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
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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.
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Applicable Rule
IIROC Rules this Guidance Note relates to:
- subsection 7305(6).
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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This Guidance Note replaces draft Guidance Note 7300-1, published as Attachment D to Notice 11-0164 – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers.
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Related documents
This Guidance Note was published under Notice 21-0190 - IIROC Rules, Form 1 and Guidance.