Search

2101. Introduction

Or jump to a Series:

Series 2000: Dealer Member Organization and Individual Approval Rules
    Rule
    1. Rule 2100 covers the issuance of securities by a Dealer Member or its holding company and changes in ownership. 
    2. A Dealer Member must conduct its business with integrity and must maintain adequate financial resources. IIROC has a responsibility to ensure that persons who have an interest in a Dealer Member are fit and proper. IIROC also needs to assess whether the obligations incurred by a Dealer Member under the terms of securities it issues pose a risk to the Dealer Member.
    Guidance/Notices
    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 2100

      Select a Series