OSC Staff Notice of Request for Comment: Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules

Market Regulation Document Type
IIROC rule review

OSC STAFF NOTICE OF REQUEST FOR COMMENT

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)

REPUBLICATION OF PROPOSED CONSOLIDATION OF
IIROC ENFORCEMENT, PROCEDURAL, EXAMINATION AND APPROVAL RULES


 

IIROC has republished for public comment a rule proposal to consolidate and rationalize certain enforcement and related rules currently contained within the Universal Market Integrity Rules and Dealer Member Rules into a set of new rules (“Consolidated Rules”). The Consolidated Rules were originally published for comment on March 23, 2012. IIROC has made certain material revisions to the Consolidated Rules in light of comments received and has republished them for comment. A copy of the IIROC notice including the amended Consolidated Rules is published on our website at www.osc.gov.on.ca.