Type 1 Introducing broker

This agreement is between an introducing broker and a carrying broker for the purposes of establishing a Type 1 introducing/carrying broker arrangement. A Type 1 introducing/carrying broker arrangement is one of four introducing/carrying broker arrangements where an introducing broker is allowed to introduce clients to a carrying broker. In this agreement, the carrying broker has agreed to perform certain services including clearing and record-keeping activities for the Type 1 introducing broker. The agreement is required by IIROC under section 2407 of the IIROC Rules. IIROC must approve of the arrangement before it becomes effective.

Type 1 Introducing broker - Attachment (pdf)