INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
AMENDMENTS TO THE MINIMUM DEALER REGULATION FEE COMPONENT OF IIROC’S DEALER
MEMBER FEE MODEL
NOTICE OF COMMISSION APPROVAL
The Ontario Securities Commission has approved proposed amendments to the Minimum Dealer Regulation Fee Component of IIROC’s Dealer Member Fee Model (Amendments). The Amendments were described in IIROC Notice 17-0243 – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model that was issued on December 21, 2017, available at http://www.iiroc.ca.
The effective date for the Amendments is April 1, 2018.
In addition, the Alberta Securities Commission, the Autorité de marchés financiers, the British Columbia Securities Commission, the Financial and Consumer Affairs Authority of Saskatchewan, the Financial and Consumer Services Commission of New Brunswick, the Manitoba Securities Commission, the Nova Scotia Securities Commission, the Office of the Superintendent of Securities, Service Newfoundland and Labrador, and the Prince Edward Island Office of the Superintendent of Securities have approved or not objected to the Amendments.