2101. Introduction

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    1. Rule 2100 covers the issuance of securities by a Dealer Member or its holding company and changes in ownership. 
    2. A Dealer Member must conduct its business with integrity and must maintain adequate financial resources. IIROC has a responsibility to ensure that persons who have an interest in a Dealer Member are fit and proper. IIROC also needs to assess whether the obligations incurred by a Dealer Member under the terms of securities it issues pose a risk to the Dealer Member.

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