Request for Comment – Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is publishing for public comment proposed amendments to Dealer Member Rule 3200 Minimum Requirements for Dealer Members Seeking Approval Under 1300(T) to Offer an Order-Execution Only Service respecting order execution only services (Proposed Amendments). The Proposed Amendments include requirements that would:

  • prohibit order execution only dealers from providing order execution only services to registered dealers
  • expand the requirement for identifiers by requiring order execution only dealers to assign unique identifiers to registered advisers and foreign adviser equivalents

A copy of the IIROC Notice including the Proposed Amendments is published on our website at The comment period ends on October 24, 2018.