To support transparency and help IIROC Dealer Members with compliance and the protection of their clients, this document answers questions we have received relating to issues associated with the coronavirus (COVID-19) pandemic. Through these FAQs, IIROC is providing guidance and information regarding situations where temporary relief from the rules identified below may be available. (For further information on temporary relief, and the process to be followed in requesting such relief, please refer to IIROC Rules Notice 20-0063, COVID-19 Related Exemptions from IIROC Rules, March 31, 2020) This relief does not extend beyond the identified requirements noted below. IIROC is closely monitoring the situation and will determine if additional relief or guidance is necessary and these FAQs will be updated accordingly. As coronavirus-related risks decrease, IIROC Dealer Members should expect to return to meeting any regulatory obligations for which relief has been provided. When appropriate, IIROC will publish a Notice announcing a termination date for the temporary relief.

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