2114. Soliciting trades in a Dealer Member’s securities

Or jump to a Series:

    1. A Dealer Member may solicit trades in its own securities or those of its holding company when:
      1. making a distribution of its own securities under a prospectus in compliance with IIROC requirements and securities laws, or
      2. making a private placement of its own securities under securities laws.
    2. A Dealer Member must not solicit trades in its own securities or its holding company in the secondary market.
    3. A Dealer Member may accept unsolicited orders for its own securities or those of its holding company.

    There is no history log for this rule.

    There is no history log for this rule.