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9401. Introduction

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Series 9000: Procedural Rules – Other
    Rule

    1. These procedures apply where IIROC requirements require an opportunity to be heard before:

      1. a District Council (including the District Council’s delegate where authority has been delegated to a Registration Subcommittee or IIROC staff),

      2. a senior officer who has the authority to make a decision concerning an individual or a Dealer Member, or

      3. the Board concerning an application for Dealer Member Membership in IIROC. 

    2. These procedures will be followed where, under statutory authority that has been delegated to IIROC, IIROC makes a registration decision for which an opportunity to be heard is required under securities laws. 

    3. Rule 9400 is divided into the following parts:

    4. Part A - Opportunities to be heard by a district council or a senior officer
      [sections 9403 through 9410]

    5. Part B - Opportunities to be heard by the board
      [sections 9411 through 9417]

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