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On October 22, IIROC released draft guidance withdrawing its position that clearing arrangements are a type of introducing broker / carrying broker arrangement to which IIROC Dealer Rule 35 applies.

Hot on the heels of the OSC's release of its 2012 Annual Report, IIROC has just released its annual report for 2011-2012. Entitled Raising the Bar, the report outlines the progress made by IIROC to enhance regulatory standards and strengthen investor protection in Canada, and also summarizes the organization's enforcement activities over the last year.