1406. Compliance with all applicable laws

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    1. A Dealer Member must comply with all relevant IIROC requirements, securities laws and applicable laws that are applicable to the Dealer Member’s activities.
    2. Where there is an inconsistency between any IIROC requirements, securities laws and applicable laws that apply to the Dealer Member’s activities, compliance with the most stringent of the IIROC requirements, securities laws or applicable laws is required.

    1407. – 1499.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.