IIROC rule review Breadcrumb Home Industry Market regulation Self-regulatory organizations (SRO) IIROC rule review Component Menu Left Sidebar Industry Registration and compliance Innovation at the OSC Companies Investment funds and structured products Market regulation Derivatives Notice Regarding Suppression of Terrorism and Canadian Sanctions Reporting IIROC rule review 2021 September 9, 2021 Notice of Commission Deemed Approval - Housekeeping Amendments to IIROC Rules to Enhance Protection of Older and Vulnerable Clients - Investment Industry Regulatory Organization of Canada (IIROC) September 9, 2021 IIROC Notice 21- 0159 - Housekeeping Amendments to Enhance Protection of Older and Vulnerable Clients Document opens in new tab August 26, 2021 Notice of Commission Approval - Client Focused Reforms Rule Amendments - Investment Industry Regulatory Organization of Canada (IIROC) August 26, 2021 IIROC Notice 21-0148- Client Focused Reforms - IIROC Rule Amendments Document opens in new tab July 29, 2021 Notice of Commission Approval – Amendments to Swap Counterparty Margin Requirements – Investment Industry Regulatory Organization of Canada (IIROC) July 29, 2021 IIROC Notice 21-0129 - Amendments to swap counterparty margin requirements Document opens in new tab July 15, 2021 Notice of Commission Deemed Approval – Housekeeping Amendments to DMR and IIROC Rules As Related to IIROC Notices 19-0071 and 19-0101 July 8, 2021 Request for Comment - Proposed Amendments to the IIROC Rules and Form 1 relating to the Futures Segregation and Portability Customer Protection Regime - Investment Industry Regulatory Organization of Canada (IIROC) July 8, 2021 IIROC Notice 21-0113 - Proposed Amendments to the IIROC Rules and Form 1 relating to the futures segregation and portability customer protection regime Document opens in new tab July 2, 2021 Notice of Commission Approval – Amendment to IIROC By-Law No. 1 regarding the Definition of “Marketplace” – Investment Industry Regulatory Organization of Canada (IIROC) July 2, 2021 IIROC Notice 21-0116 - Notice of Recognizing Regulator Approval of Amendment to IIROC By-Law No. 1 Regarding the Definition of “Marketplace” Document opens in new tab June 10, 2021 Request for Comment – Proposed Amendments to Form 1 and Corollary Amendments to the IIROC Rules June 10, 2021 IIROC Notice 21-0103 - Proposed Amendments to Form 1 and corollary amendments to the IIROC Rules Document opens in new tab May 13, 2021 Notice of Withdrawal - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC) May 13, 2021 IIROC Notice 21-0096: Withdrawal of proposed amendments respecting disclosure of information by ombudsman service to IIROC Document opens in new tab April 29, 2021 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) April 29, 2021 IIROC Notice 21-0084: Housekeeping Amendments to Form 1 for use in, and consistency with the IIROC Rules Document opens in new tab April 22, 2021 Notice of Commission Approval - Amendments to Dealer Member Rules and IIROC Rules Regarding Exemptions for Bulk Account Movements - Investment Industry Regulatory Organization of Canada (IIROC) April 22, 2021 IIROC Notice 21-0078 - Amendments to Dealer Member Rules and IIROC Rules regarding Exemptions for Bulk Account Movements Document opens in new tab April 22, 2021 Notice of Commission Approval - Amendment to Remove the Risk Component of IIROC’s Dealer Member Fee Model - Investment Industry Regulatory Organization of Canada (IIROC) April 22, 2021 IIROC Notice 21-0080 - Removal of the risk component of the annual fees paid by Dealer Members effective April 1, 2021 Document opens in new tab April 8, 2021 Notice of Withdrawal - Proposed Amendments Respecting the Minor Contravention Program - Investment Industry Regulatory Organization of Canada (IIROC) April 8, 2021 IIROC Notice 21-0059 - Withdrawal of the Proposed Amendments to adopt the Minor Contravention Program Document opens in new tab February 25, 2021 Request for Comment- Notice of Proposed Margin Requirements for Structured Products - Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2021 IIROC Notice 21-0032: Proposed margin requirements for structured products Document opens in new tab February 18, 2021 Notice of Commission Approval - Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations Document opens in new tab February 18, 2021 IIROC Notice 21-0028 - Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations Document opens in new tab January 14, 2021 Notice of Withdrawal - Proposed Amendments Respecting Non-Clients - Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 14, 2021 IIROC Notice 21-0009 - Withdrawal of the Proposed Amendments and Proposed Guidance Respecting Non-Clients Document opens in new tab 2020 December 17, 2020 Request for Comment - Proposed Amendment to the Risk Component of the Dealer Member Fee Model December 17, 2020 IIROC Notice 20-0267 - Removal of the risk component of the annual fees paid by Dealer Members Document opens in new tab December 10, 2020 Notice of Commission Approval - Amendments to Dealer Member Rules to Early Adopt Certain IIROC Rules - Investment Industry Regulatory Organization of Canada (IIROC) December 10, 2020 IIROC Notice 20-0262 - Early adoption of certain IIROC Rules into the Dealer Member Rules Document opens in new tab December 3, 2020 Request for Comment - Proposed Amendment to IIROC By-law No. 1 Section 1.1 (Definition of "Marketplace") - Investment Industry Regulatory Organization of Canada (IIROC) December 3, 2020 IIROC Notice 20-0254 - Proposed Amendment to IIROC By-law No. 1 Regarding the Definition of "Marketplace" Document opens in new tab November 19, 2020 Request for Comment - Notice of Proposed Client Focused Reforms Rule Amendments for Public Comment - Investment Industry Regulatory Organization of Canada (IIROC) November 19, 2020 Notice of Commission Deemed Approval - Housekeeping Amendments Respecting Client Focused Reforms - Investment Industry Regulatory Organization of Canada (IIROC) November 19, 2020 IIROC Notice 20-0238: Client Focused Reforms – Proposed Rule Amendments for Public Comment Document opens in new tab November 19, 2020 IIROC Notice 20-0239: Client Focused Reforms – Housekeeping Rule Changes Document opens in new tab October 8, 2020 Request for Comment - Proposed Amendments Regarding Exemptions for Bulk Account Movements October 8, 2020 IIROC Notice 20-0203: Proposed Amendments - IIROC Exemptions for Bulk Account Movements Document opens in new tab October 8, 2020 Request for Comment - Proposed Amendments Respecting the Trading of Derivatives on a Marketplace October 8, 2020 IIROC Notice 20-0202: Proposed Amendments Respecting the Trading of Derivatives on a Marketplace Document opens in new tab August 27, 2020 Notice of Commission Order – IIROC IP August 27, 2020 Notice of Commission Approval – Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements August 27, 2020 IIROC Notice 20-0179 - Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 regarding agency tri-party arrangements Document opens in new tab July 23, 2020 Request for Comment – Notice of Proposed Early Adoption of Certain IIROC Rules into the Dealer Member Rules July 23, 2020 IIROC Notice 20-0162 - Proposed Early Adoption of Certain IIROC Rules into the Dealer Member Rules Document opens in new tab July 16, 2020 Request for Comment - Proposed Amendments to Swap Counterparty Margin Requirements July 16, 2020 IIROC Notice 20-0154 - Proposed Amendments to Swap Counterparty Margin Requirements Document opens in new tab June 18, 2020 Notice of Commission Deemed Approval - Housekeeping Amendments to Dealer Member Rule 200.2 and Equivalent IIROC Rule on Trade-Confirmation Suppression Requirements June 18, 2020 IIROC Notice 20-0129:Trade confirmation suppression housekeeping amendments to align with CSA jurisdictions’ relief from reporting under National Instrument 24-101 Institutional Trade Matching and Settlements Document opens in new tab April 16, 2020 Update Notice - Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book April 16, 2020 IIROC Notice 20-0079: Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book and Update on the Client Focused Reforms Document opens in new tab March 5, 2020 Notice of Commission Deemed Approval - Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Following Implementation of IIROC Rules - Investment Industry Regulatory Organization of Canada (IIROC) February 13, 2020 Notice of Commission Deemed Approval - Housekeeping Amendments to Form 2 for Consistency with the Current Cultural and Business Practices 2019 December 19, 2019 Notice of Commission Approval - Amendments to Continuing Education Rules - Investment Industry Regulatory Organization of Canada (IIROC) December 19, 2019 Notice of Withdrawal - Proposed Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime - Investment Industry Regulatory Organization of Canada (IIROC) December 12, 2019 Notice of Commission Approval - Amendments to Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 Regarding Free Credit Cash Segregated in Trust for Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 21, 2019 Request for Comment - Notice of Proposed Derivatives Rule Modernization, Stage 1 November 21, 2019 IIROC Notice 19-0200 - Proposed Derivatives Rule Modernization, Stage 1 Document opens in new tab November 14, 2019 Notice of Commission Approval - Amendments Respecting Mandatory Reporting of Cybersecurity Incidents November 14, 2019 IIROC Notice 19-0194 - Amendments Respecting Mandatory Reporting of Cybersecurity Incidents Document opens in new tab October 17, 2019 Request for Comment - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC October 17, 2019 IIROC Notice 19-0181 - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC Document opens in new tab October 17, 2019 Notice of Commission Deemed Approval - Housekeeping Amendments to Form 1 for use in, and consistency with, the Plain Language Dealer Member Rules Rule Book October 17, 2019 IIROC Notice 19-0180 - Housekeeping amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book Document opens in new tab October 17, 2019 Notice of Commission Approval - Amendments Respecting Client Identifiers for Reportable Debt Transactions October 17, 2019 IIROC Notice 19-0179 - Amendments Respecting Client Identifiers for Reportable Debt Transactions Document opens in new tab June 11, 2019 IIROC Notice 19-0118 - Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions Document opens in new tab September 5, 2019 Request for Comment - Proposed Amendments Respecting Non-Clients - IIROC September 5, 2019 IIROC Notice 19-0157 - Proposed Amendments Respecting Non-Clients Document opens in new tab August 29, 2019 Request for Comment - Proposed Amendments re Free Credit Cash Segregated in Trust for Clients August 29, 2019 IIROC Notice 19-0155 - Proposed Amendments re Free Credit Cash Segregated in Trust for Clients Document opens in new tab August 29, 2019 Request for Comment - Republication of Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations August 29, 2019 IIROC Notice 19-0154 - Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations Document opens in new tab August 22, 2019 Notice of Commission Approval - Dealer Member Plain Language Rule Book August 22, 2019 IIROC Notice 19-0144 - Dealer Member Plain Language Rule Book Document opens in new tab August 22, 2019 Notice of Commission Approval - Amendments to Client Identification and Verification Requirements August 22, 2019 IIROC Notice 19-0145 - Amendments to Client Identification and Verification Requirements Document opens in new tab August 22, 2019 Notice of Commission Approval - Amendments to Form 1 for use in, and Consistency with, the Dealer Member Plain Language Rule Book August 22, 2019 IIROC Notice 19-0146 - Amendments to Form 1 for use in, and Consistency with, the Dealer Member Plain Language Rule Book Document opens in new tab August 22, 2019 Notice of Commission - Amendments to Forms and Guidance Respecting Investment in a Dealer Member August 22, 2019 IIROC Notice 19-0147 - Amendments to Forms and Guidance Respecting Investment in a Dealer Member Document opens in new tab August 8, 2019 IIROC Notice 19-0134 - Amendments Respecting Provision of Price Improvement by a Dark Order Document opens in new tab August 8, 2019 IIROC Notice 19-0134 - Amendments Respecting Provision of Price Improvement by a Dark Order Document opens in new tab June 11, 2019 Notice of Commission Approval - Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits June 11, 2019 IIROC Notice 19-0060 - Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits Document opens in new tab June 11, 2019 Request for Comment – Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions June 11, 2019 IIROC Notice 19-0118 - Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions Document opens in new tab June 11, 2019 Request for Comment – Proposed Amendments to Continuing Education Requirements June 11, 2019 IIROC Notice 18-0019 - Proposed Amendments to Continuing Education Requirements Document opens in new tab June 11, 2019 IIROC Notice 19-0117 - Proposed Amendments to Continuing Education Requirements Document opens in new tab June 6, 2019 Notice of Commission Approval - Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers - Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 6, 2019 IIROC Notice 19-0101 - Amendments to Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers Document opens in new tab April 25, 2019 Request for Comment - Minor Contravention Program and Early Resolution Offers April 25, 2019 IIROC Notice 19-0076 - Minor Contravention Program and Early Resolution Offers Document opens in new tab April 18, 2019 Notice of Commission Approval - Amendments Respecting Client Identifiers April 18, 2019 IIROC Notice 19-0071 - Amendments Respecting Client Identifiers Document opens in new tab April 4, 2019 Request for Comment - Proposed Amendments to IIROC By-Law No. 1, s. 5.3(2) (Director Term Limits) - IIROC April 4, 2019 IIROC Notice 19-0060 - Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits Document opens in new tab March 28, 2019 Notice of Commission Approval - Amendments to Transaction Reporting for Debt Securities - IIROC March 28, 2019 IIROC Notice 18-0052 - Proposed Amendments to Transaction Reporting for Debt Securities Document opens in new tab March 28, 2019 IIROC Notice 19-0052 - Amendments to Transaction Reporting for Debt Securities Document opens in new tab March 5, 2019 Notice of Commission Deemed Approval - Housekeeping Amendment to Schedule 7A of Form 1 March 5, 2019 IIROC Notice 19-0035 - Housekeeping Amendment to Schedule 7A of Form 1 Document opens in new tab March 5, 2019 Notice of Commission Deemed Approval - Housekeeping Amendments to Form 1 to Adopt IFRS for Leases - lIIROC March 5, 2019 IIROC Notice 19-0036 - Housekeeping amendments to Form 1 to adopt IFRS reporting requirements for leases Document opens in new tab February 21, 2019 Request for Comment - Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements February 21, 2019 IIROC Notice 19-0027 - Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements Document opens in new tab 2018 December 13, 2018 Request for Comment - Proposed Amendments Respecting the Provision of Price Improvement by a Dark Order - IIROC December 13, 2018 IIROC Notice 18-0231 - Proposed Amendments Respecting Provision of Price Improvement by a Dark Order Document opens in new tab December 13, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to Sample Auditor’s Reports in Form 1 - IIROC December 13, 2018 IIROC Notice 18-0230 - Housekeeping amendments to Form 1 to adopt new auditor reporting standards for the audits of regulatory financial statements Document opens in new tab September 13, 2018 Notice of Withdrawal - Proposed Amendments to Dealer Member Rules to Permit Partial Swap Strategies September 13, 2018 IIROC Notice 18-0177 - Withdrawal of proposed amendments to Dealer Member Rules to permit partial swap offset strategies Document opens in new tab August 9, 2018 Notice of Commission Approval - Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities August 9, 2018 IIROC Notice 18-0154 - Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities Document opens in new tab August 9, 2018 Request for Comment - Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations August 9, 2018 IIROC Notice 18-0153 - Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations Document opens in new tab July 26, 2018 Request for Comment - Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers. July 26, 2018 IIROC Notice 18-0141 - Proposed Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers Document opens in new tab June 28, 2018 Request for Comment - Proposed Amendments Respecting Client Identifiers June 28, 2018 IIROC Notice 18-0122 - Proposed Amendments Respecting Client Identifiers Document opens in new tab June 21, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to UMIR Policy 7.1. June 21, 2018 IIROC Notice 18-0118 - Housekeeping amendments to the provisions respecting Trading Supervision Obligations Document opens in new tab April 12, 2018 Request for Comment - Republication of Proposed Amendments to Client Identification and Verification Requirements April 12, 2018 IIROC Notice 18-0079 - Republication of Proposed Amendments to Client Identification and Verification Requirements Document opens in new tab April 5, 2018 Request for Comment - Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents Document opens in new tab April 5, 2018 IIROC Notice 18-0070 - Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents Document opens in new tab March 28, 2018 Notice of Commission Approval - IIROC Notice 17-024 - Amendments to the Minimum Dealer Regulation Fee Component March 8, 2018 Request for Comment - Proposed Amendments to Transaction Reporting for Debt Securities February 15, 2018 Request for Comment - Proposed Amendments to Form 1 for Use in, and Consistency, with the Plain Language Dealer Member Rules Rule Book February 15, 2018 IIROC Notice 18-0043 - Proposed Amendments to Form 1 for use in, and consistency, with the Plain Language Document opens in new tab January 25, 2018 Request for Comment - Proposed Amendments to IIROC Continuing Education Rules January 25, 2018 IIROC Notice 18-0019 - Continuing Education Rules - proposed amendments Document opens in new tab January 18, 2018 Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book January 18, 2018 IIROC Notice 18-0014 - Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book Document opens in new tab 2017 December 21, 2017 IIROC – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model - Request for Comment December 21, 2017 IIROC – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model - Request for Comment December 5, 2017 IIROC Notice 17-0228 - CSA and IIROC Joint Staff Notice 23-319 Internalization in the Canadian Market Document opens in new tab November 30, 2017 Notice of Commission Approval - Continuing Education Requirements for Approved Persons November 30, 2017 IIROC Notice 17-0223 - Notice of Commission Approval - Continuing Education Requirements for Approved Persons Document opens in new tab November 30, 2017 Notice of Commission Deemed Approval - Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules November 30, 2017 IIROC Notice 17-0224 - Notice of Commission Deemed Approval - Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules Document opens in new tab September 28, 2017 Notice of Commission Approval - Amendments Respecting Trading Supervision Obligations Document opens in new tab September 28, 2017 Notice of Commission Approval - Amendments to Dealer Member Rule 200.2(l)(x)(B) on Trade-Confirmation Suppression Requirements Document opens in new tab September 28, 2017 IIROC Notice 17-0188 - Notice of Approval - Amendments to trade-confirmation suppression requirements Document opens in new tab July 27, 2017 Notice of Withdrawal - Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades July 27, 2017 IIROC Notice 17-0159 - Notice of Withdrawal - Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades Document opens in new tab July 13, 2017 Notice of Withdrawal - Proposed Amendments Relating to the New Methodology for Margining Equity Securities July 13, 2017 IIROC Notice 17-0144 - Notice of Withdrawal - Proposed Amendments Relating to the New Methodology for Margining Equity Securities Document opens in new tab July 13, 2017 Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits July 13, 2017 IIROC Notice 17-0143 - Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits Document opens in new tab July 13, 2017 Notice of Withdrawal - Proposed Amendments to Simplify the Equity Margin Project July 13, 2017 IIROC Notice 17-0145 - Proposed Amendments to Simplify the Equity Margin Project Document opens in new tab July 13, 2017 Notice of Withdrawal - Proposed Dark Rules Anti-Avoidance Provision July 13, 2017 IIROC Notice 17-0146 - Notice of Withdrawal - Proposed Dark Rules Anti-Avoidance Provision Document opens in new tab July 6, 2017 Notice of Commission Approval - Amendments Respecting Best Execution July 6, 2017 IIROC Notice 17-0137- Amendments Respecting Best Execution Document opens in new tab July 6, 2017 Request for Comment - Proposed Amendments Relating to Client Identification and Verification Requirements July 6, 2017 IIROC Notice 17-0139 - Proposed Amendments to Client Identification and Verification Requirements Document opens in new tab June 29, 2017 Notice of Commission Approval - Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement June 29, 2017 IIROC Notice 17-0133 - Notice of Commission Approval - IIROC - Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement Document opens in new tab May 25, 2017 Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities Document opens in new tab May 25, 2017 IIROC Notice 17-0111 - Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities Document opens in new tab May 18, 2017 Request for Comment - Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime May 18, 2017 IIROC Notice 17-0110 - Request for Comment - Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime Document opens in new tab May 4, 2017 OSC Staff Notice of Commission - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 May 4, 2017 IIROC Notice 17-0102 - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 Document opens in new tab May 4, 2017 Appendix A - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 Document opens in new tab May 4, 2017 Appendix B - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 Document opens in new tab May 4, 2017 Appendix C - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 Document opens in new tab April 20, 2017 Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression April 20, 2017 IIROC Notice 17-0088 - Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression Document opens in new tab April 6, 2017 Notice of Withdrawal - IIROC - Proposed Amendments Relating to Personal Financial Dealings with Clients April 6, 2017 IIROC Notice 17-0079: Notice of Withdrawal - Proposed Amendments Relating to Personal Financial Dealings with Clients Document opens in new tab March 30, 2017 Notice of Commission Approval - Amendments to Dealer Member Rule 1200 and to Form 1 Relating to the Client Free Credit Cash Usage Limit and Client Free Credit Segregation Requirements March 30, 2017 IIROC Notice 17-0068: Amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements Document opens in new tab March 30, 2017 Notice of Commission Approval - Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits March 30, 2017 IIROC Notice 17-0069: Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions Document opens in new tab March 9, 2017 Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book March 9, 2017 IIROC Notice 17-0054: Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book Document opens in new tab March 9, 2017 Request for Comment - Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member March 9, 2017 IIROC Notice 17-0055: Request for Comment - Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member Document opens in new tab February 16, 2017 Notice of Commission Approval - Universal Market Integrity Rules - Amendments Respecting Designations and Identifiers February 16, 2017 IIROC Notice 17-0039: Amendments Respecting Designations and Identifiers Document opens in new tab 2016 December 8, 2016 Notice of Request for Comment - IIROC - Proposed Provisions Respecting Trading Supervision Obligations Document opens in new tab December 8, 2016 IIROC Notice 16-0287: Proposed Amendments Respecting Trading Supervision Document opens in new tab December 8, 2016 IIROC Notice 16-0288: Proposed Guidance on Trading Supervision Obligations Document opens in new tab December 1, 2016 Request for Comment - Proposed Fee Model for the Information Processor for Corporate Debt Securities December 1, 2016 IIROC Notice 16-0277: New Debt Information Processor Fee Model Document opens in new tab November 10, 2016 Notice of Commission Approval - IIROC - Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests November 10, 2016 IIROC Notice 16-0262: Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests Document opens in new tab October 13, 2016 Request for Comment - Re-publication of Proposed Provisions Respecting Best Execution October 13, 2016 IIROC Notice 16-0233: Re-Publication of Proposed Provisions Respecting Best Execution Document opens in new tab September 29, 2016 Notice of Commission Approval - IIROC - Amendments Respecting Market Transparency in Trading of Domestic Debt Securities July 28, 2016 Notice of Request for Comment - Proposed Material Amendments to UMIR, Dealer Member Rules and Form 1 to Facilitate the Investment Industry’s Move to T+2 Settlement Document opens in new tab July 28, 2016 IIROC Notice 16-0177: Amendments to facilitate the investment industry's move to T+2 settlement Document opens in new tab June 23, 2016 Notice of Request for Comments - Proposed Non-Material Amendments to Schedule 12 of Form 1 - Margin on Futures Concentrations and Deposits and its Notes and Instructions June 23, 2016 IIROC Notice 16-0142: Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions Document opens in new tab June 23, 2016 Notice of Request for Comments - Proposed Material Amendments to Schedule 12 of Form 1 - Margin on Futures Concentrations and Deposits and its Notes and Instructions June 23, 2016 IIROC Notice 16-0141: Material amendments to the Notes and Instructions to Schedule 12 of Form 1 Document opens in new tab June 16, 2016 Notice of Commission Approval - Amendments Requiring Disclosure of Membership in IIROC Document opens in new tab June 16, 2016 IIROC Notice 16-0133: Amendments Requiring Disclosure of Membership in IIROC Document opens in new tab June 9, 2016 OSC Notice and Request for Comment - Proposed Universal Market Integrity Rules Amendments Respecting Designations and Identifiers June 9, 2016 Notice of Commission Approval - Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules June 9, 2016 IIROC Notice 16-0122: Implementation of the consolidated IIROC Enforcement, Examination and Approval Rules Document opens in new tab June 9, 2016 Appendix 1 - Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents Document opens in new tab June 9, 2016 Appendix 2 - Consolidated Rules and UMIR, Dealer Member Rule,Rule of Practice and Procedure, Transition Rule and General By-law Equivalents Document opens in new tab June 9, 2016 Appendix 3 To Rules Notice 16-0122 - Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1 Document opens in new tab June 9, 2016 Appendix 4 To Rules Notice 16-0122 - Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1 Document opens in new tab June 9, 2016 Appendix 5 To Rules Notice 16-0122 Document opens in new tab June 2, 2016 Request for Comment – Proposed Amendments to IIROC's Dealer Member Rules Respecting Market Transparency in Trading of Domestic Debt Securities Document opens in new tab June 2, 2016 IIROC Notice 16-0117: Proposed Amendments Respecting Market Transparency in Trading of Domestic Debt Securities Document opens in new tab June 2, 2016 Notice of Commission Approval - Amendments to Research Report Quiet Periods Document opens in new tab June 2, 2016 IIROC Notice 15-0216: Amendments to Research Report Quiet Periods Document opens in new tab June 2, 2016 IIROC Notice 15-0217: Request for Comments - Research Report Quiet Periods Document opens in new tab April 28, 2016 IIROC – Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – OSC Staff Notice of Request for Comment Document opens in new tab April 28, 2016 IIROC Notice 16-0090: Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements Document opens in new tab April 21, 2016 Request for comment - Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities Document opens in new tab April 21, 2016 IIROC Notice 16-0082: Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities Document opens in new tab March 10, 2016 Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book Document opens in new tab March 10, 2016 IIROC Notice 16-0052: Re-Publication of Proposed IIROC Dealer Member Plain Language Rule Book Document opens in new tab February 25, 2016 Request for Comment - Proposed Amendments Respecting the Audit Requirement to Send Second Positive Confirmation Requests Document opens in new tab February 25, 2016 IIROC Notice 16-0038: Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests Document opens in new tab February 11, 2016 Notice of Commission Approval - Amendment to “Short Marking Exempt Order” Definitions Document opens in new tab February 11, 2016 IIROC Notice 16-0028: Amendment to the Short-marking Exempt Order Definition Document opens in new tab 2015 December 10, 2015 Request for Comment - Proposed Provisions Respecting Best Execution Document opens in new tab December 10, 2015 IIROC Notice 15-0277: Proposed Provisions Respecting Best Execution Document opens in new tab November 26, 2015 OSC Staff Notice of Withdrawal: IIROC - Amendments to Dealer Member Rule 100.2(a)(ii) - Margin requirements for debt security obligations of supranational entities Document opens in new tab November 26, 2015 IIROC Notice: 15-0262 - Withdrawal of proposed amendments to Dealer Member Rule 100.2(a)(ii) relating to the margin requirements for debt security obligations of supranational entities Document opens in new tab November 26, 2015 Notice of Withdrawal: IIROC – Proposed Amendments Relating to the Cross-Guarantee Requirement Document opens in new tab November 26, 2015 IIROC Notice 15-0261: Withdrawal of proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement Document opens in new tab November 5, 2015 OSC Staff Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member Document opens in new tab November 5, 2015 IIROC Notice 15-0248: Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member Document opens in new tab November 5, 2015 OSC Staff Notice of Approval – Amendments Relating to Rule 100.10K – Optional Use of TIMS or SPAN Document opens in new tab November 5, 2015 IIROC Notice 15-0249: Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN Document opens in new tab October 29, 2015 OSC Staff Notice of Commission Approval - Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members’ Financial Position Document opens in new tab October 29, 2015 Notice of Commission Approval - Debt Market Regulation Fee Model Document opens in new tab October 29, 2015 IIROC Notice 15-0243: Approval of Debt Market Regulation Fee Document opens in new tab October 1, 2015 OSC Staff Notice of Commission Approval - Amendments to the Universal Market Integrity Rules (UMIR) Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 Document opens in new tab September 24, 2015 Notice of Commission Approval - Amendments to Research Report Quiet Periods - Immediate Implementation of Amendments to Rule 3400, Requirement 14 Document opens in new tab September 24, 2015 IIROC Notice 15-0217: Request for Comments - Research Report Quiet Periods Document opens in new tab September 24, 2015 IIROC Notice 15-0216: Amendments to Research Report Quiet Periods Document opens in new tab September 18, 2015 IIROC - Notice of Commission Approval - Amendments to the Universal Market Integrity Rules Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 September 17, 2015 OSC Staff Notice 31-715, IIROC Notice Number 15-0210 and MFDA Bulletin Number 0658-C - Mystery Shopping for Investment Advice: Insights into advisory practices and the investor experience in Ontario September 3, 2015 IIROC – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Notice of Commission Approval Document opens in new tab September 3, 2015 IIROC – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Notice of Commission Approval Document opens in new tab September 3, 2015 IIROC Notice 15-0196: Requirement to Pay IIROC Membership Fees Document opens in new tab August 27, 2015 IIROC - Margin Requirements for Certain Cash and Security Borrowing and Lending Arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 Document opens in new tab August 27, 2015 IIROC Notice 15-005 : Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 Document opens in new tab July 30, 2015 IIROC – Amendments to Universal Market Integrity Rule 6.6 – Notice of Commission Approval Document opens in new tab July 16, 2015 IIROC – Notice of Request for Comments – Proposed Amendments to Rule 100.10(k) – Optional Use of TIMS or SPAN Document opens in new tab July 16, 2015 IIROC Notice 15-0157: Proposed amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN Document opens in new tab July 16, 2015 IIROC – Proposed Amendment to Universal Market Integrity Rules Respecting the Definition of Short-Marking Exempt Order Document opens in new tab July 16, 2015 IIROC Notice 15-0155: Proposed Updated Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations Document opens in new tab July 16, 2015 IIROC Notice 15-0156: Proposed Amendment to the Short-marking Exempt Order Definition Document opens in new tab June 18, 2015 Notice - IIROC - Proposed Amendments to UMIR Respecting Unprotected Transparent Marketplaces and the Order Protection Rule Document opens in new tab June 12, 2015 IIROC Notice 15-0129 - Request for Comments - Proposed Amendments Respecting Unprotected Transparent Marketplaces and the Order Protection Rule Document opens in new tab June 11, 2015 OSC Staff Notice of Commission Approval - Client Relationship Model – Phase 2 Housekeeping Changes to Dealer Member Rule 200 and Changes to Effective Dates for Amendments to Dealer Member Rule 200 and to Dealer Member Form 1 Relating to the Implementation of CRM2 Document opens in new tab June 11, 2015 IIROC Notice 15-0128: Client Relationship Model - Phase 2 - Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2 Document opens in new tab April 30, 2015 IIROC – Amendment to Universal Market Integrity Rule 1.1 – Notice of Commission Approval Document opens in new tab April 16, 2015 IIROC - OSC Staff Notice of Request for Comment - Proposed amendments to Dealer Member Rules 8.7 and corollary amendments to Dealer Member Rule 8.3A relating to the Requirement to Pay IIROC Membership Fees Document opens in new tab April 16, 2015 IIROC Notice 15-0085: Requirement to Pay IIROC Membership Fees Document opens in new tab February 26, 2015 OSC Staff Notice of Request for Comment: IIROC - Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 Document opens in new tab February 26, 2015 IIROC Notice 15-0053: Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 Document opens in new tab February 12, 2015 IIROC – Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order Document opens in new tab February 12, 2015 IIROC Notice 15-0045: Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order Document opens in new tab January 29, 2015 IIROC - Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision Document opens in new tab January 29, 2015 IIROC Notice 15-0023: Re-Publication of Proposed Dark Rules Anti-Avoidance Provision Document opens in new tab January 22, 2015 IIROC Notice - Amendments to IIROC Rules to Harmonize with Client Relationship Model Phase 2 Provisions Effective July 15, 2015 and July 15, 2016 Document opens in new tab January 22, 2015 IIROC Notice 15-0013: Client Relationship Model - Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1 Document opens in new tab 2014 December 18, 2014 OSC Staff Notice of Request for Comment - Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test Document opens in new tab December 18, 2014 IIROC Notice 14-0298: Rules Notice - Request for Comment: Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration Document opens in new tab November 13, 2014 Notice of Request for Comment: IIROC – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member Document opens in new tab November 13, 2014 Notice of Commission Approval: IIROC - Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 Document opens in new tab November 13, 2014 IIROC Notice 14-0263: Rules Notice - Request for Comment: Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces Document opens in new tab November 6, 2014 Notice of Request for Comment: IIROC - Proposed Amendments Relating to the Cross-Guarantee Document opens in new tab November 6, 2014 IIROC Notice 14-0257: Rules Notice - Request for Comment: Proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement Document opens in new tab October 30, 2014 Notice of Commission Approval: Dealer Member Rule 2800C Transaction Reporting for Debt Securities September 18, 2014 Notice of Request for Comments: Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1 September 18, 2014 IIROC Notice 14-0214: Client Relationship Model – Phase 2 Performance reporting and fee / charge disclosure amendments to Dealer Member Rule 200 and to Form 1 that are scheduled to become effective on either July 15, 2015 or July 15, 2016 Document opens in new tab July 10, 2014 Notice of Commission Approval: Proposed Continuance under Canada Not-for-Profit Corporations Act Document opens in new tab June 26, 2014 OSC Staff Notice of Request for Comment: IIROC - Disclosure to Clients of Dealer Members’ Financial Position - Amendments to Dealer Member Rule 1400 Document opens in new tab June 26, 2014 IIROC Notice 14-0157: Rules Notice - Request for Comments: Disclosure to clients of Dealer Members’ financial position Document opens in new tab June 12, 2014 OSC Staff Notice of Request for Comment - IIROC - Margin requirements for debt security obligations of supranational entities - Amendments to Dealer Member Rule 100.2(a)(ii) Document opens in new tab June 12, 2014 IIROC Notice 14-0148: Rules Notice - Request for Comments: Margin requirements for debt security obligations of supranational entities Document opens in new tab May 29, 2014 Notice of Commission Approval: Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 Document opens in new tab May 29, 2014 IIROC Notice 14-0133: Rules Notice - Notice of Approval/Implementation: Client Relationship Model - Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 Document opens in new tab May 15, 2014 OSC Staff Notice of Request for Comment: Proposed Amendments to Universal Market Integrity Rules Regarding Order Protection Document opens in new tab May 15, 2014 IIROC Notice 14-0124: Rules Notice - Request for Comments: Proposed Provisions Respecting the Order Protection Rule Document opens in new tab April 24, 2014 OSC Staff Notice of Request for Comment: IIROC - Proposed Personal Financial Dealing Amendments Document opens in new tab April 24, 2014 IIROC Notice 14-0103: Rules Notice - Request for Comments: Proposed Personal Financial Dealing amendments Document opens in new tab April 24, 2014 OSC Staff Notice of Request for Comment: IIROC - Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 Document opens in new tab April 24, 2014 IIROC Notice 14-0101: Rules Notice - Request for Comments: Re-Publication of Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces Document opens in new tab March 27, 2014 OSC Staff Notice of Request for Comment: Amendments to Universal Market Integrity Rule 1.1 - Definition of Basis Order Document opens in new tab March 27, 2014 IIROC Notice 14-0077: Rules Notice - Request for Comments: Proposed Amendments to the Definition of Basis Order Document opens in new tab March 13, 2014 OSC Staff Notice of Request for Comment: Margin requirements for certain cash and security borrowing and lending arrangements - Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 Document opens in new tab March 13, 2014 IIROC Notice 14-0066: Rules Notice - Request for Comments: Margin requirements for certain cash and security borrowing and lending arrangements - Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 Document opens in new tab February 20, 2014 OSC Staff Notice of Withdrawal: Amendments Respecting Trading in US OTC Issuers Document opens in new tab February 20, 2014 IIROC Notice 14-0049: Rules Notice - Notice of Withdrawal: Withdrawal of Proposed Amendments to Dealer Member Rule 1300.1 relating to Trading in Securities of U.S. OTC Issuers Document opens in new tab February 20, 2014 OSC Staff Notice of Withdrawal: Proposed Financial Planning Rule Document opens in new tab February 20, 2014 IIROC Notice 14-0048: Rules Notice - Notice of Withdrawal: Withdrawal of Proposed Financial Planning Rule Document opens in new tab February 20, 2014 OSC Staff Notice of Withdrawal: Revisions to the Definition of Securities Related Activities Document opens in new tab February 20, 2014 IIROC Notice 14-0047: Rules Notice - Notice of Withdrawal: Withdrawal of Revisions to the Definition of Securities Related Activities Document opens in new tab February 20, 2014 OSC Staff Notice of Request for Comment: Proposed Plain Language Rule 9600- Compliance Fees Document opens in new tab February 20, 2014 IIROC Notice 14-0046: Rules Notice - Request for Comment: Proposed Plain Language Rule 9600- Compliance Fees Document opens in new tab January 16, 2014 OSC Staff Notice of Request for Comment: The Investment Industry Regulatory Organization of Canada (IIROC) Proposed Requirements for Debt Securities Transaction Reporting Document opens in new tab January 9, 2014 IIROC Notice 14-0004: Proposed Requirements for Debt Securities Transaction Reporting Document opens in new tab 2013 December 12, 2013 OSC Staff Notice of Request for Comment: Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 Document opens in new tab December 12, 2013 IIROC Notice 13-0300: Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 Document opens in new tab November 14, 2013 OSC Staff Notice of Request for Comment: Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules Document opens in new tab November 14, 2013 IIROC Notice 13-0275: Rules Notice - Request for Comments: Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules Document opens in new tab October 31, 2013 OSC Staff Notice of Request for Comment: Proposed Continuance Under Canada Not-For-Profit Corporations Act Document opens in new tab October 31, 2013 IIROC Notice 13-0261: Administrative Notice - Request for Comments: Proposed Continuance under Not-for-profit Corporations Act Document opens in new tab October 24, 2013 OSC Staff Notice and Request for Comment: IIROC - Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces Document opens in new tab October 24, 2013 IIROC Notice 13-0255: Request for Comments: Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces Document opens in new tab August 29, 2013 IIROC - Notice of Commission Approval - Amendments Respecting Disclosure Requirements for Research Reports Document opens in new tab August 29, 2013 IIROC Notice: Notice of Approval / Implementation - Disclosure Requirements for Research Reports Document opens in new tab July 4, 2013 Notice of Commission Approval: IIROC - Amendments Respecting Third-Party Electronic Access to Marketplaces Document opens in new tab July 4, 2013 IIROC Amendments Respecting Third Party Electronic Access to Marketplaces Document opens in new tab June 27, 2013 Request for Comment: IIROC Rules Notice 13-0174 - Proposed Plain Language Rule Sections 2210 and 2211 - Suspension and Termination of a Dealer Member Document opens in new tab June 27, 2013 Notice of Commission Approval: Investment Industry Regulatory Organization of Canada - Amendments to IFRS version of Form 1 Document opens in new tab June 13, 2013 Notice of Commission Approval: IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives Document opens in new tab March 7, 2013 Request for Comments: IIROC Rule Notice 13-0058 - Proposed Requirements for Debt Securities Transaction February 7, 2013 Request for Comment: IIROC Rules Notice - Amendments to IFRS Version of Form 1 Document opens in new tab January 17, 2013 OSC Staff Notice of Commission Approval: IIROC Housekeeping Amendments to IFRS version of Form 1 Document opens in new tab 2012 December 20, 2012 Request for Comment: IIROC Rules Notice 12-0385 - Dealer Member Rules - Disclosure Requirements for Research Reports Document opens in new tab December 13, 2012 OSC Staff Notice of Approval: Amendments to the Universal Market Integrity Rules Respecting Electronic Trading Document opens in new tab December 13, 2012 OSC Staff Notice of Approval: IIROC Rules Notice 12-0363 - Notice of Approval - UMIR - Provisions Respecting Electronic Trading Document opens in new tab December 7, 2012 IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading Document opens in new tab December 7, 2012 Notice of Commission Approval: Amendments to the Universal Market Integrity Rules Respecting Electronic Trading Document opens in new tab December 6, 2012 IIROC - Notice of Commission Approval: Dealer Member Rules 800.49 and 200.1(h) - Trade Confirmation and Matching Requirements Document opens in new tab October 25, 2012 IIROC Notice 12-0315: Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces Document opens in new tab October 25, 2012 Request for Comment: IIROC Rules Notice - Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces Document opens in new tab September 6, 2012 Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings Document opens in new tab June 28, 2012 Request for Comment: IIROC Rules Notice - Universal Market Integrity Rules (UMIR) - Provisions Respecting Electronic Trading Document opens in new tab April 20, 2012 Request for Comment: IIROC Rules Notice - Proposed Amendments to Universal Market Integrity Rules (UMIR) – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades Document opens in new tab April 13, 2012 IIROC Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity Document opens in new tab April 13, 2012 OSC Staff Notice of Approval: Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity Document opens in new tab April 13, 2012 Guidance Note: IIROC Rules Notice - Know your Client and Suitability Document opens in new tab April 13, 2012 Guidance Note: IIROC Rules Notice - Client Relationship Model Document opens in new tab April 13, 2012 Notice of Approval: IIROC Rules Notice - Client Relationship Model - Implementation Document opens in new tab April 13, 2012 Notice of Commission Approval: Amendments to IIROC's proposals to implement the core principles of the Client Relationship Model and related guidance notes Document opens in new tab April 13, 2012 Request for Comments: Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades Document opens in new tab March 30, 2012 Notice - Request for Comment: IIROC Rules Notice - Plain Language Rule Re-write Project: Clean Up Amendment Document opens in new tab March 30, 2012 Request for Comment: IIROC Rules Notice - Plain Language Rule Re-write Project: Clean Up Amendment Document opens in new tab March 23, 2012 Request for Comments: Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules Document opens in new tab March 23, 2012 Notice - Request for Comment: Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) - Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules Document opens in new tab March 2, 2012 Notice of Commission Approval: IIROC Rules Notice - UMIR - Provisions Respecting Short Sales and Failed Trades Document opens in new tab February 17, 2012 Notice - Request for Comment: IIROC Rules Notice - Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies Document opens in new tab February 17, 2012 Request for Comment: IIROC Rules Notice - Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies Document opens in new tab February 10, 2012 Notice of Commission Approval: IIROC Proposal for an Integrated Fee Model Document opens in new tab February 2, 2012 Notice of Commission Approval: Investment Industry Regulatory Organization of Canada (IIROC) Proposal for an Integrated Fee Model Document opens in new tab February 2, 2012 Request for Comment: IIROC Rules Notice - Plain Language Rule Re-write Project - Dealer Member Margin Rules, Rules 5100 through 5800 Document opens in new tab January 27, 2012 Request for Comment: IIROC Rules Notice - Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread Document opens in new tab January 20, 2012 Request for Comment: IIROC Rules Notice - Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 Document opens in new tab January 6, 2012 Request for Comment: IIROC Rules Notice - Plain language rule re-write project - Interpretation and standards; Proposed Rules 1100 through 1400 Document opens in new tab 2011 December 2, 2011 Request for Comment: IIROC Rules Notice - Requirement to Disclose Membership in IIROC as Dealer Member Document opens in new tab August 26, 2011 Notice of Commission Approval: IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure Document opens in new tab April 23, 2010 Proposed Amendments - Request for Comments: Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations Document opens in new tab July 29, 2011 Request for Comments: IIROC Rules Notice - Provisions Respecting Dark Liquidity Document opens in new tab July 15, 2011 Notice of Commission Approval: Amendments to IIROC By-Law No. 1 Regarding Director Election and Term Document opens in new tab June 3, 2011 Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) Document opens in new tab May 27, 2011 Request for Comments: IIROC Rules Notice - Dealer Member Rules - Plain language rule re-write project - Dept Markets and Inter-Dealer Bond Brokers Document opens in new tab April 22, 2011 Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) March 4, 2011 OSC Staff Notice of Commission Approval: Amendments to IIROC Form 1 Document opens in new tab February 25, 2011 OSC Staff Notice of Approval: IIROC Housekeeping Amendments to Form 1 to Adopt CAS for the Audits of Regulatory Financial Statements Document opens in new tab February 25, 2011 IIROC Rules Notice: Request for Comments - Provisions Respecting Regulation of Short Sales and Failed Trades Document opens in new tab February 11, 2011 Plain language rule re-write project - Dealer Member Organization and Registration Rules - Proposed Rules 2100 - 2700 Document opens in new tab February 4, 2011 IIROC Rules Notice: Request for Comments - Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 - Director Election and Term - Filling Vacancies Document opens in new tab January 28, 2011 IIROC Provisions Respecting the Implementation of the Order Protection Rule Document opens in new tab January 28, 2011 Notice of Commission Approval: IIROC UMIR Amendments Relating to Order Protection Rule January 7, 2011 IIROC Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 Document opens in new tab January 7, 2011 IIROC Rules Notice: Request for Comments – Republication - Dealer Member Rules - Proposals to Implement the Core Principles of the Client Relationship Model Document opens in new tab 2010 December 3, 2010 IIROC Rules Notice: Notice of Withdrawal - Proposed Amendments to Continuing Jurisdiction Provisions Document opens in new tab November 26, 2010 IIROC Rules Notice: Request for Comments - Limitation on IIROC Enforcement Proceedings Document opens in new tab November 12, 2010 Notice of Commission Approval: Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies October 8, 2010 IIROC Rules Notice - Request for Comments: Plain language rule re-write project - Financial and Operational Rules, Rules 4100 through 4900 Document opens in new tab October 8, 2010 IIROC Rules Notice - Request for Comments: Dealer Member Rules - Plain language rule re-write project - Dealing with clients, Proposed Rules 3400-3900 Document opens in new tab August 27, 2010 IIROC Notice: Amendments to Form 1 to adopt IFRS for regulatory reporting purposes Document opens in new tab June 4, 2010 IIROC Rules Notice - Request for Comments: Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements Document opens in new tab May 28, 2010 IIROC Rules Notice - Request for Comments: Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Document opens in new tab April 23, 2010 Proposed Amendments - Request for Comments: Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations Document opens in new tab April 9, 2010 IIROC Rules Notice - Request for Comment: Dealer Member Rules Document opens in new tab March 26, 2010 IIROC Rules Notice - Request for Comments: Proposed Plain Language Rules: 3100 - Business Conduct and 3200 - Client Accounts Document opens in new tab February 19, 2010 Investment Industry Regulatory Organization of Canada Amendments to Correct Registration Reform Related Amendments Document opens in new tab February 19, 2010 Notice of Commission Approval: IIROC Amendments to Investment Industry Regulatory Organization of Canada (IIROC) Dealer Member Rule 2900 January 15, 2010 Notice of Correction -- IIROC Rules Notice -- Notice of Approval -- UMIR -- Provisions Respecting Trading During Certain Securities Transactions January 8, 2010 IIROC Rules Notice: Notice of Approval - UMIR - Provisions Respecting Trading During Certain Securities Transactions Document opens in new tab January 8, 2010 Notice of Commission Approval: IIROC - UMIR Amendments - Provisions Respecting Trading During Certain Securities Transactions 2009 December 25, 2009 Notice of Commission Approval: IIROC Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling December 18, 2009 Notice of Commission Approval - Amendments to IIROC Rule 19, 37 and 2500 - Relating to Client Complaint Handling Document opens in new tab November 13, 2009 IIROC Rules Notice -- Request for Comments -- UMIR -- Provisions Respecting Implementation of the Order Protection Rule Document opens in new tab October 9, 2009 IIROC Rules (blacklined) -- Amendments to Implement the Registration Reform Project Document opens in new tab October 9, 2009 Comments Received in Response to Request for Comments -- IIROC Amendments to Implement the Registration Reform Project Document opens in new tab October 9, 2009 IIROC Rules Notice -- Notice of Approval -- IIROC Dealer Member Rule Amendments to Implement the CSA's Registration Reform Project October 2, 2009 Assignment of Powers and Duties of the Director to IIROC Document opens in new tab September 28, 2009 Assignment of Powers and Duties of the Director to the Investment Industry Regulatory Organization of Canada July 31, 2009 IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information Document opens in new tab July 31, 2009 IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments Document opens in new tab June 26, 2009 Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols Document opens in new tab June 26, 2009 Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols May 22, 2009 IIROC Rules Notice – Request for Comments – Trading in Securities of U.S. OTC Issuers – Proposed Amendments to Dealer Member Rule 1300.1 Document opens in new tab May 22, 2009 Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals Document opens in new tab May 22, 2009 Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals May 1, 2009 IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project Document opens in new tab April 24, 2009 IIROC Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 Document opens in new tab April 24, 2009 IIROC Rules Notice – Request for Comments – Client Relationship Model Document opens in new tab April 24, 2009 IIROC Rules Notice – Request for Comments – Revisions to the Definition of “Securities Related Activities” Document opens in new tab April 17, 2009 IIROC Rules Notice – Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements Document opens in new tab April 17, 2009 IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation Document opens in new tab April 17, 2009 IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation February 13, 2009 IIROC Rules Notice – Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies Document opens in new tab February 13, 2009 IIROC Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 Document opens in new tab February 13, 2009 IIROC Rules Notice – Request for Comments – Amendments to Complaint Handling Requirements - Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 Document opens in new tab February 13, 2009 IIROC Rules Notice – Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps Document opens in new tab January 2, 2009 Investment Industry Regulatory Organization of Canada (IIROC) - Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers Document opens in new tab January 2, 2009 Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers 2008 November 28, 2008 IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions November 28, 2008 Notice of Commission Approval – IIROC Amendments to Rule 100.4E – Offsets Between Strip Coupon Positions and/or Residual Debt Positions Document opens in new tab November 21, 2008 Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment November 21, 2008 Notice of Commission Approval – Amend-ments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels Document opens in new tab November 7, 2008 Notice of Publication of IIROC Proposed Amendments and Concept Proposal October 31, 2008 Extension of Request for Comment – IIROC Proposed Amendments to Implement the CSA Registration Reform Project October 24, 2008 IIROC Rules Notice – Notice of Approval - UMIR – Provisions Respecting Short Sales and Failed Trades October 24, 2008 Notice - IIROC Rules Notice – Notice of Approval - UMIR – Provisions Respecting Short Sales and Failed Trades Document opens in new tab September 26, 2008 IIROC Amendments to Implement the CSA Registration Reform Project Document opens in new tab September 19, 2008 Extension of Request for Comment – IIROC Proposed Financial Planning Rule August 15, 2008 IIROC Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities August 8, 2008 IIROC Proposed Financial Planning Rule Document opens in new tab August 8, 2008 Investment Industry Regulatory Organization of Canada - Rule No. 41 and Form 1 Amendments to Reflect Changes to CIPF Oversight Role Document opens in new tab August 8, 2008 Notice of Commission Approval – IIROC – Rule No. 41 and Amendments to Form 1 regarding Canadian Investor Protection Fund August 1, 2008 IIROC - Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 August 1, 2008 Notice of Commission Approval – IIROC - Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 Document opens in new tab July 25, 2008 Notice of Commission Approval – IIROC Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities July 18, 2008 IIROC Rules Notice – Notice of Approval – Provisions Respecting Best Execution Document opens in new tab
