Request for Comment – Notice of Proposed Early Adoption of Certain IIROC Rules into the Dealer Member Rules
REQUEST FOR COMMENT
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
NOTICE OF PROPOSED EARLY ADOPTION OF CERTAIN IIROC RULES INTO THE DEALER MEMBER RULES
IIROC is publishing for public comment certain proposed amendments to its Dealer Member Rules (DMRs) to align with their parallel provisions in the IIROC Dealer Member Plain Language Rule Book (IIROC Rules).
With implementation of the IIROC Rules having been postponed to December 31, 2021, the proposed amendments are intended to improve the DMRs without negatively impacting investor protection or increasing regulatory burden on Dealer Members.