Alert:
A nationwide postal strike or lockout may occur as early as November 3, 2004. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
Applying for Membership
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers, and monitors trading activity in certain Canadian marketplaces. Securities legislation requires investment dealers and mutual fund dealers to become CIRO Dealer Members. These laws also set out requirements for marketplaces in Canada, including the requirement for certain CIRO Marketplace Members, and in some cases, also CIRO Dealer Members.
For information on how to apply for membership as a Dealer Member, refer to Becoming a Dealer Member. For information on how to apply for membership as a Marketplace Member, refer to Becoming a Regulated Marketplace. Firms who are interested in becoming a Dual-Registered firm can find process and the required information on the Becoming a Dual-Registered Firm page.