4130. Introduction

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    1. Part B of Rule 4100 describes the early warning system that alerts IIROC to a Dealer Member’s financial or operational problems. It also sets out the process IIROC follows and the requirements that Dealer Members must comply with to resolve early warning test violation situations before they worsen.

    2. A Dealer Member has a responsibility to:

      1. monitor for early warning test violations,

      2. avoid the potential for early warning test violations, and

      3. report early warning test violations to IIROC when they occur.

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