Request for Comment – IIROC Rules Notice – Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

The Commission is publishing for comment IIROC’s proposed amendments to its Dealer Member Rules and the Universal Market Integrity Rules (UMIR). The Proposed Amendments align UMIR with the requirements set out in proposed amendments to National Instrument 23-103 Electronic Trading and introduce a regulatory framework for electronic access to marketplaces for IIROC Participants and Access Persons. The proposed amendments and IIROC’s Rule Notice can be found at Comments on the proposed amendments should be in writing and submitted by January 23, 2013.