Continuing Education Rules – proposed amendments

Date opened: July 11, 2019

Date closed: August 26, 2019

Status: Closed


IIROC is proposing amendments to Rule 2650 – Continuing Education Requirements for Approved Persons (the CE Rules) to address feedback we received following the implementation of our revised continuing education (CE) program.

On January 1, 2018, we repealed existing Dealer Member Rule 2900 – Proficiency and Education: Part III – The Continuing Education Program and the Guidelines for the Continuing Education Program and implemented the CE Rules. As part of this change, we updated our CE requirements and moved our CE program from a three-year cycle to a two-year cycle.

We have been conducting an in-depth regulatory review of our CE program and consulting extensively with Dealer Members (Dealers) and other stakeholders. This review started prior to the implementation of the CE Rules and continued during our first two-year CE program cycle, which commenced on January 1, 2018. As a result of this consultation, we decided to make certain substantive changes to the CE Rules, which we are now publishing for comment (the Proposed Amendments).

The Proposed Amendments address inconsistencies in the CE Rules, support our goal of modernizing and simplifying the CE program and respond to comments received during our consultation.

Notices about this consultation:

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