Investment Dealer and Partially Consolidated Rules
The Investment Dealer and Partially Consolidated Rules govern the activities of investment dealer firms.
Investment Dealer and Partially Consolidated Rules
Mutual Fund Dealer Rules
The Mutual Fund Dealer Rules govern the activities of mutual fund dealer firms.
Universal Market Integrity Rules
The Universal Market Integrity Rules (UMIR) set out the requirements applicable to CIRO Participant Members, Access Persons and Marketplaces for securities-related trading activities on all marketplaces that we regulate.
Universal Market Integrity Rules
By-Law No. 1
The By-law sets out the constitution for CIRO and the general operating structure for CIRO and its Members, including:
- powers and duties of the Board of Directors
- membership eligibility and approval process
- annual fees payable by Members
- disciplinary procedures
- Regional Councils
- examinations and investigations
Interim Fee Model Guidelines Applicable to Investment Dealer Members and Marketplace Members (PDF)
Interim Fee Model Guidelines for Mutual Fund Dealers
Integration Cost Recovery Fee Model Guideline (PDF)
For all documents pertaining to the Canadian Investment Regulatory Organization, including rule book black lines, please visit the CSA CIRO Document Directory.