IIROC definition

IIROC means the Investment Industry Regulatory Organization of Canada;

IIROC means the Investment Industry Regulatory Organization of Canada.

IIROC means the Investment Industry Regulatory Organization of Canada, a predecessor corporation to the Corporation.

Examples of IIROC in a sentence

• If IIROC revokes or suspends a registered firm’s membership, the firm’s registration in the category of investment dealer is suspended until reinstated or revoked under securities legislation.

• If IIROC revokes or suspends a registered individual’s approval in respect of an investment dealer, the individual’s registration as a dealing representative of the investment dealer is suspended until reinstated or revoked under securities legislation.

• An investment dealer must not act as a dealer unless the investment dealer is a “dealer member”, as defined under the rules of IIROC.

• Under section 10.2, if IIROC suspends or revokes a firm’s membership, the firm’s registration as an investment dealer is suspended until reinstated or revoked.

• This clarifies our intent with respect to the exemptions for SRO members and recognizes that IIROC and the MFDA have rules in these areas.

More Definitions of IIROC

IIROC means the Investment Industry Regulatory Organization of Canada and any successor entity. “IIROC Rules” means UMIR and IIROC’s dealer member rules.

IIROC means the Investment Industry Regulatory Organization of Canada; “interface registration” means a registration described in section 3.3 of this policy; “MI 11-102” means Multilateral Instrument 11-102 Passport System;

IIROC means the Investment Industry Regulatory Organization of Canada and, where context requires, includes the Investment Dealers Association of Canada;

IIROC means the Investment Industry Regulatory Organization of Canada; “interim period” has the same meaning as in NI 51-102;

IIROC means the Investment Industry Regulatory Organization of Canada or any successor organization.

IIROC means the Investment Industry Regulatory Organization of Canada; “IIROC provision” means a by-law, rule, regulation or policy of IIROC named in

IIROC means the Investment Industry Regulatory Organization of Canada; "information processor",