PART A.1 – GENERAL REQUIREMENTS

2407. Requirement for an agreement

Or jump to a Series:

    1. A Dealer Member may enter into an arrangement permitted within sections 2403 through 2406 with another Dealer Member if both parties enter into a written introducing broker / carrying broker contract:

      1. in a form acceptable to IIROC

      2. that specifies the type of arrangement being entered into as a Type 1, Type 2, Type 3 or Type 4 introducing broker/carrying broker arrangement,

      3. whose terms comply with the requirements of sections 2401 through 2480 that apply to the type of arrangement being entered into, and

      4. which is approved by IIROC in advance of it coming into effect.

    2408. – 2409.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.