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2114. Soliciting trades in a Dealer Member’s securities

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Series 2000: Dealer Member Organization and Individual Approval Rules
    Rule
    1. A Dealer Member may solicit trades in its own securities or those of its holding company when:
      1. making a distribution of its own securities under a prospectus in compliance with IIROC requirements and securities laws, or
      2. making a private placement of its own securities under securities laws.
    2. A Dealer Member must not solicit trades in its own securities or its holding company in the secondary market.
    3. A Dealer Member may accept unsolicited orders for its own securities or those of its holding company.
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