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These procedures apply where IIROC requirements require an opportunity to be heard before:
- a District Council (including the District Council’s delegate where authority has been delegated to a Registration Subcommittee or IIROC staff),
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a senior officer who has the authority to make a decision concerning an individual or a Dealer Member, or
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the Board concerning an application for Dealer Member Membership in IIROC.
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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.
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Rule 9400 is divided into the following parts:
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Part A - Opportunities to be heard by a district council or a senior officer
[sections 9403 through 9410] -
Part B - Opportunities to be heard by the board
[sections 9411 through 9417]
There is no history log for this rule.
There is no history log for this rule.