Alert:
A nationwide postal strike or lockout may occur as early as May 22, 2025. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Dealer Member Rules
CIRO’s Dealer Member Rules include:
- the Investment Dealer and Partially Consolidated Rules, which govern the activities of investment dealers, and
- the Mutual Fund Dealer Rules, which govern the activities of mutual fund dealers.
For inquiries about Dealer Member Rules, please contact Member Regulation Policy at: [email protected]
Investment Dealer and Partially Consolidated Rules
Investment Dealer and Partially Consolidated Rules (PDF)
These guidance notes remain effective and will be updated to reference the Investment Dealer and Partially Consolidated Rules.
Mutual Fund Dealer Rules
Mutual Fund Dealer Rules (PDF)
Staff Notices remain effective and will be updated to reference the Mutual Fund Dealer Rules.
Supporting Resources
Historical Rules
Welcome to CIRO.ca!
You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.
The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:
- Enforcement
- Hearings
- Consultations
- A unified member directory (Dealers We Regulate)
- Advisor Report
We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.