2735. Changes to Approved Persons category during a continuing education program cycle

Or jump to a Series:

    1. A continuing education participant who changes his or her Approved Person category during a continuing education program cycle must complete the continuing education requirements applicable to the new Approved Person category in the same continuing education program cycle.

    2. Notwithstanding subsection 2735(1), a continuing education participant who changes his or her Approved Person category during the last six months of the current continuing education program cycle, becomes subject to the applicable continuing education requirements of the new Approved Person category at the beginning of the next continuing education program cycle.

    3. A continuing education participant may not change Approved Person categories to avoid continuing education requirements or penalties for non-completion of continuing education requirements. Any change to the Approved Person category during the last six months of the continuing education program cycle which results in less onerous continuing education requirements must be accompanied by an explanation from the sponsoring Dealer Member sufficient to satisfy IIROC that the category change is not an avoidance measure.

    2736. – 2744.  Reserved.

    There is no history log for this rule.

    There is no history log for this rule.