IIROC rule review (continued) Fil d'Ariane Accueil IIROC rule review (continued) Component Menu Left Sidebar Secteur Inscription et conformité Innovation à la CVMO Entreprises Fonds d’investissement et produits structurés Réglementation des marchés Dérivés L’intelligence artificielle (IA) 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 le 2 décembre 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) Documents ouverts dans un nouvel onglet le 26 août 2011 Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 29 juillet 2011 Request for Comments – IIROC Rules Notice – Provisions Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 15 juillet 2011 Notice of Commission Approval – Amendments to IIROC By-Law No. 1 Regarding Director Election and Term – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 3 juin 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) Documents ouverts dans un nouvel onglet le 27 mai 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) Documents ouverts dans un nouvel onglet le 22 avril 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) le 4 mars 2011 OSC Staff Notice of Commission Approval – Amendments to IIROC Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 25 février 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) Documents ouverts dans un nouvel onglet le 25 février 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) Documents ouverts dans un nouvel onglet le 11 février 2011 Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100-2700 – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 4 février 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) Documents ouverts dans un nouvel onglet le 28 janvier 2011 Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 28 janvier 2011 Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) le 7 janvier 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) Documents ouverts dans un nouvel onglet le 7 janvier 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) Documents ouverts dans un nouvel onglet 2010 le 3 décembre 2010 IIROC Rules Notice – Notice of Withdrawal – Proposed Amendments to Continuing Jurisdiction Provisions – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 26 novembre 2010 IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 12 novembre 2010 Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) le 8 octobre 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) Documents ouverts dans un nouvel onglet le 8 octobre 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) Documents ouverts dans un nouvel onglet le 27 août 2010 IIROC Notice – Amendments to Form 1 to adopt IFRS for regulatory reporting purposes – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 4 juin 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) Documents ouverts dans un nouvel onglet le 28 mai 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) Documents ouverts dans un nouvel onglet le 23 avril 2010 Proposed Amendments – Request for Comments – Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 9 avril 2010 IIROC Rules Notice 10-0097 – Request for Comment – Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 26 mars 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) Documents ouverts dans un nouvel onglet le 19 février 2010 Amendments to Correct Registration Reform Related Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 19 février 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) le 15 janvier 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) le 8 janvier 2010 IIROC Rules Notice 10-306 – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 8 janvier 2010 Notice of Commission Approval – UMIR Amendments – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) 2009 le 25 décembre 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) le 18 décembre 2009 Notice of Commission Approval – Amendments to Rule 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 13 novembre 2009 IIROC Rules Notice – Request for Comments – UMIR – Provisions Respecting Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 9 octobre 2009 IIROC Rules (blacklined) – Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 9 octobre 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) Documents ouverts dans un nouvel onglet le 9 octobre 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) le 2 octobre 2009 Assignment of Powers and Duties of the Director to the Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 31 juillet 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) Documents ouverts dans un nouvel onglet le 31 juillet 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) Documents ouverts dans un nouvel onglet le 26 juin 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) Documents ouverts dans un nouvel onglet le 26 juin 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) le 22 mai 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) Documents ouverts dans un nouvel onglet le 22 mai 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) Documents ouverts dans un nouvel onglet le 22 mai 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) le 1 mai 2009 IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 24 avril 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) Documents ouverts dans un nouvel onglet le 24 avril 2009 Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 24 avril 2009 Request for Comments – Revisions to the Definition of “Securities Related Activities” – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 17 avril 2009 Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 17 avril 2009 Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 17 avril 2009 Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) le 13 février 2009 Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 13 février 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) Documents ouverts dans un nouvel onglet le 13 février 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) Documents ouverts dans un nouvel onglet le 13 février 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) Documents ouverts dans un nouvel onglet le 2 janvier 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) Documents ouverts dans un nouvel onglet le 2 janvier 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 le 28 novembre 2008 IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) le 28 novembre 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) Documents ouverts dans un nouvel onglet le 21 novembre 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) le 21 novembre 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) Documents ouverts dans un nouvel onglet le 7 novembre 2008 Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC) le 31 octobre 2008 Extension of Request for Comment – Proposed Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) le 24 octobre 2008 Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) le 24 octobre 2008 Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 26 septembre 2008 Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 19 septembre 2008 Extension of Request for Comment – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) le 15 août 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) le 8 août 2008 Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 8 août 2008 Rule No. 41 and Form 1 Amendments to Reflect Changes to CIPF Oversight Role – Blackline Copy – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 8 août 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) le 1 août 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) le 1 août 2008 Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet le 25 juillet 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) le 18 juillet 2008 Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Documents ouverts dans un nouvel onglet
