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Notices and Guidance

IIROC carries out its regulatory responsibilities under Recognition Orders from the provincial and territorial securities regulatory authorities that make up the Canadian Securities Administrators (CSA). IIROC is subject to oversight and regular operational reviews by CSA members.

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| 10-0267
Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900
Rulebook: Legacy DMR Rules
Notice type: Request for Comments
|
IIROC Backgrounder: Surveillance Technology Enhancement Platform (STEP)
Rulebook:
Notice type: General
| 10-0251
Temporary exemption from the requirement to provide relationship disclosure information prescribed by Section 14.2(1) of National Instrument 31‑103, Registration Requirements and Exemptions
Rulebook: Legacy DMR Rules
Notice type: Technical
|
IIROC announces results of regulatory review of May 6 trading in Canadian equity marketplaces
Rulebook:
Notice type: General
| 10-0233
Principal Protected Notes Compliance Review: Findings, Requirements and Recommendations
Rulebook: Legacy DMR Rules
Notice type: Guidance Note
| 10-0234
New Product Due Diligence Regulatory Review– Common Deficiencies and Requirements for Written Policies, Procedures and Controls
Rulebook: Legacy DMR Rules
Notice type: Guidance Note
| 10-0230
Amendments to Form 1 to adopt IFRS for regulatory reporting purposes
Rulebook: Legacy DMR Rules
Notice type: Request for Comments
| 10-0227
Summary of Public Comments relating to IIROC Arbitration Program Review and Request for Comments re: Award Limit of $500,000 and Costs Awards
Rulebook: Legacy DMR Rules
Notice type: Request for Comments
| 10-0163
Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements
Rulebook: Legacy DMR Rules
Notice type: Request for Comments
| 10-0155
Proposed Personal Financial Dealing and Outside Business Activities Proposals
Rulebook: Legacy DMR Rules
Notice type: Request for Comments

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