Alert:

A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.

Rules and Enforcement

Investment Dealer and Partially Consolidated Rules

The Investment Dealer and Partially Consolidated Rules govern the activities of investment dealer firms.

Investment Dealer and Partially Consolidated Rules


Mutual Fund Dealer Rules

The Mutual Fund Dealer Rules govern the activities of mutual fund dealer firms.

Mutual Fund Dealer Rules


Universal Market Integrity Rules

The Universal Market Integrity Rules (UMIR) set out the requirements applicable to CIRO Participant Members, Access Persons and Marketplaces for securities-related trading activities on all marketplaces that we regulate.

Universal Market Integrity Rules


By-Law No. 1

The By-law sets out the constitution for CIRO and the general operating structure for CIRO and its Members, including:

  • The affairs of the corporation including its public interest mandate
  • powers and duties of the Board of Directors and it committees
  • conditions of membership
  • members’ meetings
  • Regional Councils and District Hearing Committees

By-Law No. 1 (PDF)