - Enrolment Of Chief Authorized Firm Representative (pdf)
- Form 3 - NRD Account Holder Authorization (pdf)