Get the free IIROC Notice 18-0153 - Proposed Amendments to Dealer Member Rules and Form 1 Regardi...
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Rules Notice
Request for Comment
Dealer Member Rules
Comments Due By: November 8, 2018Contact:
Bruce Grossman
Senior Information Analyst, Member Regulation Policy
4169435782
Grossman×iron.please
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iiroc notice 18-0153 is typically required by individuals or organizations that fall under the regulatory oversight of the Investment Industry Regulatory Organization of Canada (IIROC). This notice may pertain to various stakeholders in the financial industry, such as investment advisors, registered representatives, dealers, brokers, and other licensed professionals. It is essential to consult the specific requirements and guidelines provided by IIROC or seek professional advice to determine if you need to fill out iiroc notice 18-0153.
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What is iiroc notice 18-0153?
IIROC notice 18-0153 is a regulatory notice issued by the Investment Industry Regulatory Organization of Canada.
Who is required to file iiroc notice 18-0153?
IIROC member firms are required to file iiroc notice 18-0153.
How to fill out iiroc notice 18-0153?
IIROC notice 18-0153 should be filled out online through the IIROC member portal.
What is the purpose of iiroc notice 18-0153?
The purpose of iiroc notice 18-0153 is to collect information from IIROC member firms for regulatory purposes.
What information must be reported on iiroc notice 18-0153?
IIROC notice 18-0153 requires reporting of financial information, compliance information, and other relevant data.
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