IIROC rule review Breadcrumb Home Industry Market regulation Self-regulatory organizations (SRO) IIROC rule review Component Menu Left Sidebar Industry Registration and compliance Innovation at the OSC Companies Investment funds Market regulation Derivatives Artificial intelligence (AI) SEDAR+ IIROC rule review: 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 | 2018 | 2019 | 2020 | 2021 | 2022 2022 December 15, 2022 Notice of Commission Approval – Amendments Relating to Futures Segregation and Portability Customer Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 1, 2022 Notice of Commission Approval – Amendments Respecting the Codification of Certain UMIR Exemptions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 15, 2022 Notice of Commission Approval – Amendments Respecting the Trading of Derivatives on a Marketplace – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 18, 2022 Notice of Correction – Notice of Commission Deemed Approval – Housekeeping Amendments to Form 1, Part II – Report on Compliance for Insurance, Segregation of Securities and Guarantee/Guarantor Relationships – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 11, 2022 Notice of Commission Deemed Approval – Housekeeping Amendments to Form 1, Part II – Report on Compliance for Insurance, Segregation of Securities and Guarantee/Guarantor Relationships – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 4, 2022 Request for Comment – Proposed Amendments to Permit Reduced Margin for Swap Position Partial Offsets Held in Inventory – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 7, 2022 Notice of Commission Deemed Approval – Housekeeping Amendments to IIROC Rules and Form 1 Relating to London Bullion Market Association (LBMA) Memberships – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 28, 2022 Request for Comment – Proposed Amendments to IIROC Rules and Form 1 – Floating Index Margin Rate Methodology – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 21, 2022 Notice of Commission Deemed Approval – Housekeeping Amendments Respecting Registration Information Requirements, Outside Activity Reporting and Updated Filing Deadlines – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 21, 2022 Request for Comment – Republication of Proposed Amendments Relating to Futures Segregation and Portability Customer Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 14, 2022 Request for Comment – Proposed Amendments Respecting the Codification of Certain Universal Market Integrity Rules (UMIR) Exemptions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 14, 2022 Request for Comment – Republication of Proposed Amendments Respecting the Derivatives Rule Modernization, Stage 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 13, 2022 Request for Comment – Proposed Amendments Respecting Reporting, Internal Investigation and Client Complaint Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2021 December 16, 2021 Notice of Commission Deemed Approval – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) to Update Reference to IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 21, 2021 Notice of Commission Deemed Approval – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Regarding the Definition of “Marketplace” – Investment Industry Regulatory Organization of Canada (IIROC) October 14, 2021 Notice of Commission Deemed Approval – Housekeeping Rule Changes to the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) September 30, 2021 Notice of Commission Approval – Amendments to Form 1 and Corollary Amendments to the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) September 9, 2021 Notice of Commission Deemed Approval – Housekeeping Amendments to IIROC Rules to Enhance Protection of Older and Vulnerable Clients – Investment Industry Regulatory Organization of Canada (IIROC) September 9, 2021 IIROC Notice 21-0159 – Housekeeping Amendments to Enhance Protection of Older and Vulnerable Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 26, 2021 Notice of Commission Approval – Client Focused Reforms Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC) August 26, 2021 IIROC Notice 21-0148- Client Focused Reforms – IIROC Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 29, 2021 Notice of Commission Approval – Amendments to Swap Counterparty Margin Requirements – Investment Industry Regulatory Organization of Canada (IIROC) July 29, 2021 IIROC Notice 21-0129 – Amendments to swap counterparty margin requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 15, 2021 Notice of Commission Deemed Approval – Housekeeping Amendments to DMR and IIROC Rules As Related to IIROC Notices 19-0071 and 19-0101 – Investment Industry Regulatory Organization of Canada (IIROC) July 8, 2021 Request for Comment – Proposed Amendments to the IIROC Rules and Form 1 relating to the Futures Segregation and Portability Customer Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) July 8, 2021 IIROC Notice 21-0113 – Proposed Amendments to the IIROC Rules and Form 1 relating to the futures segregation and portability customer protection regime – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 2, 2021 Notice of Commission Approval – Amendment to IIROC By-Law No. 1 regarding the Definition of “Marketplace” – Investment Industry Regulatory Organization of Canada (IIROC) July 2, 2021 IIROC Notice 21-0116 – Notice of Recognizing Regulator Approval of Amendment to IIROC By-Law No. 1 Regarding the Definition of “Marketplace” – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 10, 2021 Request for Comment – Proposed Amendments to Form 1 and Corollary Amendments to the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) June 10, 2021 IIROC Notice 21-0103 – Proposed Amendments to Form 1 and corollary amendments to the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 13, 2021 Notice of Withdrawal – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC) May 13, 2021 IIROC Notice 21-0096 – Withdrawal of proposed amendments respecting disclosure of information by ombudsman service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 29, 2021 Notice of Commission Deemed Approval – Housekeeping Amendments to Form 1 for Use in, and Consistency with, the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) April 29, 2021 IIROC Notice 21-0084 – Housekeeping Amendments to Form 1 for use in, and consistency with the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 22, 2021 Notice of Commission Approval – Amendments to Dealer Member Rules and IIROC Rules Regarding Exemptions for Bulk Account Movements – Investment Industry Regulatory Organization of Canada (IIROC) April 22, 2021 IIROC Notice 21-0078 – Amendments to Dealer Member Rules and IIROC Rules regarding Exemptions for Bulk Account Movements Document opens in new tab April 22, 2021 Notice of Commission Approval – Amendment to Remove the Risk Component of IIROC’s Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) April 22, 2021 IIROC Notice 21-0080 – Removal of the risk component of the annual fees paid by Dealer Members effective April 1, 2021 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 8, 2021 Notice of Withdrawal – Proposed Amendments Respecting the Minor Contravention Program – Investment Industry Regulatory Organization of Canada (IIROC) April 8, 2021 IIROC Notice 21-0059 – Withdrawal of the Proposed Amendments to adopt the Minor Contravention Program – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2021 Request for Comment – Notice of Proposed Margin Requirements for Structured Products – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2021 IIROC Notice 21-0032 – Proposed margin requirements for structured products – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 18, 2021 Notice of Commission Approval – Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 18, 2021 IIROC Notice 21-0028 – Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 14, 2021 Notice of Withdrawal – Proposed Amendments Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 14, 2021 IIROC Notice 21-0009 – Withdrawal of the Proposed Amendments and Proposed Guidance Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2020 December 17, 2020 Request for Comment – Proposed Amendment to the Risk Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) December 17, 2020 IIROC Notice 20-0267 – Removal of the risk component of the annual fees paid by Dealer Members – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 10, 2020 Notice of Commission Approval – Amendments to Dealer Member Rules to Early Adopt Certain IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) December 10, 2020 IIROC Notice 20-0262 – Early adoption of certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 3, 2020 Request for Comment – Proposed Amendment to IIROC By-law No. 1 Section 1.1 (Definition of "Marketplace") – Investment Industry Regulatory Organization of Canada (IIROC) December 3, 2020 IIROC Notice 20-0254 – Proposed Amendment to IIROC By-law No. 1 Regarding the Definition of "Marketplace" – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 19, 2020 Request for Comment – Notice of Proposed Client Focused Reforms Rule Amendments for Public Comment – Investment Industry Regulatory Organization of Canada (IIROC) November 19, 2020 Notice of Commission Deemed Approval – Housekeeping Amendments Respecting Client Focused Reforms – Investment Industry Regulatory Organization of Canada (IIROC) November 19, 2020 IIROC Notice 20-0238 – Client Focused Reforms – Proposed Rule Amendments for Public Comment – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 19, 2020 IIROC Notice 20-0239 – Client Focused Reforms – Housekeeping Rule Changes – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 8, 2020 Request for Comment – Proposed Amendments Regarding Exemptions for Bulk Account Movements – Investment Industry Regulatory Organization of Canada (IIROC) October 8, 2020 IIROC Notice 20-0203 – Proposed Amendments – IIROC Exemptions for Bulk Account Movements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 8, 2020 Request for Comment – Proposed Amendments Respecting the Trading of Derivatives on a Marketplace – Investment Industry Regulatory Organization of Canada (IIROC) October 8, 2020 IIROC Notice 20-0202 – Proposed Amendments Respecting the Trading of Derivatives on a Marketplace – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 27, 2020 Notice of Commission Order – IIROC IP – Investment Industry Regulatory Organization of Canada (IIROC) August 27, 2020 Notice of Commission Approval – Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Investment Industry Regulatory Organization of Canada (IIROC) August 27, 2020 IIROC Notice 20-0179 – Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 regarding agency tri-party arrangements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 23, 2020 Request for Comment – Notice of Proposed Early Adoption of Certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) July 23, 2020 IIROC Notice 20-0162 – Proposed Early Adoption of Certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 16, 2020 Request for Comment – Proposed Amendments to Swap Counterparty Margin Requirements – Investment Industry Regulatory Organization of Canada (IIROC) July 16, 2020 IIROC Notice 20-0154 – Proposed Amendments to Swap Counterparty Margin Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 18, 2020 Notice of Commission Deemed Approval – Housekeeping Amendments to Dealer Member Rule 200.2 and Equivalent IIROC Rule on Trade-Confirmation Suppression Requirements – Investment Industry Regulatory Organization of Canada (IIROC) June 18, 2020 IIROC Notice 20-0129 – Trade confirmation suppression housekeeping amendments to align with CSA jurisdictions’ relief from reporting under National Instrument 24-101 Institutional Trade Matching and Settlements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 16, 2020 Update Notice – Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) April 16, 2020 IIROC Notice 20-0079 – Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book and Update on the Client Focused Reforms – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 5, 2020 Notice of Commission Deemed Approval – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Following Implementation of IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC) February 13, 2020 Notice of Commission Deemed Approval – Housekeeping Amendments to Form 2 for Consistency with the Current Cultural and Business Practices – Investment Industry Regulatory Organization of Canada (IIROC) 2019 December 19, 2019 Notice of Commission Approval – Amendments to Continuing Education Rules – Investment Industry Regulatory Organization of Canada (IIROC) December 19, 2019 Notice of Withdrawal – Proposed Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) December 12, 2019 Notice of Commission Approval – Amendments to Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 Regarding Free Credit Cash Segregated in Trust for Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 21, 2019 Request for Comment – Notice of Proposed Derivatives Rule Modernization, Stage 1 – Investment Industry Regulatory Organization of Canada (IIROC) November 21, 2019 IIROC Notice 19-0200 – Proposed Derivatives Rule Modernization, Stage 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 14, 2019 Notice of Commission Approval – Amendments Respecting Mandatory Reporting of Cybersecurity Incidents – Investment Industry Regulatory Organization of Canada (IIROC) November 14, 2019 IIROC Notice 19-0194 – Amendments Respecting Mandatory Reporting of Cybersecurity Incidents – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 17, 2019 Request for Comment – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC) October 17, 2019 IIROC Notice 19-0181 – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 17, 2019 Notice of Commission Deemed Approval – Housekeeping Amendments to Form 1 for use in, and consistency with, the Plain Language Dealer Member Rules Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) October 17, 2019 IIROC Notice 19-0180 – Housekeeping amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 17, 2019 Notice of Commission Approval – Amendments Respecting Client Identifiers for Reportable Debt Transactions – Investment Industry Regulatory Organization of Canada (IIROC) October 17, 2019 IIROC Notice 19-0179 – Amendments Respecting Client Identifiers for Reportable Debt Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2019 IIROC Notice 19-0118 – Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 5, 2019 Request for Comment – Proposed Amendments Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC) September 5, 2019 IIROC Notice 19-0157 – Proposed Amendments Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 29, 2019 Request for Comment – Proposed Amendments re Free Credit Cash Segregated in Trust for Clients – Investment Industry Regulatory Organization of Canada (IIROC) August 29, 2019 IIROC Notice 19-0155 – Proposed Amendments re Free Credit Cash Segregated in Trust for Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 29, 2019 Request for Comment – Republication of Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC) August 29, 2019 IIROC Notice 19-0154 – Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 22, 2019 Notice of Commission Approval – Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) August 22, 2019 IIROC Notice 19-0144 – Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 22, 2019 Notice of Commission Approval – Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) August 22, 2019 IIROC Notice 19-0145 – Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 22, 2019 Notice of Commission Approval – Amendments to Form 1 for use in, and Consistency with, the Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) August 22, 2019 IIROC Notice 19-0146 – Amendments to Form 1 for use in, and Consistency with, the Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 22, 2019 Notice of Commission – Amendments to Forms and Guidance Respecting Investment in a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) August 22, 2019 IIROC Notice 19-0147 – Amendments to Forms and Guidance Respecting Investment in a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 8, 2019 Notice of Commission Approval – Amendments Respecting Provision of Price Improvement by a Dark Order – Investment Industry Regulatory Organization of Canada (IIROC) August 8, 2019 IIROC Notice 19-0134 – Amendments Respecting Provision of Price Improvement by a Dark Order – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2019 Notice of Commission Approval – Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits – Investment Industry Regulatory Organization of Canada (IIROC) June 11, 2019 IIROC Notice 19-0060 – Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2019 Request for Comment – Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions – Investment Industry Regulatory Organization of Canada (IIROC) June 11, 2019 IIROC Notice 19-0118 – Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2019 Request for Comment – Proposed Amendments to Continuing Education Requirements – Investment Industry Regulatory Organization of Canada (IIROC) June 11, 2019 IIROC Notice 18-0019 – Proposed Amendments to Continuing Education Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2019 IIROC Notice 19-0117 – Proposed Amendments to Continuing Education Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 6, 2019 Notice of Commission Approval – Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 6, 2019 IIROC Notice 19-0101 – Amendments to Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 25, 2019 Request for Comment – Minor Contravention Program and Early Resolution Offers – Investment Industry Regulatory Organization of Canada (IIROC) April 25, 2019 IIROC Notice 19-0076 – Minor Contravention Program and Early Resolution Offers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 18, 2019 Notice of Commission Approval – Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) April 18, 2019 IIROC Notice 19-0071 – Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 4, 2019 Request for Comment – Proposed Amendments to IIROC By-Law No. 1, s. 5.3(2) (Director Term Limits) – Investment Industry Regulatory Organization of Canada (IIROC) April 4, 2019 IIROC Notice 19-0060 – Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 28, 2019 Notice of Commission Approval – Amendments to Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) March 28, 2019 IIROC Notice 18-0052 – Proposed Amendments to Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 28, 2019 IIROC Notice 19-0052 – Amendments to Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 5, 2019 Notice of Commission Deemed Approval – Housekeeping Amendment to Schedule 7A of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) March 5, 2019 IIROC Notice 19-0035 – Housekeeping Amendment to Schedule 7A of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 5, 2019 Notice of Commission Deemed Approval – Housekeeping Amendments to Form 1 to Adopt IFRS for Leases – Investment Industry Regulatory Organization of Canada (IIROC) March 5, 2019 IIROC Notice 19-0036 – Housekeeping amendments to Form 1 to adopt IFRS reporting requirements for leases – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 21, 2019 Request for Comment – Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Investment Industry Regulatory Organization of Canada (IIROC) February 21, 2019 IIROC Notice 19-0027 – Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2018 December 13, 2018 Request for Comment – Proposed Amendments Respecting the Provision of Price Improvement by a Dark Order – Investment Industry Regulatory Organization of Canada (IIROC) December 13, 2018 IIROC Notice 18-0231 – Proposed Amendments Respecting Provision of Price Improvement by a Dark Order – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 13, 2018 Notice of Commission Deemed Approval – Housekeeping Amendments to Sample Auditor’s Reports in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) December 13, 2018 IIROC Notice 18-0230 – Housekeeping amendments to Form 1 to adopt new auditor reporting standards for the audits of regulatory financial statements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 13, 2018 Notice of Withdrawal – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Strategies – Investment Industry Regulatory Organization of Canada (IIROC) September 13, 2018 IIROC Notice 18-0177 – Withdrawal of proposed amendments to Dealer Member Rules to permit partial swap offset strategies – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 9, 2018 Notice of Commission Approval – Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) August 9, 2018 IIROC Notice 18-0154 – Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 9, 2018 Request for Comment – Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC) August 9, 2018 IIROC Notice 18-0153 – Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 26, 2018 Request for Comment – Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) July 26, 2018 IIROC Notice 18-0141 – Proposed Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 28, 2018 Request for Comment – Proposed Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) June 28, 2018 IIROC Notice 18-0122 – Proposed Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 21, 2018 Notice of Commission Deemed Approval – Housekeeping Amendments to UMIR Policy 7.1 – Investment Industry Regulatory Organization of Canada (IIROC) June 21, 2018 IIROC Notice 18-0118 – Housekeeping amendments to the provisions respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 12, 2018 Request for Comment – Republication of Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) April 12, 2018 IIROC Notice 18-0079 – Republication of Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 5, 2018 Request for Comment – Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 5, 2018 IIROC Notice 18-0070 – Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 28, 2018 Notice of Commission Approval – IIROC Notice 17-024 – Amendments to the Minimum Dealer Regulation Fee Component – Investment Industry Regulatory Organization of Canada (IIROC) March 8, 2018 Request for Comment – Proposed Amendments to Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) February 15, 2018 Request for Comment – Proposed Amendments to Form 1 for Use in, and Consistency, with the Plain Language Dealer Member Rules Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) February 15, 2018 IIROC Notice 18-0043 – Proposed Amendments to Form 1 for use in, and consistency, with the Plain Language – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 25, 2018 Request for Comment – Proposed Amendments to IIROC Continuing Education Rules – Investment Industry Regulatory Organization of Canada (IIROC) January 25, 2018 IIROC Notice 18-0019 – Continuing Education Rules – proposed amendments – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 18, 2018 Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) January 18, 2018 IIROC Notice 18-0014 – Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2017 December 21, 2017 Request for Comment – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) December 5, 2017 IIROC Notice 17-0228 – CSA and IIROC Joint Staff Notice 23-319 Internalization in the Canadian Market – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 30, 2017 Notice of Commission Approval – Continuing Education Requirements for Approved Persons – Investment Industry Regulatory Organization of Canada (IIROC) November 30, 2017 IIROC Notice 17-0223 – Notice of Commission Approval – Continuing Education Requirements for Approved Persons – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 30, 2017 Notice of Commission Deemed Approval – Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) November 30, 2017 IIROC Notice 17-0224 – Notice of Commission Deemed Approval – Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 28, 2017 Notice of Commission Approval – Amendments Respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 28, 2017 Notice of Commission Approval – Amendments to Dealer Member Rule 200.2(l)(x)(B) on Trade-Confirmation Suppression Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 28, 2017 IIROC Notice 17-0188 – Notice of Approval – Amendments to trade-confirmation suppression requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 27, 2017 Notice of Withdrawal – Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades – Investment Industry Regulatory Organization of Canada (IIROC) July 27, 2017 IIROC Notice 17-0159 – Notice of Withdrawal – Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 13, 2017 Notice of Withdrawal – Proposed Amendments Relating to the New Methodology for Margining Equity Securities – Investment Industry Regulatory Organization of Canada (IIROC) July 13, 2017 IIROC Notice 17-0144 – Notice of Withdrawal – Proposed Amendments Relating to the New Methodology for Margining Equity Securities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 13, 2017 Notice of Commission Approval – Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC) July 13, 2017 IIROC Notice 17-0143 – Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 13, 2017 Notice of Withdrawal – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC) July 13, 2017 IIROC Notice 17-0145 – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 13, 2017 Notice of Withdrawal – Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) July 13, 2017 IIROC Notice 17-0146 – Notice of Withdrawal – Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 6, 2017 Notice of Commission Approval – Amendments Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) July 6, 2017 IIROC Notice 17-0137 – Amendments Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 6, 2017 Request for Comment – Proposed Amendments Relating to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) July 6, 2017 IIROC Notice 17-0139 – Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 29, 2017 Notice of Commission Approval – Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement – Investment Industry Regulatory Organization of Canada (IIROC) June 29, 2017 IIROC Notice 17-0133 – Notice of Commission Approval – Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 25, 2017 Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 25, 2017 IIROC Notice 17-0111 – Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 18, 2017 Request for Comment – Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) May 18, 2017 IIROC Notice 17-0110 – Request for Comment – Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 4, 2017 OSC Staff Notice of Commission – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) May 4, 2017 IIROC Notice 17-0102 – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 4, 2017 Appendix A – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 4, 2017 Appendix B – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 4, 2017 Appendix C – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 20, 2017 Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC) April 20, 2017 IIROC Notice 17-0088 – Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 6, 2017 Notice of Withdrawal – Proposed Amendments Relating to Personal Financial Dealings with Clients – Investment Industry Regulatory Organization of Canada (IIROC) April 6, 2017 IIROC Notice 17-0079 – Notice of Withdrawal – Proposed Amendments Relating to Personal Financial Dealings with Clients – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 30, 2017 Notice of Commission Approval – Amendments to Dealer Member Rule 1200 and to Form 1 Relating to the Client Free Credit Cash Usage Limit and Client Free Credit Segregation Requirements – Investment Industry Regulatory Organization of Canada (IIROC) March 30, 2017 IIROC Notice 17-0068 – Amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 30, 2017 Notice of Commission Approval – Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC) March 30, 2017 IIROC Notice 17-0069 – Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 9, 2017 Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) March 9, 2017 IIROC Notice 17-0054 – Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 9, 2017 Request for Comment – Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) March 9, 2017 IIROC Notice 17-0055 – Request for Comment – Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 16, 2017 Notice of Commission Approval – Universal Market Integrity Rules – Amendments Respecting Designations and Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) February 16, 2017 IIROC Notice 17-0039 – Amendments Respecting Designations and Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2016 December 8, 2016 Notice of Request for Comment – Proposed Provisions Respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 8, 2016 IIROC Notice 16-0287 – Proposed Amendments Respecting Trading Supervision – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 8, 2016 IIROC Notice 16-0288 – Proposed Guidance on Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 1, 2016 Request for Comment – Proposed Fee Model for the Information Processor for Corporate Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) December 1, 2016 IIROC Notice 16-0277 – New Debt Information Processor Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 10, 2016 Notice of Commission Approval – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC) November 10, 2016 IIROC Notice 16-0262 – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 13, 2016 Request for Comment – Re-publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) October 13, 2016 IIROC Notice 16-0233 – Re-Publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 29, 2016 Notice of Commission Approval – Amendments Respecting Market Transparency in Trading of Domestic Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) July 28, 2016 Notice of Request for Comment – Proposed Material Amendments to UMIR, Dealer Member Rules and Form 1 to Facilitate the Investment Industry’s Move to T+2 Settlement – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 28, 2016 IIROC Notice 16-0177 – Amendments to facilitate the investment industry's move to T+2 settlement – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 23, 2016 Notice of Request for Comments – Proposed Non-Material Amendments to Schedule 12 of Form 1 – Margin on Futures Concentrations and Deposits and its Notes and Instructions – Investment Industry Regulatory Organization of Canada (IIROC) June 23, 2016 IIROC Notice 16-0142 – Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 23, 2016 Notice of Request for Comments – Proposed Material Amendments to Schedule 12 of Form 1 – Margin on Futures Concentrations and Deposits and its Notes and Instructions – Investment Industry Regulatory Organization of Canada (IIROC) June 23, 2016 IIROC Notice 16-0141 – Material amendments to the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 16, 2016 Notice of Commission Approval – Amendments Requiring Disclosure of Membership in IIROC – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 16, 2016 IIROC Notice 16-0133 – Amendments Requiring Disclosure of Membership in IIROC – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 9, 2016 OSC Notice and Request for Comment – Proposed Universal Market Integrity Rules Amendments Respecting Designations and Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) June 9, 2016 Notice of Commission Approval – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) June 9, 2016 IIROC Notice 16-0122 – Implementation of the consolidated IIROC Enforcement, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 9, 2016 Appendix 1 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 9, 2016 Appendix 2 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 9, 2016 Appendix 3 To Rules Notice 16-0122 – Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 9, 2016 Appendix 4 To Rules Notice 16-0122 – Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 9, 2016 Appendix 5 To Rules Notice 16-0122 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 2, 2016 Request for Comment – Proposed Amendments to IIROC's Dealer Member Rules Respecting Market Transparency in Trading of Domestic Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 2, 2016 IIROC Notice 16-0117 – Proposed Amendments Respecting Market Transparency in Trading of Domestic Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 2, 2016 Notice of Commission Approval – Amendments to Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 2, 2016 IIROC Notice 15-0216 – Amendments to Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 2, 2016 IIROC Notice 15-0217 – Request for Comments – Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 28, 2016 OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 28, 2016 IIROC Notice 16-0090 – Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 21, 2016 Request for comment – Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 21, 2016 IIROC Notice 16-0082 – Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 10, 2016 Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 10, 2016 IIROC Notice 16-0052 – Re-Publication of Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2016 Request for Comment – Proposed Amendments Respecting the Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 25, 2016 IIROC Notice 16-0038 – Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 11, 2016 Notice of Commission Approval – Amendment to “Short Marking Exempt Order” Definitions – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 11, 2016 IIROC Notice 16-0028 – Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2015 December 10, 2015 Request for Comment – Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 10, 2015 IIROC Notice 15-0277 – Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 26, 2015 OSC Staff Notice of Withdrawal – Amendments to Dealer Member Rule 100.2(a)(ii) – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 26, 2015 IIROC Notice 15-0262 – Withdrawal of proposed amendments to Dealer Member Rule 100.2(a)(ii) relating to the margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 26, 2015 Notice of Withdrawal – Proposed Amendments Relating to the Cross-Guarantee Requirement – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 26, 2015 IIROC Notice 15-0261 – Withdrawal of proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 5, 2015 OSC Staff Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 5, 2015 IIROC Notice 15-0248 – Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 5, 2015 OSC Staff Notice of Approval – Amendments Relating to Rule 100.10K – Optional Use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 5, 2015 IIROC Notice 15-0249 – Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 29, 2015 OSC Staff Notice of Commission Approval – Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members’ Financial Position – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 29, 2015 Notice of Commission Approval – Debt Market Regulation Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 29, 2015 IIROC Notice 15-0243 – Approval of Debt Market Regulation Fee – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 1, 2015 OSC Staff Notice of Commission Approval – Amendments to the Universal Market Integrity Rules (UMIR) Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 24, 2015 Notice of Commission Approval – Amendments to Research Report Quiet Periods – Immediate Implementation of Amendments to Rule 3400, Requirement 14 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 24, 2015 IIROC Notice 15-0217 – Request for Comments – Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 24, 2015 IIROC Notice 15-0216 – Amendments to Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 18, 2015 Notice of Commission Approval – Amendments to the Universal Market Integrity Rules Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 – Investment Industry Regulatory Organization of Canada (IIROC) September 17, 2015 OSC Staff Notice 31-715, IIROC Notice Number 15-0210 and MFDA Bulletin Number 0658-C – Mystery Shopping for Investment Advice – Insights into advisory practices and the investor experience in Ontario September 3, 2015 Notice of Commission Approval – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 3, 2015 Notice of Commission Approval – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 3, 2015 IIROC Notice 15-0196 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 27, 2015 Notice of Commission Approval – Margin Requirements for Certain Cash and Security Borrowing and Lending Arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 27, 2015 IIROC Notice 15-005 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 30, 2015 Notice of Commission Approval – Amendments to Universal Market Integrity Rule 6.6 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 16, 2015 Notice of Request for Comments – Proposed Amendments to Rule 100.10(k) – Optional Use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 16, 2015 IIROC Notice 15-0157 – Proposed amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 16, 2015 Proposed Amendment to Universal Market Integrity Rules Respecting the Definition of “Short-Marking Exempt Order” – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 16, 2015 IIROC Notice 15-0155 – Proposed Updated Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 16, 2015 IIROC Notice 15-0156 – Proposed Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 18, 2015 Notice – Proposed Amendments to UMIR Respecting Unprotected Transparent Marketplaces and the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 12, 2015 IIROC Notice 15-0129 – Request for Comments – Proposed Amendments Respecting Unprotected Transparent Marketplaces and the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2015 OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – Housekeeping Changes to Dealer Member Rule 200 and Changes to Effective Dates for Amendments to Dealer Member Rule 200 and to Dealer Member Form 1 Relating to the Implementation of CRM2 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 11, 2015 IIROC Notice 15-0128 – Client Relationship Model – Phase 2 - Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 30, 2015 Notice of Commission Approval – Amendment to Universal Market Integrity Rule 1.1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 16, 2015 OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rules 8.7 and corollary amendments to Dealer Member Rule 8.3A relating to the Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 16, 2015 IIROC Notice 15-0085 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 26, 2015 OSC Staff Notice of Request for Comment – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 26, 2015 IIROC Notice 15-0053 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 12, 2015 Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 12, 2015 IIROC Notice 15-0045 – Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 29, 2015 Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 29, 2015 IIROC Notice 15-0023 – Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 22, 2015 IIROC Notice – Amendments to IIROC Rules to Harmonize with Client Relationship Model Phase 2 Provisions Effective July 15, 2015 and July 15, 2016 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 22, 2015 IIROC Notice 15-0013 – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2014 December 18, 2014 OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 18, 2014 IIROC Notice 14-0298 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 13, 2014 Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 13, 2014 Notice of Commission Approval – Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 13, 2014 IIROC Notice 14-0263 – Rules Notice – Request for Comment – Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 6, 2014 Notice of Request for Comment – Proposed Amendments Relating to the Cross-Guarantee – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 6, 2014 IIROC Notice 14-0257 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 30, 2014 Notice of Commission Approval – Dealer Member Rule 2800C Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) September 18, 2014 Notice of Request for Comments – Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) September 18, 2014 IIROC Notice 14-0214 – Client Relationship Model – Phase 2 Performance reporting and fee / charge disclosure amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 10, 2014 Notice of Commission Approval – Proposed Continuance under Canada Not-for-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 26, 2014 OSC Staff Notice of Request for Comment – Disclosure to Clients of Dealer Members’ Financial Position – Amendments to Dealer Member Rule 1400 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 26, 2014 IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 12, 2014 OSC Staff Notice of Request for Comment – Margin requirements for debt security obligations of supranational entities – Amendments to Dealer Member Rule 100.2(a)(ii) – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 12, 2014 IIROC Notice 14-0148 – Rules Notice – Request for Comments – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 29, 2014 Notice of Commission Approval – Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 29, 2014 IIROC Notice 14-0133 – Rules Notice – Notice of Approval/Implementation – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 15, 2014 OSC Staff Notice of Request for Comment – Proposed Amendments to Universal Market Integrity Rules Regarding Order Protection – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab May 15, 2014 IIROC Notice 14-0124 – Rules Notice – Request for Comments – Proposed Provisions Respecting the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2014 OSC Staff Notice of Request for Comment – Proposed Personal Financial Dealing Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2014 IIROC Notice 14-0103 – Rules Notice – Request for Comments: Proposed Personal Financial Dealing amendments – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2014 OSC Staff Notice of Request for Comment – Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 24, 2014 IIROC Notice 14-0101 – Rules Notice – Request for Comments – Re-Publication of Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 27, 2014 OSC Staff Notice of Request for Comment – Amendments to Universal Market Integrity Rule 1.1 – Definition of Basis Order – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 27, 2014 IIROC Notice 14-0077 – Rules Notice – Request for Comments – Proposed Amendments to the Definition of Basis Order – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 13, 2014 OSC Staff Notice of Request for Comment – Margin requirements for certain cash and security borrowing and lending arrangements – Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 13, 2014 IIROC Notice 14-0066 – Rules Notice – Request for Comments – Margin requirements for certain cash and security borrowing and lending arrangements – Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 OSC Staff Notice of Withdrawal – Amendments Respecting Trading in US OTC Issuers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 IIROC Notice 14-0049 – Rules Notice – Notice of Withdrawal – Proposed Amendments to Dealer Member Rule 1300.1 relating to Trading in Securities of U.S. OTC Issuers – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 OSC Staff Notice of Withdrawal – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 IIROC Notice 14-0048 – Rules Notice – Notice of Withdrawal – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 OSC Staff Notice of Withdrawal – Revisions to the Definition of Securities Related Activities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 IIROC Notice 14-0047 – Rules Notice – Notice of Withdrawal – Revisions to the Definition of Securities Related Activities – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 OSC Staff Notice of Request for Comment – Proposed Plain Language Rule 9600 – Compliance Fees – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2014 IIROC Notice 14-0046 – Rules Notice – Request for Comment: Proposed Plain Language Rule 9600 – Compliance Fees – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 16, 2014 OSC Staff Notice of Request for Comment – The Investment Industry Regulatory Organization of Canada (IIROC) Proposed Requirements for Debt Securities Transaction Reporting – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 9, 2014 IIROC Notice 14-0004 – Proposed Requirements for Debt Securities Transaction Reporting – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2013 December 12, 2013 OSC Staff Notice of Request for Comment – Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 12, 2013 IIROC Notice 13-0300 – Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 14, 2013 OSC Staff Notice of Request for Comment – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab November 14, 2013 IIROC Notice 13-0275 – Rules Notice – Request for Comments – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 31, 2013 OSC Staff Notice of Request for Comment – Proposed Continuance Under Canada Not-For-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 31, 2013 IIROC Notice 13-0261 – Administrative Notice – Request for Comments: Proposed Continuance under Not-for-profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 24, 2013 OSC Staff Notice and Request for Comment – Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 24, 2013 IIROC Notice 13-0255 – Request for Comments – Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 29, 2013 Notice of Commission Approval – Amendments Respecting Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab August 29, 2013 IIROC Notice – Notice of Approval/Implementation – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 4, 2013 Notice of Commission Approval – Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab July 4, 2013 IIROC Amendments Respecting Third Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 27, 2013 IIROC Rules Notice 13-0174 – Request for Comment – Proposed Plain Language Rule Sections 2210 and 2211 – Suspension and Termination of a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 27, 2013 Notice of Commission Approval – Investment Industry Regulatory Organization of Canada – Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 13, 2013 Notice of Commission Approval – IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 20, 2013 Request for Comments – IIROC Rule Notice 13-0058 – Proposed Requirements for Debt Securities Transaction – Investment Industry Regulatory Organization of Canada (IIROC) February 7, 2013 IIROC Rules Notice 13-0041 – Request for Comment – Amendments to IFRS Version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 17, 2013 OSC Staff Notice of Commission Approval – IIROC Housekeeping Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab 2012 December 20, 2012 Request for Comment – IIROC Rules Notice 12-0385 – Dealer Member Rules – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 13, 2012 OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 13, 2012 OSC Staff Notice of Approval – IIROC Rules Notice 12-0363 – UMIR – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 7, 2012 IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 7, 2012 Notice of Commission Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab December 6, 2012 Notice of Commission Approval – Dealer Member Rules 800.49 and 200.1(h) – Trade Confirmation and Matching Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 25, 2012 IIROC Notice 12-0315 – Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab October 25, 2012 Request for Comment – IIROC Rules Notice – Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab September 6, 2012 Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab June 28, 2012 Request for Comment – IIROC Rules Notice 12-0200 – Universal Market Integrity Rules (UMIR) – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 20, 2012 Request for Comment – IIROC Rules Notice – Proposed Amendments to Universal Market Integrity Rules (UMIR) – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 Guidance Note – IIROC Rules Notice 12-0109 – Know your Client and Suitability – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 Notice of Approval – IIROC Rules Notice 12-0107 – Client Relationship Model – Implementation – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 Notice of Commission Approval – Amendments to IIROC’s proposals to implement the core principles of the Client Relationship Model and related guidance notes – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab April 13, 2012 Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 30, 2012 Notice and Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 30, 2012 Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 23, 2012 Request for Comments – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 23, 2012 Notice and Request for Comment – Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab March 2, 2012 Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 17, 2012 IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 17, 2012 IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 10, 2012 Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 2, 2012 Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab February 2, 2012 Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 27, 2012 Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 20, 2012 Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab January 6, 2012 Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – Investment Industry Regulatory Organization of Canada (IIROC) Document opens in new tab View all 2008-2011 IIROC rule review documents
