Licensing

What is IIROC?

IIROC is the regulatory body for all securities firms in Canada. It sets the proficiency requirements for individuals who sell securities such as stocks, bonds, mutual funds, options and/or futures. In addition, IIROC regulations require that those who have specific roles within the member firms (all securities firms are IIROC members), such as portfolio management or supervisory roles such as branch management, meet defined educational and work experience criteria.

What courses meet IIROC requirements?

The following are the CSI courses that meet the educational requirements for positions regulated by IIROC. Please note that in addition to these educational requirements, these positions may have additional requirements such as work experience.

Securities Sales Licensing under the Investment Industry Organization of Canada (IIROC):