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)

IIROC rule review
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On May 18, 2011, the Minister of Finance approved the agreement among the Ontario Securities Commission, the British Columbia Securities Commission, the Alberta Securities Commission, the Autorité des marchés financiers and IIROC with respect to the administration and application of surplus funds generated by the operation of NRD (NRD Surplus Application Agreement).

The NRD Surplus Application Agreement was published in the Bulletin on April 22, 2011. (See (2011) 34 OSCB 4846.)

Questions may be referred to:

Minami Ganaha
Senior Legal IT Counsel
General Counsel’s Office
(416) 593-8170
[email protected]