Notice of Request for Comment: IIROC – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member
REVISED PROPOSED AMENDMENTS RELATING TO THE REQUIREMENT TO DISCLOSE MEMBERSHIP IN IIROC AS A DEALER MEMBER
IIROC is re-publishing for public comment previously proposed amendments to the Dealer Member Rules relating to the requirement to disclose membership in IIROC as a Dealer Member. The objective of the proposed amendments are to promote and raise public awareness of IIROC's regulatory oversight of IIROC-regulated firms and advisors, thereby helping clients assess the regulatory status of these firms and advisors. A copy of the IIROC Notice including the amended documents was also published on our website at http://www.osc.gov.on.ca. The comment period ends on January 12, 2015.