2106. IIROC notification of changes of ownership

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    1. A Dealer Member must notify IIROC in writing and file the form specified by IIROC at least 20 days before issuing or transferring its securities or its holding company’s securities, including any legal or beneficial ownership interest in either.
    2. Subsection 2106(1) does not apply to a class of securities if:
      1. there is public ownership of those securities as a result of a distribution made in compliance with securities laws,  and 
      2. the purchase or transfer will not result in an acquirer of the securities owning a significant equity interest.

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