IIROC Dealer Member Plain Language Rule Book published for comments

14 mars 2016

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The Investment Industry Regulatory Organization of Canada published for a 120-day comment period its proposed plain language rule book for IIROC dealer members on March 10, 2016.

The plain language rule book is intended to be a clearer, more streamlined version of its existing Dealer Member Rules.  In addition ,while substantive comments are not within the scope of the revisions, several existing Dealer Member Rules were identified as requiring substantive revisions to improve regulatory policy and to render the Dealer Member Rules consistent with National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103).  According to IIROC, it is intended that the Plain Language Rule Book will be combined with the Universal Market Integrity Rules to create a consolidated IIROC Rule Book.

Comments on the proposed Plain Language Rule Book are due on July 8, 2016.  For further information, please see IIROC Notice 16-0052.

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