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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:

| 23-0006
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
| 22-0054
Proposed Amendments Respecting the Codification of Certain UMIR Exemptions
Rulebook: UMIR
Notice type: Request for Comments

Welcome to CIRO.ca!

We have a new look! 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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