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Dealers We Regulate

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​For more information on suspended Dealer Members, read the related notices on First Leaside Securities Inc., Jacob Securities Inc., MF Global Canada Co., and Octagon Capital Corporation.

Terms and conditions listed on the IIROC Website are with regards to current terms and conditions imposed on a Dealer Member’s membership.  For information on any terms and conditions that may be imposed on a Dealer Member’s registration, please see the National Registration Search (“NRS”) database provided by the Canadian Securities Administrators. The NRS can be accessed through the following link: CSA National Registration Search.



IIROC Dealer Members by Peer Group

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Download the list of IIROC Dealer Members by Peer Group in PDF format.



IIROC Dealer Members by Name of Organization

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All  Excel 

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Organization NameAddress
Acker Finley Inc.181 University Avenue
Suite 1400
Toronto ON M5H 3M7

Acumen Capital Finance Partners Limited500 - 4th Ave. SW
Suite 800
Calgary AB T2P 2V6

AGF Securities (Canada) Limited66 Wellington Street West
Suite 3100
Toronto ON M5K 1E9

Aligned Capital Partners Inc.1001 Champlain Avenue
Suite 300
Burlington ON L7L 5Z4

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AltaCorp Capital Inc.#410, 585 - 8th Avenue SW
Calgary AB T2P 1G1

Argosy Securities Inc.1725, 16th AVENUE, SUITE # 101

Arton Investments1 Westmount Square
Suite 1110
Montréal QC H3Z 2P9

Assante Capital Management Ltd.199 Bay Street
Suite 2700

ATB Securities Inc.2100, 10020 100 Street NW
Edmonton AB T5J 0N3

AURAY Capital Canada inc.600, rue de la Gauchetière Ouest
Bureau 2740
Montréal QC H3B 4L8

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Who We Regulate

List of regulated dealer firms
List of Exchanges and ATSs Individuals (IIROC AdvisorReport)

Rule Book

IIROC Dealer Member Rules
  •Supporting Rule Resources
      »Regulatory Documents
      »Acceptable Institutions
  • Form 1 (Financial Report)
  • Form 2 (New Client Application Form)
Universal Market Integrity Rules (UMIR)
  •Supporting Rule Resources
      »Collection Collection De Chaussures Chaussures Abordables Printemps Abordables x8qpTBwq Circuit Breaker Levels
      »List of SSCB Stocks
      » List of Highly Liquid Stocks
      »List of Acceptable Foreign Trade Reporting Facilities
      » List of Exempt ETFs
      » List of Designated Indexes
      »List of Protected and Unprotected Marketplaces April 2018-March 2019
      »List of Protected and Unprotected Marketplaces April 2017-March 2018
      »List of Protected and Unprotected Marketplaces July 2016–March 2017
Consolidated Rules
Continuing Education Rules
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  •Transition Rule (as at September 1, 2016)
  •Former Transition RuleSk8 Imprim Hi Chaussures Slim Femme Vans


All Notices
Enforcement Notices
Rules Notices

  •UMIR Notices – All
      » UMIR Request for Comments
      » Archived RS Notices
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      » Proposed Policy
      » Archived IDA Notices & Bulletins
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Marketplace Notices
Education Notices
Administration Notices
Registration Review Hearings

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Halts & Resumptions

Most Recent Announcements
IIROC Policy on Halts
DEA and Routing Arrangement Notice Form
OES Notice Form
Notice of Basis Order Form IIROC Services
National Registration Database
SIRFF Filing Access
Short Sale Calculation and Reporting - User Guide

Inquiries & Complaints

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Public/Investor Complaints & Inquiries
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Surveillance Contacts
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IIROC AdvisorReport

Check up on registered advisors

Search Disciplinary Cases

Includes former registrants and regulated firms
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