IIROC 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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These rules are no longer in effect and were replaced by the New SRO Investment Dealer and Partially Consolidated Rules on January 1, 2023.

Download the IIROC Rules

This PDF version is the official version of the IIROC Rules. You can download the PDF file by clicking on the button on the right.

Last updated: September 1, 2022

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.