New Webcasts: Overview of IIROC’s Plain Language Rules Series

Type: Education Notice
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Dianne Weatherby
Manager, Corporate Events and Member Education Services

Several years ago, IIROC started a project to rewrite, reformat, rationalize, and reorganize its Dealer Member Rules in plain language. The intent of the plain language rule project was to:

  • improve the understanding of our Dealer Member Rules by clearly stating the objective of each rule or set of rules and rewriting them in plain language,
  • focus our rules on core requirements by moving non-essential rule details to guidance and eliminating obsolete, duplicative, and unnecessary requirements,
  • improve the ability to find a particular rule by reorganizing, reordering, and renumbering our rules and by using summary index tables with links to specific provisions.

The resulting IIROC Rules will be effective December 31, 2021.

IIROC’s Member Regulation Policy team will host six webcasts and provide an overview of each of the IIROC Rules Series.

Register for the Series 1000 webcast with Richard Corner, Vice-President and Chief Policy Advisor

Register for the Series 2000 webcast with Erica Young, Policy Counsel

Register for the Series 3000 webcast with Madeleine A. Cooper, Policy Counsel

Register for the Series 4000 webcast with Richard Corner, Vice-President and Chief Policy Advisor

Register for the Series 5000 webcast with Catherine Drennan, Senior Manager, Financial Information

Register for the Series 7000/8000/9000 webcast with Phil Devault, Director, Member Regulation Policy and Vinesh Umanee, Policy Counsel

These webcasts will be available on Tuesday, November 30, 2021, at 7 a.m. Eastern Time and on a 24/7 basis after that date.

There will be Compliance continuing education credits available for each webcast.

View IIROC’s full list of CE accredited webcasts.

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