Notice of Commission Deemed Approval – Housekeeping Amendments Respecting Registration Information Requirements, Outside Activity Reporting and Updated Filing Deadlines – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

The Ontario Securities Commission did not object to IIROC’s proposed housekeeping amendments respecting registration information requirements, outside activity reporting and updated filing deadlines (Amendments). As a result, the Amendments were deemed approved and are designed to make IIROC’s requirements uniform in all material respects with the amendments made by the Canadian Securities Administrators to National Instrument 33-109 Registration Information (NI 33-109) and National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103).

The Amendments will become effective on June 6, 2022.

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 Office of the Superintendent of Securities, the Office of the Superintendent of Securities, Digital Government and 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 Amendments.

A copy of the IIROC Notice of Approval/Implementation, including text of the approved Amendments, is also published on our website at