A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.
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How we protect investors and ensure the integrity of markets in Canada.
Find information about policy, rules for our member community and enforcement.
Resources for our Dealer Members and Marketplace Members.
Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.
PART A – DEALER MEMBER STRUCTURE
PART A.1 - BUSINESS LOCATIONS
PART A.2 - HOLDING COMPANIES, RELATED COMPANIES AND ORDER EXECUTION ONLY SERVICE PROVIDERS
PART A.3 - NON-SECURITIES BUSINESS AND SHARED PREMISES
PART B - DEALER MEMBER MEMBERSHIP CHANGES
PART C - BUSINESS CHANGE NOTIFICATION REQUIREMENTS
PART D - BRANCH OFFICES OF DEALER MEMBERS
PART E - TRADE NAMES AND DISCLOSURES
PART A - ARRANGEMENTS BETWEEN TWO DEALER MEMBERS – GENERAL REQUIREMENTS
PART A.1 – GENERAL REQUIREMENTS
PART A.2 – SPECIFIC REQUIREMENTS FOR TYPE 1 INTRODUCING BROKER / CARRYING BROKER ARRANGEMENTS
PART A.3 – SPECIFIC REQUIREMENTS FOR TYPE 2 INTRODUCING BROKER / CARRYING BROKER ARRANGEMENTS
PART A.4 – SPECIFIC REQUIREMENTS FOR TYPE 3 INTRODUCING BROKER / CARRYING BROKER ARRANGEMENTS
PART A.5 – SPECIFIC REQUIREMENTS FOR TYPE 4 INTRODUCING BROKER / CARRYING BROKER ARRANGEMENTS
PART B - ARRANGEMENTS BETWEEN A DEALER MEMBER AND A FOREIGN AFFILIATE DEALER
PART C - PERMITTED ARRANGEMENTS THAT ARE NOT CONSIDERED TO BE INTRODUCING BROKER/CARRYING BROKER ARRANGEMENTS
PART D - PROHIBITED BACK OFFICE SHARING ARRANGEMENTS
PART A - DEALER MEMBER DIRECTORS AND EXECUTIVES
PART B - APPROVAL OF INDIVIDUALS
PART A - PROFICIENCY REQUIREMENTS
PART B - EXEMPTIONS FROM PROFICIENCY REQUIREMENTS
PART A - THE CONTINUING EDUCATION PROGRAM AND CONTINUING EDUCATION REQUIREMENTS
PART B – CONTINUING EDUCATION PROGRAM COURSES AND ADMINISTRATION
PART C – PARTICIPATION IN THE CONTINUING EDUCATION PROGRAM
PART D – CHANGES DURING A CONTINUING EDUCATION PROGRAM CYCLE
PART E – DISCRETIONARY RELIEF
PART F – PENALTIES APPLICABLE TO THE CONTINUING EDUCATION REQUIREMENTS FOR APPROVED PERSONS