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 will be replaced by the New SRO Investment Dealer and Partially Consolidated Rules on January 1, 2023.

The New SRO Investment Dealer and Partially Consolidated Rules are available on the New Self-Regulatory Organization of Canada website.

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.

You can download an official version of the IIROC Rules as a PDF below.

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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.

The HTML version of the IIROC Rules found above 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: September 1, 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.

Last updated: October 1, 2022

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