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This Guidance Note replaces draft Guidance Note 7300-1, published as Attachment D to Notice 11-0164 – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers.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

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