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9106. Use of information

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Series 9000: Procedural Rules – Other
    Rule

    1. IIROC staff may refer any information obtained from an examination to Enforcement Staff, other IIROC staff, or a securities, futures or derivatives regulatory authority.

    2. IIROC staff may take any other appropriate action based on information obtained from an examination.

    9107. – 9199. Reserved.

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