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: memberpolicymailbox@ciro.ca

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Investment Dealer and Partially Consolidated Rules

Investment Dealer and Partially Consolidated Rules (PDF)

IDPC Form 1 (PDF)

Rule Amendment Index (Excel)

Rules Guidance Notes

These guidance notes remain effective and will be updated to reference the Investment Dealer and Partially Consolidated Rules.

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Mutual Fund Dealer Rules

Mutual Fund Dealer Rules (PDF)

MFDR Form 1 (PDF)

Rules of Procedure (PDF)

Rule Amendment Index (Excel)

MFDA Staff Notices

Staff Notices remain effective and will be updated to reference the Mutual Fund Dealer Rules.

Supporting Resources

Historical Rules

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