OSC Staff Notice of Request for Comment: IIROC - Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2
OSC STAFF NOTICE OF REQUEST FOR COMMENT
THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
AMENDMENTS TO DEALER MEMBER RULE 1, 2500, 2700, 3200 AND UNIVERSAL MARKET INTEGRITY RULE 6.2
IIROC is publishing for public comment proposed amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2. The proposed amendments respecting Order Execution Services address supervision and compliance requirements that would ensure that similar activity that occurs through different forms of third-party electronic access is subject to the same degree of supervision and regulatory oversight. A copy of the IIROC Notice was also published on our website at www.osc.gov.on.ca.