Dealer Member Rules (repealed December 312021)

Dealer Member Rules (repealed December 31, 2021)

The Dealer Member Rules form the base of IIROC’s requirements for Dealer Members, with additional requirements separately documented in IIROC’s Consolidated Enforcement, Examination and Approval Rules, and Continuing Education Rules.


On December 31, 2021, the IIROC Rules consolidated and replaced the Dealer Member Rules, the Consolidated Rules and the Continuing Education Rules. 

Notices and Bulletins


Consolidated Enforcement, Examination and Approval Rules (repealed December 31, 2021)

IIROC's Consolidated Enforcement, Examination and Approval Rules are a set of rules relating to:

  • standards of conduct
  • enforcement investigation
  • enforcement proceedings
  • hearing committees
  • rules of practice and procedure
  • compliance examination approvals 
  • regulatory supervision
  • regulatory review proceedings, and
  • procedures for opportunity to be heard.

IIROC Consolidated Enforcement, Examination and Approval Rules (pdf)


Continuing Education Rules (repealed December 31, 2021)

The Continuing Education Rules are a set of rules relating to IIROC’s Continuing Education Program.

Rule 2650 – Continuing Education Requirements for Approved Persons (pdf)

For Supporting Resources, visit Continuing Education

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:

  • Enforcement
  • Hearings
  • Consultations
  • A unified member directory (Dealers We Regulate)
  • Advisor Report

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