IIROC definition

IIROC means the Investment Industry Regulatory Organization of Canada;

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

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;

Examples of IIROC in a sentence

• This settlement is agreed upon in accordance with IIROC Dealer Member Rules 20.35 to 20.40, inclusive and Rule 15 of the Dealer Member Rules of Practice and Procedure.

• The Investigation discloses matters for which the Respondent may be disciplined by a hearing panel appointed pursuant to IIROC Transitional Rule No.1, Schedule C.1, Part C (the “Hearing Panel”).

• Members of these programs are usually members of a recognized stock exchange in Canada and the United States, Investment Industry Regulatory Organization of Canada (IIROC), members of the National Association of Securities Dealers, or banks and trust companies in the United States.

• The Investigation discloses matters for which the Respondent may be disciplined by a hearing panel appointed pursuant to IIROC Transitional Rule No.1, Schedule C.1, Part C (“the Hearing Panel”).

• Members of these programs are usually members of a recognized stock exchange in Canada and the United States, members of the Investment Industry Regulatory Organization of Canada (IIROC), members of the National Association of Securities Dealers, or of banks and trust companies in the United States.

More Definitions of IIROC

IIROC means Investment Industry Regulatory Organization of Canada.

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 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; “IIROC provision” means a by-law, rule, regulation or policy of IIROC named in

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

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