Canadian Investment Regulatory Organization (CIRO) – Request for Comments – Rule Consolidation Project Phase 2

CIRO Rule Consolidation Project Phase 2 Request for Comment January 11 2024
CIRO Proposed DC Rules Phase 2 Table of concordance January 11 2024
CIRO Proposed DC Rules Phase 2 Blackline Table of concordance January 11 2024

The Canadian Investment Regulatory Organization (CIRO) is publishing for comment, for a 60-day period, Rule Consolidation Project rule proposals. 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 2 of the Rule Consolidation Project will consolidate rules relating to margin, debt markets and Inter-Dealer Bond Brokers, and trading.

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

Comment Period Expires: March 11, 2024

Published: January 11, 2024