UMIR Rules

The Universal Market Integrity Rules (UMIR) set out  the requirements applicable to  IIROC Participant Dealer Members, Access Persons and Marketplaces for securities related trading activities on all marketplaces that we regulate. 

UMIR, together with the IIROC Rules that govern the activities of investment firms, comprise IIROC's regulatory framework.

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Download the UMIR Rulebook

The Universal Market Integrity Rules (UMIR) set out the requirements applicable to New SRO Participant Members, Access Persons and Marketplaces for securities-related trading activities on all marketplaces that we regulate.


Last updated: January 1, 2023

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.