Forms and Templates

For best results, please view and fill out the forms in Adobe Reader.

Registration

• Investor Application Form (PDF) - For investors holding 10% or more of an IIROC member firm
• Investor Notification Form (PDF) - For investors holding less than 10% of an IIROC member firm

Training & Proficiency

• 30 Day Training Certificate (PDF)
• 90 Day Training Certificate (PDF)

Investment Dealer CE Course Accreditation

• Continuing Education Course Accreditation Application Form (PDF)

Supervision

• Close Supervision Report (PDF)
• Close Supervision Report for IRs (PDF)
• Strict Supervision Report (PDF)
• Supervision Report - Traders (PDF)
• Supervision Report - Six months (PDF)

Regulatory Reporting

• Reporting form for certain DEA and OEO clients and Advisers (Excel) - effective July 26, 2021

"Regulated by CIRO" Logos

“Regulated By IIROC” logos have moved, and are now “Regulated by CIRO” logos. You can find them on the welcome page after logging into CIRO Services.

Books and Records audit reports (New Member Applicants)

• Recognized EDP Service Provider Types 1 and 2 (PDF)
• Recognized EDP Service Provider Types 3 and 4 and Full Service (PDF)
• Proprietary EDP Systems (PDF)

Custody Agreements

• Custodial Agreement (general) (PDF)
• Custodial Agreement (NCI) (PDF)
• Mutual Fund Bare Trustee Agreement (PDF) - to be used by Investment Dealers
• “Bare Trustee” Custodial Agreement (Schedule A to MSN-0058) (PDF) - to be used by Mutual Dealers
• Member/Custodian Agreement (PDF)

Introducing Broker/Carrying Broker Agreements

• Type 1 Introducing Broker (PDF)
• Type 2 Introducing Broker (PDF)
• Type 3 Introducing Broker (PDF)
• Type 4 Introducing Broker (PDF)

Financing Agreements

• Uniform Subordinated Loan Agreement (PDF)
  • Uniform Subordinated Loan Agreement - Schedule A (PDF)
• Subordinated Loan Agreement - Mutual Fund Dealers (PDF)
• Limited Recourse Call Loan Agreement (PDF)
• Repurchase/Reverse Repurchase Agreement (PDF)
• Securities Loan (with set-off) (PDF)
• Securities Loan (no set-off) (PDF)
• New Issue Loan Master Agreement (PDF)

Other

• Member New Issue Levy Form (Excel)
• Cross Guarantee Agreement (related companies) (PDF)
• File Copy Request Form (PDF)
• Confirmation of Completion of New Registrant Training and Supervision Program (PDF)
• Undertaking Preferred Shares (PDF)
• Uniform Guarantee by Members and Related Members (PDF)
• Auditor Requirements (Schedule H) (PDF)

NRD Forms

• Form 1 - Enrolment Of Firm (PDF)
• Form 2 - Enrolment Of Chief Authorized Firm Representative (PDF)
• Form 3 - NRD Account Holder Authorization (PDF)