2201. Introduction

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    1. A Dealer Member must take reasonable care to organize and manage its business responsibly and effectively.  A Dealer Member’s business must be organized to enable adequate supervision of all of its activities and cannot be organized to avoid IIROC requirements
    2. Rule 2200 is divided into the following parts:
    3. Part A – Dealer Member Structure
      1. Part A.1 – Business locations
        [section 2202]
      2. Part A.2 – Holding companies, related companies and order execution only service providers
        [sections 2205 through 2207]
      3. Part A.3 – Non-securities business and shared premises
        [sections 2215 and 2216]

    4. Part B – Dealer Member Membership Changes
      [sections 2220 through 2228]

    5. Part C – Business Change Notification Requirements
      [sections 2245 through 2248]

    6. Part D – Branch Offices of Dealer Members
      [sections 2265 through 2268]

    7. Part E – Trade Names and Disclosures
      [sections 2280 through 2285]

    There is no history log for this rule.

    There is no history log for this rule.