Request for Comment – Notice of Proposed Early Adoption of Certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is publishing for public comment certain proposed amendments to its Dealer Member Rules (DMRs) to align with their parallel provisions in the IIROC Dealer Member Plain Language Rule Book (IIROC Rules).

With implementation of the IIROC Rules having been postponed to December 31, 2021, the proposed amendments are intended to improve the DMRs without negatively impacting investor protection or increasing regulatory burden on Dealer Members.

A copy of the IIROC Notice, including the text of the proposed amendments, is also published on our website at The comment period ends on September 8, 2020.