Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression
REQUEST FOR COMMENT
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
PROPOSED AMENDMENTS TO DEALER MEMBER RULE 200.2(l)(x)(B) ON TRADE-CONFIRMATION SUPPRESSION REQUIREMENTS
IIROC is publishing for public comment proposed amendments to IIROC’s Dealer Member Rule (DMR) 200.2(l)(x)(B) on trade-confirmation suppression requirements (the “Proposed Amendments”). The primary objective of the Proposed Amendments is to make the trade-confirmation suppression requirements more practical for Dealer Members whose quarterly compliant trade percentage is typically 90% or higher, but who may have one or two quarters over the last four quarters in which their quarterly compliant trade percentage is below 90%, but not less than 85%. A copy of the IIROC Notice including the amended documents is also published on our website at http://www.osc.gov.on.ca. The comment period ends on June 19, 2017.