Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is re-publishing for public comment previously proposed amendments to the Dealer Member Rules relating to the requirement to disclose membership in IIROC as a Dealer Member. The objective of the proposed amendments are to promote and raise public awareness of IIROC's regulatory oversight of IIROC-regulated firms and advisors, thereby helping clients assess the regulatory status of these firms and advisors. A copy of the IIROC Notice including the amended documents was also published on our website at The comment period ends on January 12, 2015.