Alert: A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met. More Info
Sort by A -> ZZ -> AOld -> NewNew -> Old Filter Consultations - Any - Open Closed Filter by Consultation Name Sort by A -> ZZ -> AOld -> NewNew -> Old Results: Proposed Amendments – IIROC Exemptions for Bulk Account Movements Date Opened October 8, 2020 Status Closed Date Closed December 7, 2020 Consultation Paper — Competency Profiles for Registered Representatives and Investment Representatives, Retail and Institutional Date Opened August 18, 2020 Status Closed Date Closed November 16, 2020 Proposed early adoption of certain IIROC Rules into the Dealer Member Rules Date Opened July 23, 2020 Status Closed Date Closed September 8, 2020 Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC Date Opened October 17, 2019 Status Closed Date Closed November 18, 2019 Proposed Amendments Respecting Non-Clients Date Opened November 5, 2019 Status Closed Date Closed December 4, 2019 Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations Date Opened August 29, 2019 Status Closed Date Closed September 30, 2019 Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions Date Opened July 11, 2019 Status Closed Date Closed August 12, 2019 Continuing Education Rules – proposed amendments Date Opened July 11, 2019 Status Closed Date Closed August 26, 2019 Minor Contravention Program and Early Resolution Offers Date Opened April 25, 2019 Status Closed Date Closed July 24, 2019 Proposed Amendment to IIROC By‑law No. 1 Regarding Director Term Limits Date Opened April 4, 2019 Status Closed Date Closed May 6, 2019 First page « First Previous page ‹ Page 1 Page 2 Page 3 Current page 4 Page 5 Page 6 Next page › Last page Last »
Proposed Amendments – IIROC Exemptions for Bulk Account Movements Date Opened October 8, 2020 Status Closed Date Closed December 7, 2020
Consultation Paper — Competency Profiles for Registered Representatives and Investment Representatives, Retail and Institutional Date Opened August 18, 2020 Status Closed Date Closed November 16, 2020
Proposed early adoption of certain IIROC Rules into the Dealer Member Rules Date Opened July 23, 2020 Status Closed Date Closed September 8, 2020
Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC Date Opened October 17, 2019 Status Closed Date Closed November 18, 2019
Proposed Amendments Respecting Non-Clients Date Opened November 5, 2019 Status Closed Date Closed December 4, 2019
Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations Date Opened August 29, 2019 Status Closed Date Closed September 30, 2019
Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions Date Opened July 11, 2019 Status Closed Date Closed August 12, 2019
Continuing Education Rules – proposed amendments Date Opened July 11, 2019 Status Closed Date Closed August 26, 2019
Minor Contravention Program and Early Resolution Offers Date Opened April 25, 2019 Status Closed Date Closed July 24, 2019
Proposed Amendment to IIROC By‑law No. 1 Regarding Director Term Limits Date Opened April 4, 2019 Status Closed Date Closed May 6, 2019
