GN-7300-21-001
Type:
Rules Notice>
Guidance Note
Rule connection:
IIROC Rules
Distribute internally to:
Contact:
Member Regulation Policy
Email:
Effective Date: December 31, 2021
-
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.
-
Applicable Rule
IIROC Rules this Guidance Note relates to:
- subsection 7305(6).
-
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This Guidance Note replaces draft Guidance Note 7300-1, published as Attachment D to Notice 11-0164 – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers.
-
Related documents
This Guidance Note was published under Notice 21-0190 - IIROC Rules, Form 1 and Guidance.
Welcome to CIRO.ca!
We have a new look! You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.
You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).
We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.