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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: March 1, 2023

Download UMIR Rulebook

Supporting Rule Resources

List of Single Stock Circuit Breakers List of Highly Liquid Stocks Status of Amendments

Documents

List of Acceptable Foreign Trade Reporting Facilities List of Exempt ETFs List of Designated Indexes Circuit Breaker Levels Reporting form for certain DEA and OEO clients and Advisers (excel) - effective July 26, 2021

List of Protected and Unprotected Marketplaces

April 2020 - March 2021

UMIR Notices

View All Notices

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.

Visit the New Self-Regulatory Organization of Canada website