Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is publishing for public comment proposed amendments to IIROC’s Dealer Member Rule (DMR) 200.2(l)(x)(B) on trade-confirmation suppression requirements (the “Proposed Amendments”). The primary objective of the Proposed Amendments is to make the trade-confirmation suppression requirements more practical for Dealer Members whose quarterly compliant trade percentage is typically 90% or higher, but who may have one or two quarters over the last four quarters in which their quarterly compliant trade percentage is below 90%, but not less than 85%. A copy of the IIROC Notice including the amended documents is also published on our website at The comment period ends on June 19, 2017.