Interim Rules

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 New SRO 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 the New SRO and the general operating structure for the New SRO and its Members, including:

  • powers and duties of the Board of Directors
  • membership eligibility and approval process
  • annual fees payable by Members
  • disciplinary procedures
  • Regional Councils
  • examinations and investigations

By-Law No. 1 (PDF)


Interim Fee Model Guidelines Applicable to Investment Dealer Members and Marketplace Members (PDF)

Interim Fee Model Guidelines for Mutual Fund Dealers

Integration Cost Recovery Fee Model Guideline (PDF)

For all documents pertaining to the New Self-Regulatory Organization of Canada, including rule book black lines, please visit the CSA New SRO Document Directory.