Universal Market Integrity Rules (UMIR) Rulebook
The course Universal Market Integrity Rules (UMIR) rulebook covers the requirements that apply to IIROC participant dealer members, access persons, and marketplaces for securities related to trading activities on all marketplaces regulated by IIROC.
In order to receive CE credits, you will need to receive a mark of 5 out of 8 or higher on the final quiz. This course qualifies for the following continuing education (CE) credits:
| Governing Body | Credit Hours | Category |
|---|---|---|
| CSF | 2.0 | Compliance / Conformité |
| FP Canada | 2.5 | Financial Planning |
| IAFE - The Institute | 2.5 | 1 credit hour is ethics related |
| IIROC (Cycle 9) | 2.5 | Compliance |
| IQPF | 1.0 | SC / NP |
| MFDA | 2.5 | Business Conduct - Other |
Universal Market Integrity Rules (UMIR) Rulebook
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