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Chapter 7: Trading, Settlement, and Prohibited Activities

In this section

  • How Securities Are Traded
    Explore the intricacies of how stocks, bonds, and other securities are bought and sold in Canadian markets, covering everything from market mechanics to participant roles and regulatory oversight by CIRO.
  • Types of Orders: Market, Limit, Stop, and More
    Explore the fundamentals of order types in the Canadian securities industry, including market orders, limit orders, stop orders, and specialized instructions for optimizing your trades.
  • Sales and Trading Conduct
    Explore essential sales and trading conduct principles under CIRO oversight, focusing on honest dealings, fair disclosures, suitability assessments, and robust record-keeping practices to maintain market integrity and protect investors.
  • Prohibited Activities: Protecting Market Integrity and Investor Confidence
    Explore insider trading, market manipulation, front running, churning, unauthorized trading, and how to remain compliant under CIRO regulations.
  • Settlements, Transfers, and Corrections in Canadian Securities
    Explore T+2 settlement cycles, account transfers, and trade corrections. Learn critical steps, potential risks, and best practices to ensure seamless post-trade operations in Canada.

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Chapter 6: Product Due Diligence, Recommendations, and Advice
Chapter 8: Maintaining Client Accounts and Relationships