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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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Results:

| 23-0011
List of securities eligible for reduced margin (LSERM)
Rulebook: IIROC Rules
Notice type: Technical
| 23-0013
New SRO to Hold Disciplinary Hearing for Catherine Elizabeth Green
Rulebook:
Notice type: Hearing
| 23-0010
Proposal on Distributing Funds Disgorged and Collected through New SRO Disciplinary Proceedings to Harmed Investors
Rulebook:
Notice type: Request for Comments
| 23-0014
CJ Securities Inc.
Rulebook:
Notice type: Intention to Resign
| 23-0012
Pershing Securities Canada Limited
Rulebook:
Notice type: Intention to Resign
| 23-0009
New Webcast: Tips for Traders - Montreal
Rulebook:
Notice type: Education Notice
| 23-0008
Virtu Financial Canada, ULC
Rulebook:
Notice type: Notice of Withdrawal of Intention to Resign
| 23-0007
Industry Business Continuity Planning Test – Save the Date
Rulebook:
Notice type: General
| 23-0005
List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts
Rulebook: IIROC Rules
Notice type: Technical
| 23-0006
Additional Guidance Respecting Application of Single-Stock Circuit Breakers
Rulebook: UMIR
Notice type: Guidance Note

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 www.mfda.ca and www.iiroc.ca.

Visit the New Self-Regulatory Organization of Canada website

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