7201. Introduction

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    1. Rule 7200 requires Dealer Members to report information about each of their transactions (and the transactions of any affiliate that is a Government Securities Distributor (defined in section 7202)) in debt securities to IIROC through a system maintained by IIROC.

    2. The reported transaction data required by Rule 7200 is used in IIROC’s surveillance of the debt securities market to identify potential market abuses such as violations of the fair pricing requirements of section 3125, insider trading and market manipulation. It also supports IIROC’s general inspection and enforcement activities, rulemaking, and other regulatory functions. The trade data received pursuant to Rule 7200 enables appropriate oversight to ensure the integrity of over‑the‑counter debt securities market trading and strengthen standards of investor protection.

    3. For the purposes of Rule 7200, fact that a security was issued in another country or denominated in a foreign currency does not disqualify it from being a debt security.

    There is no history log for this rule.

    There is no history log for this rule.