IIROC releases rewrite of rules relating to dealer organization and registration

Posted on March 7, 2011

As part of its plain language rules rewrite project, the Investment Industry Regulatory Organization of Canada (IIROC) recently released proposed Rules 2100 through Rules 2700 regarding dealer member organization and registration. Beyond rewriting the rules in plain language, the proposals make a number of substantive changes, including with respect to ownership of a dealer member's securities and dealer member structure, in order to, among other things, clarify IIROC's expectations and ensure that the rules reflect actual IIROC practices.

Comments on the proposals are being accepted for 90 days from publication. For more information, see IIROC Notice 11-0061.

Tags: ,
Trackbacks (0) Links to blogs that reference this article Trackback URL
http://www.canadiansecuritieslaw.com/admin/trackback/239624
Comments (0) Read through and enter the discussion with the form at the end
Post A Comment / Question Use this form to add a comment to this entry.







Remember personal info?
Send To A Friend Use this form to send this entry to a friend via email.