10.2 Investigations – Repealed

    Defined Terms:

    UMIR section 1.1 – “Access Person”, “document”, “employee”, “Exchange”, “hearing”, “Hearing Panel”, “Market Regulator”, “Participant”, “QTRS” and “Regulated Person”

    UMIR section 1.2(2) – “person” 

     

    There are no related Guidance/Notice documents available for this Rule.

    Regulatory History:

    Effective March 11, 2005, the applicable securities commissions approved amendments to section 10.2.  See Market Integrity Notice 2005‑008“Provisions Respecting Impeding or Obstructing a Market Regulator” (March 11, 2005). 

    Effective September 1, 2016, the applicable securities commissions approved an amendment to section 1.1 to repeal Rule 10.2 of UMIR concerning investigations as the subject will be covered by the consolidated investigations rule 8100. See IIROC Notice 16‑0122“Implementation of the consolidated IIROC Enforcement, Examination and Approval Rule” (June 9, 2016).

    There is no history log for this rule.
    Part 1 - Definitions and Interpretation
    Part 2 - Abusive Trading
    Part 3 - Short Selling
    Part 4 - Frontrunning
    Part 5 - Best Execution Obligation
    Part 6 - Order Entry and Exposure
    Part 7 - Trading in a Marketplace
    Part 8 - Principal Trading
    Part 9 - Trading Halts, Delays and Suspensions
    Part 10 - Compliance
    Part 11 - Administration of UMIR