IIROC - Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
(FORMERLY THE INVESTMENT DEALERS ASSOCIATION OF CANADA (IDA))
AMENDMENTS TO THE DEFINITIONS OF ACCEPTABLE CLEARING CORPORATIONS
AND ACCEPTABLE SECURITIES LOCATIONS IN FORM 1
NOTICE OF COMMISSION APPROVAL
The Ontario Securities Commission (OSC) approved proposed amendments to the definitions "acceptable clearing corporations" and "acceptable securities locations" in Form 1 -- Joint Regulatory Questionnaire (Form 1) of the Investment Industry Regulatory Organization of Canada (IIROC) (formerly the Investment Dealers Association of Canada (IDA)). In addition, the British Columbia Securities Commission did not object to, and the Alberta Securities Commission, the Autorité des marchés financiers, the New Brunswick Securities Commission, the Nova Scotia Securities Commission and the Financial Services Regulation Division, Department of Government Services (Newfoundland and Labrador) have approved the amendments as IIROC rule amendments.
The amendments were first published for comment as IDA rule amendments on June 15, 2007 at (2007) 30 OSCB 5623. IIROC made non-material changes to the amendments following certain drafting comments made by staff of the Recognizing Regulators. The revised amendments, black-lined to reflect the changes made from the version previously published, are included in Chapter 13 of this OSC Bulletin.