Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC)

Market Regulation Document Type
IIROC rule review

IIROC is republishing for public comment certain sections of the proposed IIROC Dealer Member plain language rule book (the proposed PLR Rule Book), with the primary objective to rewrite, reformat, rationalize, and reorganize its Dealer Member Rules in plain language (the PLR Project).

The PLR Project was initiated in 2008 by IIROC’s predecessor, the Investment Dealers Association of Canada, and was initially drafted and published for comment in a number of discrete tranches. The separately published tranches were compiled to create the full proposed PLR Rule Book which was published for comment in March 2016 (IIROC Notice 16-0052) and in March 2017 (IIROC Notice 17-0054).

IIROC is now republishing for comment those sections of the proposed PLR Rule Book with substantive changes (the Proposed Amendments) that respond to comments received on the March 2017 republication from the public, the Canadian Securities Administrators, other interested stakeholders, and from IIROC’s own continuing work on the PLR Project.

A copy of the IIROC Notice and appendices, which includes the Proposed Amendments, is also published on our website at The comment period is 45 days which ends on March 5, 2018.