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.

Filter notice by:


| 22-0202
Notice type: Hearing
Notice type: General
| 22-0201
Notice type: General
| 22-0196
Rulebook: IIROC Rules
Notice type: Technical
| 22-0198
Notice type: General
| 22-0199
Notice type: Decision
| 22-0190
Rulebook: UMIR
Notice type: General
| 22-0189
Rulebook: IIROC Rules, 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 and