DateNotice
2/10/2014List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
2/7/2014List of Securities Eligible for Reduced Margin
2/5/2014Custodial Agreements
1/13/2014Clearing arrangements - Notice of issuance of final guidance note and summary response to comments received
1/13/2014Outsourcing arrangements - Notice of issuance of final guidance note and summary response to comments received
1/13/2014Outsourcing arrangements
1/13/2014Clearing arrangements
1/9/2014Proposed Requirements for Debt Securities Transaction Reporting
1/9/2014List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
12/12/2013Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1
12/11/2013Proposed Guidance Respecting the Expansion of Single-Stock Circuit Breakers
12/11/2013Personal Financial Dealing
12/10/2013Variation and Cancellation of Odd Lot Trades
12/9/2013Amendments to the French version of UMIR
12/9/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
12/9/20132013-2014 Annual Consolidated Compliance Report
12/9/20132013-2014 Annual Consolidated Compliance Report
12/3/2013Gatekeeper and Notice Requirements For Direct Electronic Access and Routing Arrangements
11/25/2013Guidance on Marketplace and Average Price Disclosure for Trade Confirmations
11/25/2013Summary of Comments Received on Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure
11/25/2013Guidance on Marketplace and Average Price Disclosure for Trade Confirmations
11/25/2013Summary of Comments Received on Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure
11/18/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
11/14/2013Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
11/14/2013Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
11/12/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
11/8/2013List of Securities Eligible for Reduced Margin
11/6/2013Request for Comment on Revised Sanction Guidelines and related Staff Policy Statements
11/1/2013Custodial Agreements
10/25/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
10/15/2013Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
10/15/2013Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
10/15/2013Proposed Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
10/15/2013Proposed Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
10/4/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
10/1/2013Custodial Agreements
9/25/2013Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure
9/25/2013Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure
9/6/2013Trade Confirmation and Matching Requirements
9/6/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
9/6/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
9/3/2013Custodial Agreements
8/29/2013Disclosure Requirements for Research Reports
8/29/2013Acceptable Institutions and Acceptable Counterparties Database
8/20/2013List of Securities Eligible for Reduced Margin (Supplement)
8/12/2013List of Securities Eligible for Reduced Margin
8/1/2013Custodial Agreements
7/16/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
7/11/2013Summary of Comments Received On Proposed Guidance Respecting the Management of Stop Loss Orders
7/11/2013Guidance Respecting the Management of Stop Loss Orders
7/4/2013Guidance Respecting Third-Party Electronic Access to Marketplaces
7/4/2013Provisions Respecting Third-Party Electronic Access to Marketplaces
7/4/2013Provisions Respecting Third-Party Electronic Access to Marketplaces
7/4/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
7/2/2013Custodial Agreements
6/27/2013Proposed Plain Language Rule Sections 2210 and 2211- Suspension and Termination of a Dealer Member
6/27/2013Amendments to IFRS version of Form 1
6/24/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
6/13/2013Disclosure and approval of outside business activities
6/13/2013Personal financial dealing and outside business activities
6/10/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
6/7/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
6/3/2013Custodial Agreements
5/21/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
5/10/2013List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities
5/8/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
5/1/2013Custodial Agreements
4/25/2013List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars
4/12/2013Proposed Guidance Respecting the Management of Stop Loss Orders
4/9/2013Update Respecting the Implementation of the “Trade-for-Trade” Extended Failed Trades Reporting
4/9/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
4/3/2013Adjustments to the Consolidated Short Position Report
3/7/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
3/4/2013Custodial Agreements
3/1/2013Update to Annotated Universal Market Integrity Rules
2/28/2013CSA/IIROC Joint Notice 23-315 Summary of Comments on CSA/IIROC Joint Notice 23-312 — Request for Comments — Transparency of Short Selling and Failed Trades
2/28/2013Requirements to Notify IIROC under the Electronic Trading Rule Amendments
2/28/2013IIROC Statement on Trades in Orbite Aluminae Inc. on February 14, 2013
2/26/2013List of Securities Eligible for Reduced Margin
2/21/2013Guidance on Market-wide Circuit Breakers
2/20/2013Proposed Requirements for Debt Securities Transaction Reporting
2/14/2013Guidance on Certain Manipulative and Deceptive Trading Practices
2/7/2013Amendments to IFRS version of Form 1
2/7/2013IIROC Concept Proposal Restricted Dealer Member Proposal - Summary of Comments
2/7/2013Requirements for Secure Electronic Regulatory Communication
2/7/2013Requirements to Notify IIROC under the Electronic Trading Rule Amendments
2/7/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
2/6/2013Recommendations and best practices for distribution of non-arm’s length investment products
2/6/2013Summary of comments received on draft guidance note “Requirements and best practices for distribution of non-arm’s length investment products”
2/4/2013List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
1/21/2013Issuance of Initial Short Sale Trading Summary Report
1/14/2013Implementation Date for Reporting “Trade-for-Trade” Extended Failed Trades
1/11/2013Amendments to IFRS version of Form 1
1/10/2013List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
1/8/2013Use of Business Titles and Financial Designations
1/2/2013Custodial Agreements
12/20/2012Disclosure Requirements for Research Reports
12/18/2012Sale of principal protected notes by Approved Persons of IIROC Dealer Members
12/17/2012The Role of Compliance and Supervision
12/11/2012“Date of the offering” within the meaning of Dealer Member Rule 3400
12/11/2012Summary of comments received on the draft Guidance Note ““Date of the offering” within the meaning of Dealer Member Rule 3400”
12/10/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
12/7/2012Summary of Comments Received on Proposed Guidance Respecting Electronic Trading
12/7/2012Guidance Respecting Electronic Trading
12/7/2012Provisions Respecting Electronic Trading
12/4/2012Annual Consolidated Compliance Report
12/4/2012Custodial Agreements
11/8/2012List of Securities Eligible for Reduced Margin
11/5/2012Custodial Agreements
10/25/2012Proposed Guidance Respecting Third-Party Electronic Access to Marketplaces
10/25/2012Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces
10/25/2012Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces
10/22/2012Request for comments on draft guidance regarding clearing arrangements
10/22/2012Request for comments on draft guidance regarding outsourcing arrangements
10/19/2012List of Basel Accord Countries
10/11/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
10/11/2012Summary of Comments Received Respecting Proposed Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations
10/9/2012Specific Questions Related to Dark Liquidity Rule Amendments
10/9/2012Market Rules Advisory Committee
10/1/2012Custodial Agreements
9/26/2012Proposed Guidance on Market-wide Circuit Breakers
9/24/2012Securities Listed on Foreign Exchanges Eligible for Margin
9/17/2012IIROC Staff Consultation - Concept Paper on the Feasibility of Portfolio Margining
9/11/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
9/6/2012Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings
9/4/2012Custodial Agreements
8/22/2012List of Securities Eligible for Reduced Margin (Supplement)
8/20/2012Summary of Comments Received Respecting Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades
8/20/2012Guidance on Regulatory Intervention for the Variation or Cancellation of Trades
8/14/2012List of Securities Eligible for Reduced Margin
8/14/2012Acceptable Institutions and Acceptable Counterparties Database
8/14/2012Request for comments on draft guidance regarding compensation structures for retail investment accounts
8/13/2012Extension of Comment Period for Marketplace Thresholds
8/10/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
8/2/2012Custodial Agreements
7/27/2012Guidance on Marketplace Disclosure for Trade Confirmations
7/19/2012Client Relationship Model – Extension of implementation of the enhanced suitability assessment requirements prescribed by Dealer Member Rule 1300.1
7/17/2012Proposed Guidance on Certain Manipulative and Deceptive Trading Practices
7/12/2012IIROC Concept Proposal – Restricted Dealer Member Proposal
7/9/2012List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
7/9/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
7/4/2012Request for Comments on draft guidance regarding Borrowing for Investment Purposes– Suitability and Supervision
7/3/2012Custodial Agreements
7/3/2012Research reports issued by firms regulated by the Financial Services Authority
6/28/2012Provisions Respecting Electronic Trading
6/28/2012List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
6/25/2012Request for Nominations to the Market Rules Advisory Committee
6/7/2012List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
6/7/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
6/1/2012Custodial Agreements
5/29/2012List of Securities Eligible for Reduced Margin
5/15/2012List of Acceptable Trade Matching Utilities
5/10/2012Request for Comments on Marketplace Thresholds
5/9/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
5/8/2012Changes to Implementation Date for Provisions Respecting Regulation of Short Sales and Failed Trades and for Provisions Respecting Dark Liquidity
5/2/2012Custodial Agreements
4/13/2012Request for Comments on draft guidance regarding the meaning of “date of the offering” in Requirement 14 of Dealer Member Rule 3400 – Research Restrictions and Disclosure Requirements
4/13/2012Provisions Respecting Dark Liquidity
4/13/2012Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades
4/10/2012List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
4/10/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
4/2/2012Custodial Agreements
3/30/2012Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades
3/30/2012Plain language rule re-write project: Clean up amendments
3/26/2012Client Relationship Model – Guidance
3/26/2012Know your client and suitability - Guidance
3/26/2012Client Relationship Model - Implementation
3/23/2012Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
3/23/2012Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
3/9/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
3/9/2012List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
3/2/2012Proposed Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations
3/2/2012Effects of Short Sale Circuit Breakers in the United States on the Trading of Inter-listed Securities in Canada
3/2/2012Provisions Respecting Regulation of Short Sales and Failed Trades
3/2/2012Canadian Securities Administrators / Investment Industry Regulatory Organization of Canada Joint Notice 23-312 Transparency of Short Selling and Failed Trades
3/2/2012Custodial Agreements
2/27/2012List of Acceptable Trade Matching Utilities for the purposes of IIROC Dealer Member Rule 800.49 relating to Broker to Broker Trade Matching
2/27/2012List of Securities Eligible for Reduced Margin
2/24/2012Foreign Currency Group Upgrade
2/23/2012List of Recognized Exchanges and Associations (Regulated Entities Purposes)
2/10/2012List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
2/10/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
2/3/2012Plain language rule re-write project – Dealer Member Margin Rules, Rules 5100 through 5800
2/2/2012Guidance Respecting the Implementation of Single-Stock Circuit Breakers
2/2/2012Summary of Comments Received on Proposed Guidance Respecting the Implementation of Single-Stock Circuit Breakers
2/1/2012Custodial Agreements
1/27/2012Obtaining a Trading Exemption or Rule Interpretation
1/27/2012Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread
1/27/2012List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
1/9/2012Guidance on the Guarantee by a Participant of a Trade Price for a Client Order
1/9/2012Summary of Comments Received Respecting Proposed Guidance on the Guarantee by a Participant of a Trade Price for a Client Order
1/9/2012List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
1/9/2012List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
1/9/2012Marketplace Disclosure for Trade Confirmations
1/6/2012Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400
1/3/2012Custodial Agreements
12/15/2011Request for comments on draft Guidance Note “The Role of Compliance and Supervision”
12/13/2011Request for Comments on Market-wide Circuit Breakers for the Canadian Marketplace
12/9/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
12/9/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
12/7/2011Summary of comments received on the updated draft Guidance Notice MR0281: “Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence”
12/7/2011Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence
12/5/2011List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
12/2/2011Requirement to Disclose Membership in IIROC as Dealer Member
12/2/2011Custodial Agreements
11/23/2011List of Securities Eligible for Reduced Margin
11/4/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
11/2/2011Annual Consolidated Compliance Report
11/1/2011Custodial Agreements
10/17/2011List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
10/12/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
10/12/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
10/7/2011List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
10/3/2011Custodial Agreements
9/29/2011CSA issues Notice relating to National Instrument 31-103
9/23/2011List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
9/7/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
9/7/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
9/6/2011Foreign Exchange (FX) Margin Surcharge
9/1/2011Over-the-counter securities fair pricing rule and confirmation disclosure requirements
9/1/2011Custodial Agreements
9/1/2011Guidance on fair pricing of over-the-counter securities
8/26/2011Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations
8/23/2011Acceptable Institutions and Acceptable Counterparties Database
8/19/2011Foreign Exchange (FX) Margin Surcharge
8/11/2011List of Securities Eligible for Reduced Margin
8/10/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
8/10/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
8/8/2011Foreign Exchange (FX) Margin Surcharge
8/2/2011Custodial Agreements (07-31-11)
8/2/2011Foreign Exchange (FX) Margin Surcharge
7/29/2011Provisions Respecting Dark Liquidity
7/29/2011Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 23-311 Regulatory Approach to Dark Liquidity in the Canadian Market
7/18/2011Foreign Exchange (FX) Margin Surcharge
7/15/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
7/4/2011Proposed Guidance on the Guarantee by a Participant of a Trade Price for a Client Order
7/4/2011Custodial Agreements
6/15/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
6/15/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
6/1/2011Custodial Agreements
5/27/2011Plain language rule re-write project - Debt Markets and Inter-Dealer Bond Brokers
5/24/2011List of Securities Eligible for Reduced Margin
5/19/2011Reminder Regarding the Reporting of Extended Failed Trades
5/13/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
5/13/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
5/11/2011Request for comments on draft Guidance Note “Disclosure and approval of outside business activities”
5/9/2011Foreign Exchange (FX) Margin Surcharge
5/2/2011Custodial Agreements
4/19/2011Foreign Exchange (FX) Margin Surcharge
4/8/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
4/8/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
4/7/2011Supplement to the List of Securities Eligible for Reduced Margin
3/30/2011Guidance Respecting the Use of Certain Order Types
3/30/2011Summary of Comments Received on Proposed Guidance Respecting Order Types, Best Execution and Management of Orders
3/30/2011Guidance on Best Execution and Management of Orders
3/14/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
3/14/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
3/9/2011Foreign Exchange (FX) Margin Surcharge
3/3/2011Designation of GMP Junior Oil and Gas Index
3/1/2011Custodial Agreements
2/28/2011Response to comments on proposed amendments to Form 1 to adopt IFRS for regulatory reporting purposes
2/28/2011Amendments to Form 1 to adopt IFRS for regulatory reporting purposes
2/25/2011Proposed Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations
2/25/2011Provisions Respecting Regulation of Short Sales and Failed Trades
2/25/2011Price Movement and Short Sale Activity: The Case of the TSX Venture Exchange
2/25/2011Trends in Trading Activity, Short Sales and Failed Trades
2/25/2011Implementation Date for the Reporting of Extended Failed Trades
2/25/2011Implementation Date for the Reporting of Trade Variations and Cancellations
2/22/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
2/22/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
2/14/2011Amendments to Form 1 to adopt CAS for the audits of regulatory financial statements
2/11/2011Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100 - 2700
2/7/2011Request for comments on the updated draft Guidance Notice MR0281: “Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence”
2/3/2011List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars
2/1/2011Summary of Comments Received Respecting Proposed Guidance on “Locked” and “Crossed” Markets
2/1/2011Guidance on “Locked” and “Crossed” Markets
2/1/2011Custodial Agreements
1/28/2011Provisions Respecting the Implementation of the Order Protection Rule
1/26/2011Foreign Exchange (FX) Margin Surcharge
1/19/2011Securities Listed on Foreign Exchanges Eligible for Margin
1/14/2011Increase of Arbitration Award Limit to $500,000, Election on Cost Awards and Summary of Public Comments
1/14/2011Withdrawal of Amendments to Form 1 to adopt CAS for the audits of regulatory financial statements
1/13/2011List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
1/13/2011List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
1/13/2011Extension of Request for Comment - Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades
1/7/2011Proposals to implement the core principles of the Client Relationship Model
1/4/2011Custodial Agreements
12/15/2010Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades
12/14/2010Foreign Exchange (FX) Margin Surcharge
12/14/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
12/3/2010Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies
12/3/2010Withdrawal of Proposed Amendments to Continuing Jurisdiction Provisions
12/1/2010Custodial Agreements
11/30/2010Proposed Guidance Respecting Order Types, Best Execution and Management of Orders
11/19/2010Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada, Position Paper 23-405, Dark Liquidity in the Canadian Market
11/19/2010List of Securities Eligible for Reduced Margin
11/19/2010List of Recognized Exchanges and Associations (Regulated Entities Purposes)
11/18/2010Proposed Guidance Respecting the Implementation of Single- Stock Circuit Breakers
11/12/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
11/12/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
11/2/2010Foreign Exchange (FX) Margin Surcharge
11/1/2010Custodial Agreements
10/22/2010Consolidated Compliance Report: Examination Findings in the 2009/2010 Examination Cycle and the Focus for the Current Examination Cycle
10/14/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
10/14/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
10/8/2010Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900
10/1/2010Custodial Agreements
9/17/2010Temporary exemption from the requirement to provide relationship disclosure information prescribed by Section 14.2(1) of National Instrument 31-103, Registration Requirements and Exemptions
9/16/2010List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities
9/13/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
9/13/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
9/1/2010Custodial Agreements
8/31/2010Principal Protected Notes Compliance Review: Findings, Requirements and Recommendations
8/31/2010New Product Due Diligence Regulatory Review– Common Deficiencies and Requirements for Written Policies, Procedures and Controls
8/27/2010Amendments to Form 1 to adopt IFRS for regulatory reporting purposes
8/24/2010Summary of Public Comments relating to IIROC Arbitration Program Review and Request for Comments re: Award Limit of $500,000 and Costs Awards
8/24/2010Foreign Exchange (FX) Margin Surcharge
8/13/2010List of Securities Eligible for Reduced Margin
8/10/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
8/10/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
8/3/2010Custodial Agreements
7/28/2010Foreign Exchange (FX) Margin Surcharge
7/28/2010List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities
7/28/2010List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars
7/14/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (14-07-10)
7/14/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (14-07-10)
7/6/2010Foreign Exchange (FX) Margin Surcharge (July 6, 2010)
7/2/2010Custodial Agreements (30-06-10)
6/18/2010Foreign Exchange (FX) Margin Surcharge (18-06-10)
6/11/2010Request for Nominations to the Market Rules Advisory Committee
6/11/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
6/11/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
6/4/2010Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements
5/28/2010Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 - “Dark Pools, Dark Orders and Other Developments in Market Structure in Canada” and Next Steps
5/28/2010Personal Financial Dealing and Outside Business Activities Proposals
5/14/2010List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
5/14/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
5/13/2010Update to Annotated Universal Market Integrity Rules
5/7/2010List of Securities Eligible for Reduced Margin
5/4/2010List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies)
5/3/2010Custodial Agreements (April)
4/28/2010Guidance on “Insider” and “Significant Shareholder” Markers
4/9/2010Trade Confirmation and Matching Requirements
4/9/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (09-04-10)
4/9/2010List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (09-04-10)
4/6/2010“Principal Market” Determination for 2010
4/1/2010Custodial Agreements (31-03-10)
3/26/2010Plain language rule re-write project – Proposed Rule 3100, Business Conduct and Proposed Rule 3200, Client Accounts
3/26/2010Proposed Guidance on “Locked” and “Crossed” Markets
3/22/2010Foreign Exchange (FX) Margin Surcharge (19-03-10)
3/19/2010Foreign Currency Group
3/12/2010List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (12-03-10)
3/12/2010Registration Reform – Frequently Asked Questions
3/10/2010Reporting of Changes to Business Models
3/5/2010Forum to Discuss Consultation Paper 23-404 Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
3/2/2010Custodial Agreements (28-02-10)
2/22/2010List of Securities Eligible for Reduced Margin (22-02-10)
2/12/2010IIROC Registration Reform Rule Amendments - Correction
2/12/2010List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
2/12/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
2/5/2010Request for comments on draft “Requirements and Best Practices for distribution of non-arm’s length investment products”
2/1/2010Custodial Agreements (31-01-10)
1/19/2010List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
1/19/2010List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
1/8/2010Provisions Respecting Trading During Certain Securities Transactions
1/4/2010Custodial Agreements (31-12-09)
12/22/2009Best Practices for Head Office Supervision of Branch Offices
12/21/2009Client Complaint Handling Rule and Guidance Note; and amendments to Dealer Member Rules 19, 37 and 2500
12/16/2009Review of IIROC Arbitration Program
12/9/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
12/2/2009Custodial Agreements (30-11-09)
11/25/2009List of Securities Eligible for Reduced Margin (25-11-09)
11/13/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
11/13/2009Provisions Respecting Implementation of the Order Protection Rule
11/13/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
11/2/2009Custodial Agreements (31-10-09)
10/22/2009FX Margin Surcharge (21-10-09)
10/14/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
10/2/2009Request for comments on draft Guidance Note: “Know-your-client and Suitability Guidelines”
10/1/2009Custodial Agreements (30-09-09)
9/30/2009Dark Pools, Dark Orders, and Other Developments on Market Structure in Canada
9/30/2009List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies)
9/23/2009Change of Arbitration Administrator in Western Canada
9/21/2009Acceptable Institutions and Acceptable Counterparties Database
9/18/2009Bare Trustee Agreements
9/16/2009List of Securities Eligible for Reduced Margin (Supplement)
9/16/2009IIROC Dealer Member Rule Amendments to Implement the CSA’s Registration Reform Project
9/10/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products
9/1/2009Custodial Agreements (31-08-09)
8/27/2009“Best Execution” and “Best Price” Obligations for Securities Listed on TSX Venture Exchange
8/25/2009Canadian Investor Protection Fund
8/19/2009Amendments to complaint handling requirements – status and implementation update
8/18/2009List of Securities Eligible for Reduced Margin
8/10/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (August 2009)
8/10/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (August 2009)
8/7/2009Custodial Agreements (31-07-09)
7/30/2009Procedures for Handling Certain Designated Trades as Principal
7/23/2009List of Entities Considered Suitable to Hold LBMA Gold and Silver Good Delivery Bars
7/23/2009FX Margin Surcharge (23-07-09)
7/17/2009IIROC Dealer Member Rule Amendments to Implement the CSA’s Registration Reform Project
7/13/2009International Financial Reporting Standards (IFRS): Survey Results and Staff Recommendations
7/10/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (07-10-09)
7/10/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (07-10-09)
7/2/2009Custodial Agreements (June)
6/26/2009PROVISIONS RESPECTING THE ASSIGNMENT OF IDENTIFIERS AND SYMBOLS
6/12/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (06-12-09)
6/12/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (06-12-09)
6/11/2009Best Practices for Credit Risk Management
6/10/2009Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds
6/8/2009FX Margin Surcharge (08-06-09)
6/1/2009Custodial Agreements (01-05-09)
5/25/2009Margin Requirements for Precious Metals – Amendments to IIROC Dealer Member Rules 100.2, 100.20, and 400.4, and Dealer Member Form 1
5/22/2009Trading in Securities of U.S. OTC Issuers - Proposed Amendments to Dealer Member Rule 1300.1
5/15/2009List of Securities Eligible for Reduced Margin
5/6/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (06-05-09)
5/4/2009Custodial Agreements (04-05-09)
5/4/2009FX Margin Surcharge (04-05-09)
5/1/2009Specific questions related to the use of the Bypass Order Marker
5/1/2009Proposed amendments to simplify the Equity Margin Project
4/24/2009Revisions to the definition of “securities related activities”
4/24/2009Client Relationship Model
4/22/2009Reminder of Disclosure Requirements for CDIC Coverage Eligibility for GIC Customer Holdings
4/17/2009Specific Questions related to the “Best Price” Obligation
4/17/2009Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements
4/9/2009Guidance on Aspects of "Locked" and "Crossed" Markets
4/7/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (07-04-09)
4/7/2009List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (07-04-09)
4/7/2009FX Margin Surcharge (07-04-09)
4/3/2009Maintaining an effective compliance regime during economic and market downturns
4/2/2009Custodial Agreements (31-03-09)
3/23/2009Revised on March 25, 2009: Best practices for product due diligence
3/20/2009Specific questions related to supervision of algorithmic trading
3/3/2009Custodial Agreements (28-02-09)
2/27/2009Acceptable Institutions and Acceptable Counterparties Database
2/26/2009Deferral of implementation date for the reporting of extended failed trades and trade variations and cancellations
2/23/2009IFRS Survey Questionnaire
2/17/2009Response to comments – client complaint handling rule and guidance note and amendments to Dealer Member Rules 19, 37 and 2500
2/17/2009List of Securities Eligible for Reduced Margin
2/13/2009Amendments to complaint handling requirements - client complaint handling rule and guidance note and amendments to Dealer Member Rules 19, 37 and 2500
2/13/2009Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps
2/13/2009Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies
2/9/2009FX Margin Surcharge (09-02-09)
2/5/2009List of Approved Inter-Dealer Bond Brokers
2/5/2009Approved inter-dealer bond brokers – Amendments to IIROC Dealer Member Form 1
2/4/2009List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies)
2/3/2009Custodial Agreements (31-01-09)
2/3/2009Designation of Additional Exchange-Traded Funds
2/3/2009Implementation Date for the Marking of Bypass Orders
1/21/2009Important Amendments to Quebec Legislation affecting Margin Accounts
1/15/2009Offsets between strip coupon positions and / or residual debt positions – Amendments to IIROC Dealer Member Rule 100.4E
1/9/2009List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
1/9/2009“Principal Market” Determination for 2009
1/6/2009Custodial Agreements (31-12-08)
12/30/2008Equity Margin Project - Timelines Delayed
12/29/2008FX Margin Surcharge (12-24-08)
12/19/2008Acceptable Clearing Corporations and Acceptable Securities Locations – Amendments to IIROC Dealer Member Form 1
12/19/2008FX Margin Surcharge (19-12-08)
12/19/2008List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies)
12/15/2008FX Margin Surcharge (15-12-08)
12/1/2008Custodial Agreements (01-12-08)
11/24/2008Securities Concentration Charge calculation option for Broad Based Index Securities - Amendments to IIROC Dealer Member Form 1
11/24/2008Elimination of IIROC Appeal Panel
11/24/2008FX Margin Surcharge (24-11-08)
11/14/2008FX Margin Surcharge (14-11-08)
11/7/2008List of Acceptable Trade Matching Utilities for the purposes of IIROC Dealer Member Rule 800.49 relating to Broker to Broker Trade Matching
11/7/2008List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
11/5/2008FX Margin Surcharge (05-11-08)
11/4/2008FX Margin Surcharge (04-11-08)
11/4/2008List of Securities Eligible for Reduced Margin
10/31/2008FX Margin Surcharge (31-10-08)
10/28/2008FX Margin Surcharge
10/28/2008FX Margin Surcharge
10/27/2008INTERIM PROVISIONS RESPECTING TRADE-THROUGH OBLIGATIONS
10/27/2008PROVISIONS RESPECTING IMPLEMENTATION OF TRADE-THROUGH PROTECTION
10/24/2008FX Margin Surcharge
10/23/2008Extension of Request for Comments – Amendments to Implement the CSA Registration Reform Project
10/20/2008FX Margin Surcharge
10/17/2008FX Margin Surcharge
10/16/2008FX Margin Surcharge
10/15/2008FX Margin Surcharge
10/15/2008PROVISIONS RESPECTING SHORT SALES AND FAILED TRADES
10/10/2008FX Margin Surcharge
10/9/2008FX Margin Surcharge
10/7/2008FX Margin Surcharge
10/7/2008List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
10/6/2008EXTENSION OF THE PROHIBITION ON SHORT SALES OF CERTAIN FINANCIAL SECTOR ISSUERS
10/2/2008FX Margin Surcharge
9/30/2008Adoption of International Financial Reporting Standards (IFRS)
9/25/2008Acceptable Institutions and Acceptable Counterparties Database
9/23/2008FX Margin Surcharge
9/23/2008FX Margin Surcharge
9/23/2008RESTATED REMINDER RESPECTING OBLIGATIONS IN THE CONDUCT OF SHORT SALES
9/22/2008Third-Party ABCP Exchanged into MAV and Tracking Notes
9/22/2008REMINDER RESPECTING OBLIGATIONS IN THE CONDUCT OF SHORT SALES
9/19/2008List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities
9/17/2008Extension of Request for Comment - Financial Planning Rule
9/11/2008List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
9/10/2008FX Margin Surcharge
9/8/2008Swap Arrangements involving Regulated Entities
9/4/2008Margining of a Security that is not Covered in Dealer Member Rule 100 or Form 1
9/2/2008Custodial Agreements
8/18/2008List of Securities Eligible for Reduced Margin
8/13/2008List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
8/6/2008Securities Listed on Foreign Exchanges Eligible for Margin
8/5/2008Custodial Agreements
7/30/2008USER GUIDE FOR THE REGULATORY MARKER CORRECTION FORM
7/21/2008DESIGNATION OF ADDITIONAL EXCHANGE-TRADED FUNDS
7/18/2008PROVISIONS RESPECTING BEST EXECUTION
7/15/2008NEW PROCEDURES FOR ORDER MARKER CORRECTIONS
7/14/2008ENTERING ORDERS ON A PROTECTED MARKETPLACE THAT SUPPORTS HIDDEN ORDER TYPES
7/11/2008ANNOTATED VERSION OF THE UNIVERSAL MARKET INTEGRITY RULES
7/11/2008List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
7/2/2008Custodial Agreements
6/16/2008Equity Margin Project – Timelines and Margin Rate File
6/12/2008List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products
6/3/2008Custodial Agreements
6/2/2008INDUSTRY STANDARD AGREEMENTS
5/16/2008MIN 2008-009 Request for Comments - Provisions Respecting the "Best Price" Obligation May 16, 2008
3/21/2008MIN 2008-005 - Request for Comments - Provisions Respecting Trading During Certain Securities Transactions, March 21, 2008
3/14/2008MIN 2008-004 - Request for Comments - Provisions Respecting the Assignment of Identifiers and Symbols, March 14, 2008
9/7/2007MIN 2007-017 Request for Comments Provisions Respecting Short Sales and Failed Trades, Sept. 7, 2007
4/20/2007MIN 2007-009 Request for Comments - Provisions Respecting Access to Marketplaces April 20, 2007