IIROC Rules

The IIROC Rules provide a clear, organized and modernized rewrite of IIROC's existing Dealer Member Rules in plain language, and incorporate the Consolidated Rules and Continuing Education Rules.

The IIROC Rules govern the activities of investment firms and, together with IIROC's existing Universal Market Integrity Rules (UMIR), comprise IIROC's regulatory framework.

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This HTML version of the IIROC Rules has been prepared to enable improved rule access. While every effort has been made to ensure the completeness and accuracy of this HTML version, it is not the official version of the IIROC Rules.

The official version of the IIROC Rules is the separate PDF version which is available on the IIROC website.

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Download the IIROC Rules

This PDF version is the official version of the IIROC Rules.

A separate HTML version of the IIROC Rules has been prepared to enable improved rule access. While every effort has been made to ensure the completeness and accuracy of the HTML version, it is not the official version of the IIROC Rules.

Last updated: July 7, 2022

Download the Table of Concordance

The Table of Concordance maps the former Dealer Member Rules to the new plain language IIROC Rules. You can download the table in Microsoft Excel file format by clicking on the button on the right.

Last updated: January 13, 2022

Download the Form 1

The Form 1 is a special purpose report prescribed by IIROC which includes financial statements and schedules. A Dealer Member must file an audited Form 1 for its fiscal year and monthly financial reports in accordance with IIROC requirements. If you would like to browse Form 1, you can download the PDF file by clicking on the button on the right.

Download the Guidance Notes' table of Concordance

IIROC Rules Guidance Table of Concordance to Dealer Member Rules Guidance. You can download the table in Microsoft Excel file format by clicking on the button on the right.

Last updated: December 31, 2021