IIROC Rules

The IIROC Rules provide a clear, organized and modernized rewrite of IIROC's existing Dealer Member Rules in plain language, and incorporate the Consolidated Rules and Continuing Education Rules.

The IIROC Rules will govern the activities of investment firms and, together with IIROC's existing Universal Market Integrity Rules (UMIR), comprise IIROC's regulatory framework.

The IIROC Rules will become effective on December 31, 2021.

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Download the IIROC Rules

The website is a searchable index of the IIROC Rules. If you would like to browse the rule book in its old format, you can download the PDF file by clicking on the button on the right. 

Last updated: August 22, 2019

Download the Table of Concordance

The Table of Concordance maps the former Dealer Member Rules to the new plain language IIROC Rules. You can download the table in Microsoft Excel file format by clicking on the button on the right.

Last updated: August 22, 2019.