Organizations that provide domestic debt market transparency 

Type: Rules Notice> Guidance Note
Rule connection:
Distribute internally to:
Internal Audit
Legal and Compliance
Regulatory Accounting
Senior Management
Trading Desk


Member Regulation Policy

Effective Date: December 31, 2021 

  1. Introduction 

Subsection 7305(6) of the IIROC Rules requires that an inter-dealer bond broker provide accurate and timely information regarding details of orders and trades for domestic debt securities to the information processor, as required by National Instrument 21-101 Marketplace Operation. 

A list of information processors is provided on the Ontario Securities Commission website. 

  1. Applicable Rule 

IIROC Rules this Guidance Note relates to: 

  • subsection 7305(6). 
  1. Previous Guidance Note 

This Guidance Note replaces draft Guidance Note 7300-1, published as Attachment D to Notice 11-0164 – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers.  

  1. Related documents  

This Guidance Note was published under Notice 21-0190 - IIROC Rules, Form 1 and Guidance.

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