Notice of Commission Deemed Approval - Housekeeping Amendments to Form 1 for Use in, and Consistency with, the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
Investment Dealers Association rule review


The Ontario Securities Commission did not object to the classification of IIROC’s proposed housekeeping amendments to Form 1 for use in, and consistency with, the IIROC Rules. As a result, the proposed housekeeping amendments are deemed to be approved and will be in effect on December 31, 2021 or as otherwise determined by IIROC.

In addition, the Alberta Securities Commission, the Autorité des marchés financiers, the British Columbia Securities Commission, the Financial and Consumer Affairs Authority of Saskatchewan, the Financial and Consumer Services Commission of New Brunswick, the Manitoba Securities Commission, the Northwest Territories Office of the Superintendent of Securities, the Nova Scotia Securities Commission, the Nunavut Securities Office, the Office of the Superintendent of Securities, Service Newfoundland and Labrador, the Office of the Yukon Superintendent of Securities, and the Prince Edward Island Office of the Superintendent of Securities did not object to the housekeeping amendments.

A copy of the IIROC Notice of Approval/Implementation, including text of the approved amendments, can be found at www.osc.ca.