IIROC - Investment Industry Regulator of Canada

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Industry

Industry icon IIROC sets, monitors and enforces dealer firm and registrant business and financial conduct rules. It also sets, monitors and enforces rules governing trading activities on Canadian equity marketplaces.

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WHAT'S NEW - Latest Industry Notices

Rules 5/21/2013 List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts

Member 5/3/2013 Fraser Mackenzie Limited

Marketplace 4/12/2013 Proposed Guidance Respecting the Management of Stop Loss Orders

Enforcement 5/21/2013 In the Matter of John Winston Lang – Settlement Hearing

Education 2/25/2013 2013 Québec Breakfast Seminar Saint James Club of Montréal (Seminar in French)

Administration 5/2/2013 IIROC Study of High Frequency Trading – Phase III – Request for Assistance

To view and search all Notices, visit News & Publications.

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Rule Book Re-write Project

We are undertaking an extensive effort to update and rewrite all regulation in plain language. Learn more here.

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Who We Regulate

List of regulated dealer firms
List of Exchanges and ATSs

Rule Book

IIROC Dealer Member Rules
  •Supporting Rule Resources
      »Lists
      »Agreements
      »Acceptable Institutions
  •Form 1 (Financial Report)
  •Form 2 (New Client Application Form)
UMIR Marketplace Rules
  •Supporting Rule Resources
      »Circuit Breaker Levels
      »List of Highly Liquid Stocks
      »List of Exempt ETFs
      »List of Designated Indexes
  •Transitional and Consolidated Rule

Notices

All Notices
Enforcement Notices
Rules Notices
  •Marketplace Rules - All
      »Request for Comments
      »Archived RS Notices

  •Dealer Rules - All
      »Request for Comments
      »Proposed Policy
      »Archived IDA Notices & Bulletins
Membership Notices
Marketplace Notices
Education Notices
Administration Notices

News Releases

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Halts & Resumptions

Most Recent Announcements
IIROC Policy on Halts

Regulatory Reporting

National Registration Database
Online Post-Licensing Requirements
Online CE Reporting
Gatekeeper Form
Regulatory Marker Correction System
Notice of Basis Order Form
Extended Failed Trade
SIRFF Filing Access
UN Regulatory Reporting

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IIROC AdvisorReport

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Includes former registrants and regulated firms

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