Search

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:

| 23-0036
New SRO Compliance Priorities Report for 2022/2023: Helping Firms with Compliance
Rulebook: IIROC Rules, UMIR
Notice type: General
| 23-0006
Additional Guidance Respecting Application of Single-Stock Circuit Breakers
Rulebook: UMIR
Notice type: Guidance Note
| 22-0190
IIROC Failed Trade Study
Rulebook: UMIR
Notice type: General
| 22-0189
Joint CSA/IIROC Staff Notice 23-329 – Short Selling in Canada
Rulebook: IIROC Rules, UMIR
Notice type: Guidance Note
| 22-0186
Obtaining a Trading Exemption or Rule Interpretation
Rulebook: UMIR
Notice type: Technical
| 22-0185
Amendments Respecting the Codification of Certain UMIR Exemptions
Rulebook: UMIR
Notice type: Notice of Approval
| 22-0140
Amendments Respecting the Trading of Derivatives on a Marketplace
Rulebook: UMIR
Notice type: Approval/Implementation
| 22-0130
Guidance on Participant Obligations to have Reasonable Expectation to Settle any Trade Resulting from the Entry of a Short Sale Order
Rulebook: UMIR
Notice type: Guidance Note
| 22-0108
Request for Nominations to the Market Rules Advisory Committee
Rulebook: UMIR
Notice type: Technical
| 22-0077
Exemptions Granted by IIROC in 2021
Rulebook: UMIR, Legacy DMR Rules
Notice type: Exemption

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

In this section