Guidance on IIROC’s Continuing Education Program

Type: Rules Notice> Approval/Implementation
Rule connection:
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IIROC is publishing guidance (GN 2700-21-001 – Guidance on IIROC’s Continuing Education Program) relating to IIROC’s continuing education program which is a requirement for certain Approved Persons as set out in IIROC Rule 2700 (CE Rules). This guidance:

  • outlines our expectations and requirements applicable to all Dealer Members and continuing education participants,
  • provides IIROC’s views on how the CE Rules should be applied and interpreted, and
  • replaces previous Guidance Note Notice 19-0222 – Guidance on IIROC’s Continuing Education Program.

On October 14, 2021, IIROC Published a notice of implementation IIROC Rules, Form 1 and Guidance relating to IIROC Rules effective December 31, 2021. This notice is one of the guidance notes referred to in section 4.3 of this October notice.

GN-2700-21-001 will be effective upon implementation of the IIROC Rules, December 31, 2021.

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