Canadian Investment Regulatory Organization (CIRO) - Request for Comment: Rule Consolidation Project – Phase 3

CIRO - Rules Bulletin - Request for Comments - Rule Consolidation Project – Phase 3
CIRO - Dealer and Consolidated Rules - Proposed Amendments
CIRO - Dealer and Consolidated Rules - Blackline Proposed Amendments
CIRO - Dealer and Consolidated Rules - Table of Concordance
CIRO - Rule Consolidation Project – Phase 3 – Dealer and Consolidated Rules - Board Resolution

The Canadian Investment Regulatory Organization (CIRO) is publishing for comment, for a 90-day period, Phase 3 of its Rule Consolidation Project rule proposals. The purpose of the Rule Consolidation Project is to bring together the two member-regulation rule sets governing investment dealers and mutual fund dealers into one set of member regulation rules that applies to both categories of CIRO Dealer Members. Phase 3 of the Rule Consolidation Project includes consolidated rules relating to membership, member business activity approval matters, clearing and settlement of trades and trade delivery standards, examination, and investigation and enforcement rules.

CIRO’s bulletin sets out the process for submitting comments.

Comment Period Expires: July 17, 2024

Published: April 18, 2024