Skip to main content
follow
#content
English
follow
https://www.iiroc.ca/
Français
follow
https://www.ocrcvm.ca/
Contact
follow
https://www.iiroc.ca/contact-us
Ask a question or make a complaint
follow
https://www.iiroc.ca/investors/how-make-complaint
About IIROC A pan-Canadian, self-regulatory organization committed to protecting investors, market integrity and Canadians’ trust.
follow
https://www.iiroc.ca/about-iiroc
About IIROC
follow
https://www.iiroc.ca/about-iiroc
IIROC FAQ
follow
https://www.iiroc.ca/about-iiroc/iiroc-faq
What We Do
follow
https://www.iiroc.ca/about-iiroc/what-we-do
Executive Management Team
follow
/about-iiroc/executive-management-team
Board of Directors
follow
https://www.iiroc.ca/about-iiroc/board-directors
Careers
follow
https://www.iiroc.ca/about-iiroc/careers
Governance & Bylaws
follow
https://www.iiroc.ca/about-iiroc/governance-bylaws
Nominees to Other Boards
follow
https://www.iiroc.ca/about-iiroc/nominees-other-boards
District Councils
follow
https://www.iiroc.ca/about-iiroc/district-councils
Board Committees
follow
https://www.iiroc.ca/about-iiroc/board-committees
Advisory Committees
follow
https://www.iiroc.ca/about-iiroc/advisory-committees
Investors Find the right advisor, make a complaint, or learn investment basics.
follow
https://www.iiroc.ca/investors
Investors
follow
https://www.iiroc.ca/investors
Choosing an Investment Advisor
follow
https://www.iiroc.ca/investors/choosing-investment-advisor
Dealers We Regulate
follow
https://www.iiroc.ca/investors/dealers-we-regulate
Looking up an Investment Advisor or Firm
follow
https://www.iiroc.ca/investors/looking-investment-advisor-or-firm
How to Make a Complaint
follow
https://www.iiroc.ca/investors/how-make-complaint
Investor Alerts
follow
https://www.iiroc.ca/investors/investor-alerts
Learning the Basics and Protecting Your Investments
follow
https://www.iiroc.ca/investors/learning-basics-and-protecting-your-investments
Investor Brochures, Bulletins & Other Resources
follow
https://www.iiroc.ca/investors/investor-brochures-bulletins-other-resources
Markets How we protect investors and ensure the integrity of markets in Canada.
follow
https://www.iiroc.ca/markets
Markets
follow
https://www.iiroc.ca/markets
Markets We Regulate
follow
https://www.iiroc.ca/markets/markets-we-regulate
Trade Surveillance
follow
https://www.iiroc.ca/markets/trade-surveillance
Canadian Bankers’ Acceptance Rates
follow
https://www.iiroc.ca/markets/canadian-bankers-acceptance-rates
Corporate and Government Bond Information
follow
https://www.iiroc.ca/markets/corporate-and-government-bond-information
Reports, Statistics and Other Information
follow
https://www.iiroc.ca/markets/reports-statistics-and-other-information
Rules and Enforcement Find information about policy, rules for our member community and enforcement.
follow
https://www.iiroc.ca/rules-and-enforcement
Rules and Enforcement
follow
https://www.iiroc.ca/rules-and-enforcement
Policy Priorities
follow
https://www.iiroc.ca/rules-and-enforcement/policy-priorities
Dealer Member Rules
follow
https://www.iiroc.ca/rules-and-enforcement/dealer-member-rules
UMIR Rules
follow
https://www.iiroc.ca/rules-and-enforcement/umir-rules
IIROC Rules (effective December 31, 2021)
follow
https://www.iiroc.ca/rules-and-enforcement/iiroc-rules
Enforcement
follow
https://www.iiroc.ca/rules-and-enforcement/enforcement
Whistleblower Service
follow
https://www.iiroc.ca/rules-and-enforcement/whistleblower-service
Training and Support
follow
https://www.iiroc.ca/rules-and-enforcement/training-and-support
Members Resources for our Dealer Members and Marketplace Members.
follow
https://www.iiroc.ca/members
Members
follow
https://www.iiroc.ca/members
Becoming a Regulated Dealer
follow
https://www.iiroc.ca/members/becoming-regulated-dealer
Becoming a Registered Individual
follow
https://www.iiroc.ca/members/becoming-registered-individual
Becoming a Regulated Marketplace
follow
https://www.iiroc.ca/members/becoming-regulated-marketplace
Continuing Education
follow
https://www.iiroc.ca/members/continuing-education
Fee Models
follow
https://www.iiroc.ca/members/fee-models
Dealer Member Compliance
follow
https://www.iiroc.ca/members/dealer-member-compliance
Cybersecurity & Technology
follow
https://www.iiroc.ca/members/cybersecurity-technology
Client Identifiers
follow
https://www.iiroc.ca/members/client-identifiers
Forms and Templates
follow
https://www.iiroc.ca/members/forms-and-templates
News and Publications Discover the latest notices, publications, media releases, and halts and resumptions issued by IIROC.
follow
https://www.iiroc.ca/news-and-publications
News and Publications
follow
https://www.iiroc.ca/news-and-publications
News Releases
follow
https://www.iiroc.ca/news-and-publications/news-releases
Halts and Resumptions
follow
https://www.iiroc.ca/news-and-publications/halts-and-resumptions
Annual Reports
follow
https://www.iiroc.ca/news-and-publications/annual-reports
Strategic Plans and Annual Priorities
follow
https://www.iiroc.ca/news-and-publications/strategic-plans-and-annual-priorities
Enforcement Reports
follow
https://www.iiroc.ca/news-and-publications/enforcement-reports
Compliance Priorities
follow
https://www.iiroc.ca/news-and-publications/annual-compliance-priorities-reports
Exemptions Reports
follow
https://www.iiroc.ca/news-and-publications/annual-exemptions-reports
Notices and Guidance
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance
Consultations
follow
https://www.iiroc.ca/news-and-publications/consultations
Regulatory and Investing Links
follow
https://www.iiroc.ca/news-and-publications/regulatory-and-investing-links
Registration Review Hearings
follow
https://www.iiroc.ca/news-and-publications/registration-review-hearings
ePublications
follow
https://www.iiroc.ca/news-and-publications/epublications
COVID-19
follow
https://www.iiroc.ca/news-and-publications/covid-19
Enabling the Evolution of Advice in Canada
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada
Improving Self-Regulation for Canadians
follow
https://www.iiroc.ca/news-and-publications/improving-self-regulation-canadians
New to IIROC?
follow
https://www.iiroc.ca/about-iiroc
IIROC Rules, Form 1 and Guidance
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/iiroc-rules-form-1-and-guidance
Improving Self-Regulation for Canadians
follow
https://www.iiroc.ca/news-and-publications/improving-self-regulation-canadians
2020-2021 Annual Report
follow
https://annualreport.iiroc.ca/2021/index.html
View all Notices and News Releases
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance
List of foreign market indices whose constituent securities are eligible for margin
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/list-foreign-market-indices-whose-constituent-securities-are-eligible-margin
IIROC Sanctions Thomas Stock
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/iiroc-sanctions-thomas-stock
IIROC to bring CE accreditation in house
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/iiroc-bring-ce-accreditation-house
Continuing Education Course Accreditation by IIROC
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/continuing-education-course-accreditation-iiroc
IIROC to Hold Disciplinary Hearing for Milan Plentai
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/iiroc-hold-disciplinary-hearing-milan-plentai
Housekeeping amendments to the Universal Market Integrity Rules Regarding the Definition of “Marketplace”
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/housekeeping-amendments-universal-market-integrity-rules-regarding-definition-marketplace
Halts and Resumptions
follow
https://www.iiroc.ca/news-and-publications/halts-and-resumptions
Cease Trade Orders
follow
https://www.iiroc.ca/markets/trade-surveillance/cease-trade-orders
Dealers We Regulate
follow
https://www.iiroc.ca/investors/dealers-we-regulate
UMIR Rulebook
follow
https://www.iiroc.ca/rules-and-enforcement/umir-rules
IIROC Rulebook
follow
https://www.iiroc.ca/rules-and-enforcement/iiroc-rules
AdvisorReport
follow
https://www.iiroc.ca/sections/investors/choosing-investment-advisor/know-your-advisor-iiroc-advisor-report
Notices
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance
Consultations
follow
https://www.iiroc.ca/news-and-publications/consultations
Enforcement Proceedings
follow
https://www.iiroc.ca/sections/rules-and-enforcement/enforcement/guide-enforcement-proceedings
Continuing education and webinars
follow
https://www.iiroc.ca/members/continuing-education
Careers
follow
https://www.iiroc.ca/about-iiroc/careers
Cybersecurity
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/covid-19-and-cybersecurity
Self-regulation for Canadians
follow
https://www.iiroc.ca/news-and-publications/improving-self-regulation-canadians
Clients Identifiers
follow
https://www.iiroc.ca/members/client-identifiers
COVID-19
follow
https://www.iiroc.ca/news-and-publications/covid-19
BA Rate Historical Data (xls)
follow
https://www.iiroc.ca/sites/default/files/epubs/BARate/BA%20Rate%20History.xls?1635437579
BA Rate Historical Data (Interactive version)
follow
https://app.powerbi.com/view?r=eyJrIjoiZTg0Y2IzMDAtNGJkOC00NDMxLTgyODItMmQ3OThkMjkxZmMzIiwidCI6IjFjNGI3MWZkLTY1YjMtNGQ3ZC05ZjJhLTIzZDU5YzhmMTk4OSIsImMiOjN9
BA Rate Methodology (pdf)
follow
https://www.iiroc.ca/sites/default/files/2021-05/BARateMethodology_en.pdf
Corporate and Government Debt Trade Information
follow
https://bondtradedata.iiroc.ca/#/
Bond Trade Data (pdf)
follow
https://www.iiroc.ca/sites/default/files/2021-05/BondMarketSecondaryTrading_en.pdf
National Day for Truth and Reconciliation
follow
https://www.iiroc.ca/national-day-truth-and-reconciliation
Investor Alert: Celox.live
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance/investor-alert-celoxlive
View All Consultations
follow
/news-and-publications/consultations
Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers
follow
https://www.iiroc.ca/news-and-publications/consultations/competency-profiles-directors-executives-ultimate-designated-persons-chief-compliance-officers-and
Advisor Report
follow
https://www.iiroc.ca/sections/investors/choosing-investment-advisor/know-your-advisor-iiroc-advisor-report
Corporate and Government Debt Trade Information
follow
https://bondtradedata.iiroc.ca/#/
IIROC Services
follow
https://iirocservices.iiroc.ca/Account/Login?ReturnUrl=/
Notice of Basis Order
follow
https://basis.iiroc.ca/
Website Terms of Use
follow
https://new.iiroc.ca/website-terms-use
Privacy
follow
https://new.iiroc.ca/privacy
Social Media Terms of Use
follow
https://new.iiroc.ca/social-media-terms-use
Accessibility (pdf)
follow
https://new.iiroc.ca/sites/default/files/2021-05/AccessibilityPolicy_en.pdf
follow
https://www.facebook.com/iiroc/
follow
https://ca.linkedin.com/company/iiroc-investment-industry-regulatory-organization-of-canada-
follow
https://twitter.com/iirocinfo
follow
https://www.youtube.com/channel/UChIVDRClW8b8ZxEoDvbsh2w
About IIROC
follow
https://www.iiroc.ca/about-iiroc
IIROC FAQ
follow
https://www.iiroc.ca/about-iiroc/iiroc-faq
What We Do
follow
https://www.iiroc.ca/about-iiroc/what-we-do
Executive Management Team
follow
/about-iiroc/executive-management-team
Laura McNeil
follow
https://www.iiroc.ca/about-iiroc/executive-management-team/laura-mcneil
Board of Directors
follow
https://www.iiroc.ca/about-iiroc/board-directors
Careers
follow
https://www.iiroc.ca/about-iiroc/careers
Governance & Bylaws
follow
https://www.iiroc.ca/about-iiroc/governance-bylaws
Nominees to Other Boards
follow
https://www.iiroc.ca/about-iiroc/nominees-other-boards
District Councils
follow
https://www.iiroc.ca/about-iiroc/district-councils
Board Committees
follow
https://www.iiroc.ca/about-iiroc/board-committees
Advisory Committees
follow
https://www.iiroc.ca/about-iiroc/advisory-committees
Investors
follow
https://www.iiroc.ca/investors
Choosing an Investment Advisor
follow
https://www.iiroc.ca/investors/choosing-investment-advisor
Dealers We Regulate
follow
https://www.iiroc.ca/investors/dealers-we-regulate
Looking up an Investment Advisor or Firm
follow
https://www.iiroc.ca/investors/looking-investment-advisor-or-firm
Search outside IIROC
follow
https://www.iiroc.ca/investors/looking-investment-advisor-or-firm/search-outside-iiroc
How to Make a Complaint
follow
https://www.iiroc.ca/investors/how-make-complaint
Investor Alerts
follow
https://www.iiroc.ca/investors/investor-alerts
Learning the Basics and Protecting Your Investments
follow
https://www.iiroc.ca/investors/learning-basics-and-protecting-your-investments
External Investment Resources for Seniors
follow
https://www.iiroc.ca/investors/learning-basics-and-protecting-your-investments/external-investment-resources-seniors
Understanding Financial Certifications
follow
https://www.iiroc.ca/investors/learning-basics-and-protecting-your-investments/understanding-financial-certifications
Investor Brochures, Bulletins & Other Resources
follow
https://www.iiroc.ca/investors/investor-brochures-bulletins-other-resources
Investor Bulletins
follow
https://www.iiroc.ca/investors/investor-brochures-bulletins-other-resources/investor-bulletins
Brochures and Investment Resources for Investors
follow
https://www.iiroc.ca/investors/investor-brochures-bulletins-other-resources/brochures-and-investment-resources-investors
Markets
follow
https://www.iiroc.ca/markets
Markets We Regulate
follow
https://www.iiroc.ca/markets/markets-we-regulate
Trade Surveillance
follow
https://www.iiroc.ca/markets/trade-surveillance
Surveillance Contacts
follow
https://www.iiroc.ca/markets/trade-surveillance/surveillance-contacts
Trading Halts & Timely Disclosure
follow
https://www.iiroc.ca/markets/trade-surveillance/trading-halts-timely-disclosure
Cease Trade Orders
follow
https://www.iiroc.ca/markets/trade-surveillance/cease-trade-orders
SMARTS Platform
follow
https://www.iiroc.ca/markets/trade-surveillance/smarts-platform
Canadian Bankers’ Acceptance Rates
follow
https://www.iiroc.ca/markets/canadian-bankers-acceptance-rates
Corporate and Government Bond Information
follow
https://www.iiroc.ca/markets/corporate-and-government-bond-information
Reports, Statistics and Other Information
follow
https://www.iiroc.ca/markets/reports-statistics-and-other-information
Monthly Client Debt Margin
follow
https://www.iiroc.ca/markets/reports-statistics-and-other-information/monthly-client-debt-margin
Rules and Enforcement
follow
https://www.iiroc.ca/rules-and-enforcement
Policy Priorities
follow
https://www.iiroc.ca/rules-and-enforcement/policy-priorities
Dealer Member Rules
follow
https://www.iiroc.ca/rules-and-enforcement/dealer-member-rules
UMIR Rules
follow
https://www.iiroc.ca/rules-and-enforcement/umir-rules
IIROC Rules (effective December 31, 2021)
follow
https://www.iiroc.ca/rules-and-enforcement/iiroc-rules
Enforcement
follow
https://www.iiroc.ca/rules-and-enforcement/enforcement
Unpaid Fines Report
follow
https://www.iiroc.ca/rules-and-enforcement/enforcement/unpaid-fines-report
Whistleblower Service
follow
https://www.iiroc.ca/rules-and-enforcement/whistleblower-service
Training and Support
follow
https://www.iiroc.ca/rules-and-enforcement/training-and-support
Members
follow
https://www.iiroc.ca/members
Becoming a Regulated Dealer
follow
https://www.iiroc.ca/members/becoming-regulated-dealer
Becoming a Registered Individual
follow
https://www.iiroc.ca/members/becoming-registered-individual
Becoming a Regulated Marketplace
follow
https://www.iiroc.ca/members/becoming-regulated-marketplace
Frequently Asked Questions about the National Registration Database (NRD)
follow
https://www.iiroc.ca/members/becoming-regulated-marketplace/frequently-asked-questions-about-national-registration-database-nrd
Continuing Education
follow
https://www.iiroc.ca/members/continuing-education
Continuing Education (effective January 1, 2022)
follow
https://www.iiroc.ca/members/continuing-education/continuing-education-effective-january-1-2022
Webcast Catalogue
follow
https://www.iiroc.ca/members/continuing-education/webcast-catalogue
Fee Models
follow
https://www.iiroc.ca/members/fee-models
Dealer Member Compliance
follow
https://www.iiroc.ca/members/dealer-member-compliance
Compliance Reviews and Reports
follow
https://www.iiroc.ca/members/dealer-member-compliance/compliance-reviews-and-reports
Sanctions Reporting
follow
https://www.iiroc.ca/members/dealer-member-compliance/sanctions-reporting
2021 INDUSTRY BUSINESS CONTINUITY PLANNING (BCP) TEST FAQ
follow
https://www.iiroc.ca/members/dealer-member-compliance/2021-industry-business-continuity-planning-bcp-test-faq
Cybersecurity & Technology
follow
https://www.iiroc.ca/members/cybersecurity-technology
Client Identifiers
follow
https://www.iiroc.ca/members/client-identifiers
Forms and Templates
follow
https://www.iiroc.ca/members/forms-and-templates
News and Publications
follow
https://www.iiroc.ca/news-and-publications
News Releases
follow
https://www.iiroc.ca/news-and-publications/news-releases
Halts and Resumptions
follow
https://www.iiroc.ca/news-and-publications/halts-and-resumptions
Market Volatility
follow
https://www.iiroc.ca/news-and-publications/halts-and-resumptions/market-volatility
Annual Reports
follow
https://www.iiroc.ca/news-and-publications/annual-reports
Strategic Plans and Annual Priorities
follow
https://www.iiroc.ca/news-and-publications/strategic-plans-and-annual-priorities
Enforcement Reports
follow
https://www.iiroc.ca/news-and-publications/enforcement-reports
Compliance Priorities
follow
https://www.iiroc.ca/news-and-publications/annual-compliance-priorities-reports
Exemptions Reports
follow
https://www.iiroc.ca/news-and-publications/annual-exemptions-reports
Notices and Guidance
follow
https://www.iiroc.ca/news-and-publications/notices-and-guidance
Consultations
follow
https://www.iiroc.ca/news-and-publications/consultations
Regulatory and Investing Links
follow
https://www.iiroc.ca/news-and-publications/regulatory-and-investing-links
Registration Review Hearings
follow
https://www.iiroc.ca/news-and-publications/registration-review-hearings
ePublications
follow
https://www.iiroc.ca/news-and-publications/epublications
COVID-19
follow
https://www.iiroc.ca/news-and-publications/covid-19
Enabling the Evolution of Advice in Canada
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada
Foreword: Enabling the evolution of advice in Canada
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/foreword-enabling-evolution-advice-canada
Investors are changing
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/investors-are-changing
Foreword
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/foreword-enabling-evolution-advice-canada
The industry is transforming in response
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/industry-transforming-response
Emerging digital business models and tools
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/emerging-digital-business-models-and-tools
Innovation headwinds in Canada
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/innovation-headwinds-canada
Opportunities to enhance engagement
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/opportunities-enhance-engagement
Looking Ahead
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/looking-ahead
About the consultation
follow
https://www.iiroc.ca/news-and-publications/enabling-evolution-advice-canada/about-consultation
Improving Self-Regulation for Canadians
follow
https://www.iiroc.ca/news-and-publications/improving-self-regulation-canadians