2104. Repayments and additional subordinated debt

A Dealer Member must obtain IIROC’s approval in writing before it can issue any additional securities representing subordinated debt or repay any subordinated debt.

Guidance/Notices

There is no history log for this rule.

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2101. Introduction

2102. Definitions

2103. Dealer Members must have IIROC approval to issue subordinated debt

2105. Agreements with IIROC

2106. IIROC notification of changes of ownership

2107. Ownership of another Dealer Member

2108. Ownership of a significant equity interest and ownership of assets

2109. A Dealer Member’s ownership of another Dealer Member

2110. Public ownership

2111. Public distribution of a Dealer Member’s securities

2112. Take-over bids or amalgamations

2113. Secondary distribution of securities

2114. Soliciting trades in a Dealer Member’s securities

2115. Dealer Member’s securities in client accounts

2116. Research reports

2117. IIROC approvals

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