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Series 9000: Procedural Rules – Other

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9100: COMPLIANCE EXAMINATIONS
9101. Introduction
9102. Examinations
9103. Conducting examinations
9104. Examination powers
9105. Obligations of Regulated Persons and other persons
9106. Use of information
9200: APPROVALS AND REGULATORY SUPERVISION
9201. Introduction
9202. Definitions
9203. Decisions of a District Council
9204. Individual approval applications
9205. Membership approval applications
9206. Exemption applications
9207. Continued approval
9208. Terms and conditions on membership
9209. Review Hearings
9210. Review by a securities regulatory authority
9300: REGULATORY REVIEW PROCEEDINGS
9301. Introduction
9302. Definitions
9303. Hearings and decisions
9304. Review proceedings
9305. Review by a securities regulatory authority
9400: PROCEDURES FOR OPPORTUNITIES TO BE HEARD BEFORE DECISIONS ON APPROVAL AND REGULATORY COMPLIANCE MATTERS
9401. Introduction
9402. Definitions

PART A - OPPORTUNITIES TO BE HEARD BY A DISTRICT COUNCIL OR A SENIOR OFFICER

9403. Opportunities to be heard by a District Council or a senior officer
9404. Counsel
9405. IIROC Staff Notice
9406. Response of applicant, Approved Person or Dealer Member
9407. Choice of written submissions or appearance
9408. Exchange of written submissions
9409. Appearance before a decision maker
9410. Decisions

PART B - OPPORTUNITIES TO BE HEARD BY THE BOARD

9411. Opportunities to be heard by the Board
9412. IIROC Staff Notice
9413. Response of applicant, Approved Person or Dealer Member
9414. Choice of written submissions or appearance
9415. Exchange of written submissions
9416. Appearance before the Board
9417. Decisions
9500: ALTERNATIVE DISPUTE RESOLUTION
9501. Introduction
9502. Participation by a Dealer Member in arbitration
9503. Participation by a Dealer Member in an ombudsman service
9504. Dealer Members must provide information to ombudsman service
9700: CANADIAN INVESTOR PROTECTION FUND
9701. Introduction
9702. Agreement between the Canadian Investor Protection Fund and IIROC
9703. Industry agreements or other arrangements