Proposed early adoption of certain IIROC Rules into the Dealer Member Rules

Date opened: July 23, 2020

Date closed: September 8, 2020

Status: Closed

Summary/details:

The Investment Industry Regulatory Organization of Canada (IIROC) is publishing for comment certain proposed amendments to the Dealer Member Rules (DMRs) (the Proposed Amendments) to align with their parallel provisions in the IIROC Dealer Member Plain Language Rule Book (IIROC Rules).

With implementation of the IIROC Rules having been postponed to December 31, 2021, the Proposed Amendments are intended to improve our DMRs without negatively impacting investor protection or increasing regulatory burden on Dealer Members (Dealers). We are publishing the Proposed Amendments for a comment period of 45 days.

Notices about this consultation: