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  • About IIROC

    A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.

    About IIROC‌

    A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.

    • IIROC FAQ
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    Investors‌

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  • Rules and Enforcement

    Find information about policy, rules for our member community and enforcement.

    Rules and Enforcement‌

    Find information about policy, rules for our member community and enforcement.

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    Resources for our Dealer Members and Marketplace Members.

    Members‌

    Resources for our Dealer Members and Marketplace Members.

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  • News and Publications

    Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.

    News and Publications‌

    Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.

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  2. Rules /
  3. 1000

1301. Introduction

Or jump to a Series:

Series 1000: Interpretation and Principles Rules
Series 1000: Interpretation and Principles Rules
Series 2000: Dealer Member Organization and Individual Approval Rules
Series 3000: Business Conduct and Client Accounts Rules
Series 4000: Dealer Member Financial and Operational Rules
Series 5000: Dealer Member Margin Rules
Series 7000: Debt Markets and Inter‑Dealer Bond Brokers Rules
Series 8000: Procedural Rules – Enforcement
Series 9000: Procedural Rules – Other
Series 1000: Interpretation and Principles Rules
Series 2000: Dealer Member Organization and Individual Approval Rules
Series 3000: Business Conduct and Client Accounts Rules
Series 4000: Dealer Member Financial and Operational Rules
Series 5000: Dealer Member Margin Rules
Series 7000: Debt Markets and Inter‑Dealer Bond Brokers Rules
Series 8000: Procedural Rules – Enforcement
Series 9000: Procedural Rules – Other
    Rule
    1. Rule 1300 describes the powers of IIROC to provide exemptions from IIROC requirements.
    Guidance/Notices

    There are no related Guidance/Notice documents available for this section.

    History

    There is no history log for this rule.

    Disciplinary History
    There is no history log for this rule.
      Jump to another section in Rule 1300
      1302. Exemptions from the IIROC requirements

      Select a Series

      Series 1000: Interpretation and Principles Rules
      Series 2000: Dealer Member Organization and Individual Approval Rules
      Series 3000: Business Conduct and Client Accounts Rules
      Series 4000: Dealer Member Financial and Operational Rules
      Series 5000: Dealer Member Margin Rules
      Series 7000: Debt Markets and Inter‑Dealer Bond Brokers Rules
      Series 8000: Procedural Rules – Enforcement
      Series 9000: Procedural Rules – Other
      IIROC

      Other IIROC Sites:

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      • About IIROC
        • IIROC FAQ
        • What We Do
        • Executive Management Team
          • Laura McNeil
        • Board of Directors
          • Debra Doucette
          • Edward Iacobucci
          • Edward Iacobucci
        • Careers
        • Governance & Bylaws
        • Nominees to Other Boards
        • District Councils
        • Board Committees
        • Advisory Committees
      • Investors
        • Dealers We Regulate
        • Know Your Advisor: IIROC Advisor Report
        • Choosing an Investment Advisor
        • Looking up an Investment Advisor or Firm
          • Search outside IIROC
        • How to Make a Complaint
        • Complaints and Inquiries Statistics
        • Investor Alerts
        • Learning the Basics and Protecting Your Investments
          • External Investment Resources for Seniors
          • FAQs for Ex-Pat Canadian Investors
          • Tips to Spot and Prevent Fraud
          • Tips to Spot and Prevent Fraud
          • Understanding Financial Certifications
        • Investor Brochures, Bulletins & Other Resources
          • Investor Bulletins
          • Brochures and Investment Resources for Investors
      • Markets
        • Markets We Regulate
        • Trade Surveillance
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          • SMARTS Platform
        • Canadian Bankers’ Acceptance Rates
        • Corporate and Government Bond Information
        • Reports, Statistics and Other Information
          • Monthly Client Debt Margin
      • Rules and Enforcement
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        • IIROC Rules
          • Helping Members Navigate the IIROC Rules and Guidance Notes
        • UMIR Rules
        • Dealer Member Rules (repealed December 31, 2021)
        • Enforcement
          • Guide to Enforcement Proceedings
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          • Statistics
          • Unpaid Fines Report
          • Best Practices For The Use Of Case Center In IIROC Proceedings (March 2022)
          • Case Center for IIROC Hearings – FAQs and Tips for Counsel and Self-Represented Individuals
        • Whistleblower Service
      • Members
        • Becoming a Regulated Dealer
        • Becoming a Registered Individual
        • Becoming a Regulated Marketplace
          • Frequently Asked Questions about the National Registration Database (NRD)
        • Continuing Education
          • Webcast Catalogue
        • Fee Models
        • Dealer Member Compliance
          • Compliance Reviews and Reports
          • Sanctions Reporting
          • OEO Trailer Ban
          • 2021 INDUSTRY BUSINESS CONTINUITY PLANNING (BCP) TEST FAQ
        • Cybersecurity & Technology
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          • Market Volatility
        • Annual Reports
        • Strategic Plans and Annual Priorities
        • Enforcement Reports
        • Compliance Priorities
        • Exemptions Reports
        • Notices and Guidance
        • Consultations
        • Regulatory and Investing Links
        • Registration Review Hearings
        • ePublications
        • COVID-19
        • Enabling the Evolution of Advice in Canada
          • Foreword: Enabling the evolution of advice in Canada
          • Investors are changing
          • Foreword
          • The industry is transforming in response
          • Emerging digital business models and tools
          • Innovation headwinds in Canada
          • Opportunities to enhance engagement
          • Looking Ahead
          • About the consultation
        • Improving Self-Regulation for Canadians