4134. Discretion to designate a Dealer Member as being in early warning

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    1. IIROC may designate a Dealer Member as being in early warning level 1 or 2, if at any time, the condition of the Dealer Member is not satisfactory for any reason, including:

      1. financial or operating difficulties,

      2. problems arising from a record-keeping conversion or significant changes in clearing methods,

      3. issues related to being a new Dealer Member, or

      4. lateness in any filing or reporting required by IIROC.

    There is no history log for this rule.