CIRO Trader Practice Questions - CIRO Trader Exam

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Which of the following entities is officially defined as a 'Participant' under the Universal Market Integrity Rules (UMIR)?

Any retail investor who has direct market access to Canadian exchanges An investment dealer registered with CIRO that is a member of an exchange or user of an ATS A foreign investment bank trading Canadian securities without domestic registration Any corporate issuer listed on a Canadian stock exchange

Correct Answer:

An investment dealer registered with CIRO that is a member of an exchange or user of an ATS

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