Type 3 Introducing broker

This agreement is between an introducing broker and a carrying broker for the purposes of establishing a Type 3 introducing/carrying broker arrangement. A Type 3 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 3 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 3 Introducing broker - Attachment (pdf)

Revisions to Schedules of Uniform Types 2-4 Introducer/Carrier Broker Agreements (pdf)

Type 3 Introducing Broker - Schedule H (pdf)

Type 3 Introducing Broker - Schedule X (pdf)

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