Part 11 - Administration of UMIR
11.8 Transitional Provisions – Repealed
Defined Terms:
N1 21-101 section 1.1 – “regulation services provider”
UMIR section 1.1 – “Market Regulator”, “marketplace”, “Marketplace Rules” and “Trading Rules”
Regulatory History:
In connection with the recognition of IIROC and its adoption of UMIR, the applicable securities commissions approved an amendment to repeal and replace Rule 11.8 that came into force on June 1, 2008. See Footnote 1 in Status of Amendments.
Effective December 9, 2013, the applicable securities commissions approved amendments to the French version of UMIR. See IIROC Notice 13-0294 – Notice of Approval and Implementation – “Amendments to the French Version of UMIR” (December 9, 2013).
Effective September 1, 2016, the applicable securities commissions approved an amendment to repeal Rule 11.8 of UMIR. See IIROC Notice 16-0122 – “Implementation of the consolidated IIROC Enforcement, Examination and Approval Rules” (June 9, 2016).
There is no history log for this rule.
Part 1 - Definitions and Interpretation
Part 2 - Abusive Trading
Part 3 - Short Selling
Part 4 - Frontrunning
Part 5 - Best Execution Obligation
Part 6 - Order Entry and Exposure
Part 7 - Trading in a Marketplace
Part 8 - Principal Trading
Part 9 - Trading Halts, Delays and Suspensions
Part 10 - Compliance
Part 11 - Administration of UMIR
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.