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Text Content

MenuClose MenuClose Menu
 * About IIROC Open submenu
 * Investors Open submenu
 * Markets Open submenu
 * Rules and Enforcement Open submenu
 * Members Open submenu
 * News and Publications Open submenu

Close submenuAbout IIROCClose MenuClose Menu
 * IIROC FAQ
 * What We Do
 * Executive Management Team Open submenu
 * Board of Directors Open submenu
 * Careers
 * Governance & Bylaws
 * Nominees to Other Boards
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Close submenuExecutive Management TeamClose MenuClose Menu
 * Laura McNeil

Close submenuBoard of DirectorsClose MenuClose Menu
 * Debra Doucette
 * Edward Iacobucci
 * Edward Iacobucci

Close submenuInvestorsClose MenuClose Menu
 * Dealers We Regulate
 * Know Your Advisor: IIROC Advisor Report
 * Choosing an Investment Advisor
 * Looking up an Investment Advisor or Firm Open submenu
 * How to Make a Complaint
 * Complaints and Inquiries Statistics
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 * Search outside IIROC

Close submenuLearning the Basics and Protecting Your InvestmentsClose MenuClose
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 * External Investment Resources for Seniors
 * FAQs for Ex-Pat Canadian Investors
 * Tips to Spot and Prevent Fraud
 * Tips to Spot and Prevent Fraud
 * Understanding Financial Certifications

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 * Investor Bulletins
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 * Markets We Regulate
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 * Surveillance Contacts
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 * SMARTS Platform

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 * Monthly Client Debt Margin

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 * Policy Priorities
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 * Helping Members Navigate the IIROC Rules and Guidance Notes

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 * Guide to Enforcement Proceedings
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 * Frequently Asked Questions about the National Registration Database (NRD)

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 * Enabling the Evolution of Advice in Canada Open submenu
 * Improving Self-Regulation for Canadians

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 * Market Volatility

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 * Foreword: Enabling the evolution of advice in Canada
 * Investors are changing
 * Foreword
 * The industry is transforming in response
 * Emerging digital business models and tools
 * Innovation headwinds in Canada
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 * Looking Ahead
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 * ABOUT IIROC
   
   A pan-Canadian, self-regulatory organization committed to protecting
   investors, market integrity and Canadians’ trust.
   
   Back
   
   
   ABOUT IIROC‌
   
   A pan-Canadian, self-regulatory organization committed to protecting
   investors, market integrity and Canadians’ trust.
   
   close
    * IIROC FAQ
    * What We Do
    * Executive Management Team
    * Board of Directors
    * Careers
    * Governance & Bylaws
    * Nominees to Other Boards
    * District Councils
    * Board Committees
    * Advisory Committees


 * INVESTORS
   
   Find the right advisor, make a complaint, or learn investment basics.
   
   Back
   
   
   INVESTORS‌
   
   Find the right advisor, make a complaint, or learn investment basics.
   
   close
    * Dealers We Regulate
    * Know Your Advisor: IIROC Advisor Report
    * Choosing an Investment Advisor
    * Looking up an Investment Advisor or Firm
    * How to Make a Complaint
    * Complaints and Inquiries Statistics
    * Investor Alerts
    * Learning the Basics and Protecting Your Investments
    * Investor Brochures, Bulletins & Other Resources


 * MARKETS
   
   How we protect investors and ensure the integrity of markets in Canada.
   
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   MARKETS‌
   
   How we protect investors and ensure the integrity of markets in Canada.
   
   close
    * Markets We Regulate
    * Trade Surveillance
    * Canadian Bankers’ Acceptance Rates
    * Corporate and Government Bond Information
    * Reports, Statistics and Other Information


 * RULES AND ENFORCEMENT
   
   Find information about policy, rules for our member community and
   enforcement.
   
   Back
   
   
   RULES AND ENFORCEMENT‌
   
   Find information about policy, rules for our member community and
   enforcement.
   
   close
    * Policy Priorities
    * IIROC Rules
    * UMIR Rules
    * Dealer Member Rules (repealed December 31, 2021)
    * Enforcement
    * Whistleblower Service


 * MEMBERS
   
   Resources for our Dealer Members and Marketplace Members.
   
   Back
   
   
   MEMBERS‌
   
   Resources for our Dealer Members and Marketplace Members.
   
   close
    * Becoming a Regulated Dealer
    * Becoming a Registered Individual
    * Becoming a Regulated Marketplace
    * Continuing Education
    * Fee Models
    * Dealer Member Compliance
    * Cybersecurity & Technology
    * Client Identifiers
    * Forms and Templates


 * NEWS AND PUBLICATIONS
   
   Discover the latest notices, publications, media releases, and halts and
   resumptions issued by IIROC.
   
   Back
   
   
   NEWS AND PUBLICATIONS‌
   
   Discover the latest notices, publications, media releases, and halts and
   resumptions issued by IIROC.
   
   close
    * News Releases
    * Halts and Resumptions
    * Annual Reports
    * Strategic Plans and Annual Priorities
    * Enforcement Reports
    * Compliance Priorities
    * Exemptions Reports
    * Notices and Guidance
    * Consultations
    * Regulatory and Investing Links
    * Registration Review Hearings
    * ePublications
    * COVID-19
    * Enabling the Evolution of Advice in Canada
    * Improving Self-Regulation for Canadians

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WELCOME TO IIROC

The Investment Industry Regulatory Organization of Canada is the pan‑Canadian
self‑regulatory organization that oversees all investment dealers and trading
activity on Canada’s debt and equity marketplaces. 

IIROC is committed to protecting investors, protecting market integrity, and
building Canadians’ trust in financial regulation and the people managing their
investments.
 

New to IIROC?
Learn about how we protect investors and support healthy Canadian capital
markets.

The Investment Industry Regulatory Organization of Canada (IIROC) released its
annual Enforcement Report today, which highlights enforcement activities and
IIROC’s continued efforts to protect investors and the integrity of Canada’s
capital markets.


IIROC HIGHLIGHTS

Andrew J. Kriegler to lead Canada’s new SRO

The CSA announced that the IIROC and the MFDA have approved Andrew J. Kriegler
as Chief Executive Officer (CEO) of the new self-regulatory organization (SRO)
when it is formed.

IIROC’s 2023 Priorities

IIROC has now released the 2023 Priorities. IIROC continues to prioritize
providing value to Canadian investors and enhancing securities regulation across
Canada.

Improving Self-Regulation for Canadians

The CSA has led a thoughtful and deliberate consultation on the appropriate
framework for self-regulation. This work is important to Canadians and their
financial futures.


RECENT NOTICES AND NEWS RELEASES

View all Notices and News Releases
July 7, 2022
Housekeeping amendments to the IIROC Rules and Form 1 relating to the LBMA
memberships
Approval/Implementation
July 7, 2022
IIROC’s 2021-2022 Enforcement Report: Effective regulation a result of
pan-Canadian enforcement powers and ability to collect fines through courts
General
July 7, 2022
New Webcast: Highlights of IIROC’s 2021-22 Enforcement Report
Education Notice
July 7, 2022
Custodial Agreements
Technical
July 6, 2022
IN THE MATTER OF MF Global Canada Co. – Motion
Hearing
July 6, 2022
IN THE MATTER OF Alvin Rupert Jones – Review
Decision


QUICK LINKS

 * Halts and Resumptions
 * Cease Trade Orders
 * Dealers We Regulate
 * UMIR Rulebook
 * IIROC Rulebook
 * AdvisorReport
 * Consultations
 * Enforcement Proceedings
 * Continuing education and webinars
 * Careers


SPECIAL TOPICS

 * New SRO Interim Rules – Frequently Asked Questions
 * New SRO Investor Advisory Panel – Questions & Answers
 * IIROC Rules Implementation
 * Cybersecurity
 * Self-regulation for Canadians
 * Clients Identifiers
 * COVID-19


MARKET RATES

Trade date: 2022/07/06


CANADA BANKERS' ACCEPTANCE (BA) RATE

 * 2.15718
   
   1 month

 * 2.71054
   
   3 month

 * BA Rate Historical Data (xls)
 * BA Rate Historical Data (Interactive version)
 * BA Rate Methodology (pdf)


CORPORATE AND GOVERNMENT DEBT TRADE INFORMATION

Providing greater transparency on Canadian Corporate and Government debt trading
activity.

 * Corporate and Government Debt Trade Information
 * Bond Trade Data (pdf)


NEW AND NOTABLE



Investor Alert: Lucros Financeiros

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Investor Alert: Liquidityswap

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Investor Alert: Maxi Capital Ltd.

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OPEN CONSULTATIONS‌

View All Consultations‌
Proposed Amendments to the IIROC Rules and to Form 1 regarding the floating
index margin rate methodology
Status:
Open
Date opened:
April 28, 2022
Proposed Amendments Respecting the Codification of Certain UMIR Exemptions
Status:
Open
Date opened:
April 14, 2022


LEARN MORE ABOUT YOUR INVESTMENT ADVISOR.

Advisor Report


Other IIROC Sites:

 * Corporate and Government Debt Trade Information
 * IIROC Services
 * Notice of Basis Order

 * Website Terms of Use
 * Privacy
 * Social Media Terms of Use
 * Accessibility (pdf)

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