IIROC rule review (continued) Breadcrumb Home Industry Market regulation Self-regulatory organizations (SRO) IIROC rule review (continued) Component Menu Left Sidebar Industry Registration and compliance Innovation at the OSC Companies Investment funds and structured products Market regulation Derivatives Artificial intelligence (AI) SEDAR+ IIROC rule review: 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | 2020 | 2021 | 2022 View all 2012-2022 IIROC rule review documents 2011 December 2, 2011 Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 26, 2011 Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 29, 2011 Request for Comments – IIROC Rules Notice – Provisions Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 15, 2011 Notice of Commission Approval – Amendments to IIROC By-Law No. 1 Regarding Director Election and Term – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 3, 2011 Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 27, 2011 Request for Comments – IIROC Rules Notice 11-0164 – Dealer Member Rules – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 22, 2011 Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC) March 4, 2011 OSC Staff Notice of Commission Approval – Amendments to IIROC Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2011 OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 to Adopt CAS for the Audits of Regulatory Financial Statements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2011 IIROC Rules Notice 11-0075 – Request for Comments – Provisions Respecting Regulation of Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 11, 2011 Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100-2700 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 4, 2011 IIROC Rules Notice 11-0050 – Request for Comments – Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 – Director Election and Term – Filling Vacancies – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 28, 2011 Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 28, 2011 Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) January 7, 2011 Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 7, 2011 IIROC Rules Notice – Request for Comments – Republication – Dealer Member Rules – Proposals to Implement the Core Principles of the Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2010 December 3, 2010 IIROC Rules Notice – Notice of Withdrawal – Proposed Amendments to Continuing Jurisdiction Provisions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 26, 2010 IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 12, 2010 Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) October 8, 2010 IIROC Rules Notice – Request for Comments: Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 8, 2010 IIROC Rules Notice – Request for Comments – Dealer Member Rules – Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 27, 2010 IIROC Notice – Amendments to Form 1 to adopt IFRS for regulatory reporting purposes – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 4, 2010 IIROC Rules Notice – Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 28, 2010 IIROC Rules Notice – Request for Comments – Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 23, 2010 Proposed Amendments – Request for Comments – Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 9, 2010 IIROC Rules Notice 10-0097 – Request for Comment – Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 26, 2010 IIROC Rules Notice – Request for Comments: Proposed Plain Language Rules – 3100 – Business Conduct and 3200 – Client Accounts – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 19, 2010 Amendments to Correct Registration Reform Related Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 19, 2010 Notice of Commission Approval – IIROC Amendments to Investment Industry Regulatory Organization of Canada (IIROC) Dealer Member Rule 2900 – Investment Industry Regulatory Organization of Canada (IIROC) January 15, 2010 Notice of Correction – IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) January 8, 2010 IIROC Rules Notice 10-306 – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 8, 2010 Notice of Commission Approval – UMIR Amendments – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) 2009 December 25, 2009 Notice of Commission Approval – Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) December 18, 2009 Notice of Commission Approval – Amendments to Rule 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 13, 2009 IIROC Rules Notice – Request for Comments – UMIR – Provisions Respecting Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 9, 2009 IIROC Rules (blacklined) – Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 9, 2009 Summary of Comments Received in Response to Request for Comments – IIROC Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 9, 2009 IIROC Rules Notice – Notice of Approval – Dealer Member Rule Amendments to Implement the CSA's Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) October 2, 2009 Assignment of Powers and Duties of the Director to the Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 31, 2009 IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 31, 2009 IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 26, 2009 Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 26, 2009 Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC) May 22, 2009 IIROC Rules Notice – Request for Comments – Trading in Securities of U.S. OTC Issuers – Proposed Amendments to Dealer Member Rule 1300.1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 22, 2009 Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 22, 2009 Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC) May 1, 2009 IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2009 Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2009 Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2009 Request for Comments – Revisions to the Definition of “Securities Related Activities” – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 17, 2009 Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 17, 2009 Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 17, 2009 Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) February 13, 2009 Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 13, 2009 Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 13, 2009 Request for Comments – Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 13, 2009 Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 2, 2009 Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 2, 2009 Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) 2008 November 28, 2008 IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) November 28, 2008 Notice of Commission Approval – IIROC Amendments to Rule 100.4E – Offsets Between Strip Coupon Positions and/or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 21, 2008 Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment – Investment Industry Regulatory Organization of Canada (IIROC) November 21, 2008 Notice of Commission Approval – Amendments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 7, 2008 Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC) October 31, 2008 Extension of Request for Comment – Proposed Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) October 24, 2008 Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) October 24, 2008 Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 26, 2008 Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 19, 2008 Extension of Request for Comment – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) August 15, 2008 Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities – Investment Industry Regulatory Organization of Canada (IIROC) August 8, 2008 Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 8, 2008 Rule No. 41 and Form 1 Amendments to Reflect Changes to CIPF Oversight Role – Blackline Copy – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 8, 2008 Notice of Commission Approval – Rule No. 41 and Amendments to Form 1 regarding Canadian Investor Protection Fund – Investment Industry Regulatory Organization of Canada (IIROC) August 1, 2008 Notice of Commission Approval – Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) August 1, 2008 Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 25, 2008 Notice of Commission Approval – Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities – Investment Industry Regulatory Organization of Canada (IIROC) July 18, 2008 Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab
