Appendix 5. IIROC Rules Notice Reference Numbers for the Original and Previous Publications (See section 2.1)

Transcription

1 Appendix 5 IIROC Rules Notice Reference Numbers for the Original and Previous Publications (See section 2.1) SERIES 1000 TRANCHES REPUBLICATION (S) Rule 1100 Interpretation January 6, 2012 Rule 1200 Definitions January 6, 2012 Rule 1300 Powers of the Corporation January 6, 2012 Rule 1400 Standards of Conduct January 6, 2012 Rule 1500 Managing Significant Areas of Risk SERIES 2000 Rules published June 9, 2016 Rules published June 9, 2016 Rules 2100 Ownership of a Dealer Member s Securities Rule 2150 Dealer Member Structure Rule 2200 Dealer Member Membership Changes Substantive amendment published June 27, 2013 (IIROC Notice ) 1

2 Rule 2250 Business Change Notification Requirements Rule 2300 Branch Offices of Dealer Members Rule 2350 Trade Names and Disclosures Rule 2400 Principal and Agent Relationships Rule 2450 Acceptable Back Office Arrangements Rule 2500 Dealer Member Directors and Executives Rule 2550 Approval of Individuals Rule 2600 Proficiency Requirements and Exemptions from Proficiency Categories Rule Continuing Education Requirements for Approved Persons Rule 2700 The National Registration Database REPUBLICATION (S) SERIES 3000 Rule 3100 Business Conduct March 26, 2010 Rule 3200 Client Accounts March 26, 2010 Rule 3250 Options Contracts, Futures Contracts and Futures Contract Options March 26,

3 Rule 3270 Discretionary and Managed Accounts Rule 3400 Suitability Requirements March 26, 2010 Rule 3500 Sales Practices Rule 3600 Communications with the Public Rule 3700 Complaints and Internal Investigations Rule 3800 Books and Records Rule 3900 Supervision REPUBLICATION (S) SERIES 4000 Rule 4100 General Dealer Member Financial Standards Rule 4200 Financial Disclosure to Clients Rules 4300 and 4400 Protection of Clients Assets Rules 4500 and 4600 Financing Arrangements 3

4 Rules 4700 and 4800 Operations Rule 4900 Other Internal Control Requirements REPUBLICATION (S) SERIES 5000 Rule 5100 Margin Requirements Application and Definitions Rule 5200 Margin Requirements for Debt Securities and Mortgages Rule 5300 Margin Requirements for Equity Securities and Index Products Rule 5400 Margin Requirements for Other Investment Products Rule 5500 Margin Requirements for Underwriting Commitments and When Issued Trading Rule 5600 Margin Requirements for Offset Strategies Involving Debt and Equity Securities and Related Instruments Rule 5700 Margin Requirements for Offset Strategies Involving Derivative Products Rule 5800 Account Related Agreements SERIES 6000 Note: Reserved for UMIR SERIES 7000 Rule 7100 Debt Markets May 27,

5 Rule 7200 Transaction Reporting for Debt Securities Rule 7300 Inter-Dealer Bond Brokers SERIES 8000 Rule 8100 Enforcement Investigations Rule 8200 Enforcement Proceedings Rule 8300 Hearing Committees Rule 8400 Rules of Practice and Procedure SERIES 9000 May 27, 2011 May 27, 2011 REPUBLICATION (S) Rule 9100 Compliance Examinations Rule 9200 Approvals and Regulatory Supervision Rule 9300 Regulatory Review Proceedings Rule 9400 Procedures for Opportunities to be Heard Rule 9500 Alternate Dispute Resolution March 30, 2012 Rule 9600 Compliance Fees March 30, 2012 Rule 9700 Canadian Investor Protection Fund March 30, 2012 Substantive amendment Revisions published February 20,