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:

| 22-0193
Rulebook: IIROC Rules
Notice type: Technical
| 22-0197
Rulebook:
Notice type: Hearing
| 22-0187
Rulebook: IIROC Rules
Notice type: Request for Comments
| 22-0194
Rulebook:
Notice type: Decision
| 22-0192
Rulebook:
Notice type: Hearing
| 22-0186
Rulebook: UMIR
Notice type: Technical
| 22-0185
Rulebook: UMIR
Notice type: Notice of Approval
| 22-0188
Rulebook:
Notice type: Education Notice
| 22-0184
Rulebook:
Notice type: Hearing

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.