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.
These rules are no longer in effect and were replaced by the New SRO Investment Dealer and Partially Consolidated Rules on January 1, 2023.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
- IIROC Rules, Form 1 and Guidance (Rules Notice - Notice of Approval/Implementation)
- Guidance Notes
- Supporting Schedules
- Dealer Member Rules (repealed December 31, 2021)
- Forms and Templates
- New Webcasts: Overview of IIROC’s Plain Language Rules Series
- Helping Members Navigate the IIROC Rules and Guidance Notes