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)

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.