Turn on more accessible mode
Turn off more accessible mode
Contact Us
ePublications
Français
Site Map
Careers
Home
About IIROC
Governance
Board of Directors
Board Committees
Nominees to Other Boards
Executive Management
District Councils
IIROC Advisory Committees
Industry
Improving Self-Regulation for Canadians
COVID-19
Registration & Membership
Rule Book
Industry Compliance
Enforcement
Whistleblower Service
Market Monitoring & Analysis
Policy
Continuing Education
Member Resources
Dealers We Regulate
Cybersecurity
Enabling the Evolution of Advice in Canada
Client Identifiers
Investors
Improving Self-Regulation for Canadians
COVID-19
Choosing an Advisor
Know Your Advisor: IIROC AdvisorReport
Unpaid Fines Report
Understanding Financial Certifications
Making A Complaint
Whistleblower Service
Investor Recourse: Can I get back lost money?
Investor Education
Investor Bulletins
Brochures and Investment Resources for Investors
News & Publications
Currently selected
News Releases
Halts & Resumptions / Cease Trade Orders
Calendar of Disciplinary Hearings
Submissions and Letters
Studies and Presentations
Annual Reports & Strategic Plan
Regulatory and Investing Links
ePublications
Executive Speeches
Notices
News Releases
Halts & Resumptions / Cease Trade Orders
Calendar of Disciplinary Hearings
Submissions and Letters
Studies and Presentations
Annual Reports & Strategic Plan
Regulatory and Investing Links
ePublications
Executive Speeches
Notices
Adjust Font Size
Print This Page
Share This Page
Dealer Notices
Dealer-Notices1
Edit Title Bar Properties
Release Date
Title
4/22/2021
Exemption Procedure for Bulk Account Movements
4/22/2021
Amendments to Dealer Member Rules and IIROC Rules regarding Exemptions for Bulk Account Movements
4/9/2021
List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
4/8/2021
Withdrawal of proposed amendments to adopt the Minor Contravention Program
4/6/2021
List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts
4/6/2021
Custodial Agreements - March 31, 2021
3/29/2021
Joint CSA/IIROC Staff Notice 21-329 - Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements
3/23/2021
IIROC Compliance Priorities Report: Helping Firms with Compliance
3/18/2021
Implementation of Client Identifier Amendments for Listed Securities
3/9/2021
List of floating and tracking error margin rates for qualifying Canadian and U.S. index products
1 - 10
tool bar
Who We Regulate
List of regulated dealer firms
List of Exchanges and ATSs
Individuals (IIROC AdvisorReport)
Rule Book
IIROC Dealer Member Rules
•Supporting Rule Resources
Universal Market Integrity Rules (UMIR)
•Supporting Rule Resources
Consolidated Rules
Continuing Education Rules
Transition Rule
Notices
All Notices
Enforcement Notices
Rules Notices
•
UMIR Notices – All
»
UMIR Request for Comments
»
Archived RS Notices
•
Dealer Rules - All
»
Request for Comments
»
Proposed Policy
»
Archived IDA Notices & Bullet
i
ns
Membership Notices
Marketplace Notices
Education Notices
Administration Notices
Registration Review Hearings
News Releases
Most Recent Releases
Use Search Tool for More
Halts & Resumptions
Most Recent Announcements
IIROC Policy on Halts
Regulatory Reporting
DEA and Routing Arrangement Notice Form
OES Notice Form
Notice of Basis Order Form
IIROC Services
National Registration Database
SIRFF Filing Access
Short Sale Calculation and Reporting - User Guide
Inquiries & Complaints
Email Us Now
Public/Investor Complaints & Inquiries
Registration Inquiries
Read more in Making a Complaint
Surveillance Contacts
General Contact Info
IIROC
AdvisorReport
Check up on registered advisors
Search Disciplinary Cases
Includes former registrants and regulated firms
Website Terms of Use
Privacy
Accessibility
Social Media Terms Of Use
