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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.

Filter notice by:

Results:

| 23-0019
IN THE MATTER OF Brant Securities Limited – Application
Rulebook:
Notice type: Hearing
| 23-0017
New SRO Sanctions Paul Maurice
Rulebook:
Notice type: Decision
| 23-0013
New SRO to Hold Disciplinary Hearing for Catherine Elizabeth Green
Rulebook:
Notice type: Hearing
| 23-0006
Additional Guidance Respecting Application of Single-Stock Circuit Breakers
Rulebook: UMIR
Notice type: Guidance Note
|
FSRA continues implementation of FA/FP framework
Rulebook:
Notice type: General
| 22-0206
IIROC Sanctions CIBC World Markets Inc.
Rulebook:
Notice type: Decision
| 22-0205
IIROC to Hold Disciplinary Hearing for Catherine Elizabeth Green
Rulebook:
Notice type: Hearing
| 22-0204
IIROC Sanctions Marni Gay Harvey
Rulebook:
Notice type: Decision
| 22-0191
Amendments to the IIROC Rules and Form 1 relating to the futures segregation and portability customer protection regime
Rulebook: IIROC Rules
Notice type: Approval/Implementation
| GN-3200-22-002
Futures segregation and portability customer protection regime guidance
Rulebook: IIROC Rules
Notice type: Guidance Note

Welcome to CIRO.ca!

We have a new look! Today is the first day you can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

You can now find new publications published by CIRO since January 1, 2023 on CIRO.ca. If you are looking for past notices or bulletins published by MFDA or IIROC, you can find those on our legacy websites. Enforcement related content will continue on those websites as well.

You can now find previous Annual Reports and Enforcement Reports on CIRO.ca, along with Halts and Resumption, and our ePublications sign up (for all previous MFDA and IIROC subscriber lists).

We will continue moving items off MFDA and IIROC in 2023/2024. Stay tuned for future updates.

Visit the Canadian Investment Regulatory Organization website

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