4138. Lifting an early warning designation

Or jump to a Series:

    1. A Dealer Member will remain designated as being in early warning level 1 or 2 until IIROC confirms in writing that the early warning designation has been lifted. IIROC will lift the early warning designation when the Dealer Member files a monthly financial report, or submits such other evidence or assurances, that satisfies IIROC that the Dealer Member has solved the problems that placed it in early warning.

    4139. - 4149.  Reserved.

    There is no history log for this rule.