3140. Identifying clients of a Non-Executing Dealer Member

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    1. Where a non-executing Dealer Member is not acting for an order execution only account and sends an order in a listed security to an executing Dealer Member for execution on a Marketplace for which IIROC is the regulation services provider, the non-executing Dealer Member must include:  
      1. an identifier for the client for or on behalf of whom the order is entered, in the form of:  
        1. Legal Entity Identifier for an order for an account supervised under Part D of Rule 3900, 
        2. an account number for all other client orders not included under sub-clause 3140(1)(i)(a); 
      2. the Legal Entity Identifier of the non-executing Dealer Member that is not a Participant. 
    2. Where a non-executing Dealer Member is not acting for an order execution only account and groups together orders from more than one client or account type for execution on a Marketplace for which IIROC is the regulation services provider: 
      1. sub-clause 3140(1)(i) does not apply, and  
      2. the non-executing Dealer Member must provide to the executing Dealer Member that the order is part of: 
        1. bundled order

          or 
        2. multiple client order.
    3. The non-executing Dealer Member that is not acting for an order execution only account and is not a Participant must ensure that the registration status of its Legal Entity Identifier has not lapsed. 

    3141. – 3199.  Reserved. 

    There is no history log for this rule.

    There is no history log for this rule.