9406. Response of applicant, Approved Person or Dealer Member

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    1. In section 9406 a “response” means the applicant, Approved Person or Dealer Member must inform Registration Staff in writing if an applicant, Approved Person or Dealer Member wishes to be heard before a decision is made on Registration Staff’s recommendation. 

    2. A response must be delivered within 10 business days after receipt of IIROC staff’s letter, or within such shorter period of time as set out in such letter.

    3. If a response is not delivered within the time set out in Registration Staff’s letter, Registration Staff will send its recommendation to the decision maker for consideration.

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    There is no history log for this rule.