Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers
INVESTMENT INDUSTRY REGULATORY ORGANIZATION
OF CANADA (IIROC)
HOUSEKEEPING AMENDMENTS TO THE
NOTES AND INSTRUCTIONS
TO SCHEDULE 5 OF FORM 1 OF
THE DEALER MEMBER RULES RELATING TO
APPROVED INTER-DEALER BOND BROKERS
NOTICE OF COMMISSION APPROVAL
The Ontario Securities Commission approved the housekeeping amendments to the Notes and Instructions to Schedule 5 of IIROC's Form 1 of the Dealer Member Rules related to approved inter-dealer bond brokers. The Alberta Securities Commission, the Autorité des marches financiers, the Newfoundland and Labrador Securities Division, the New Brunswick Securities Commission, the Nova Scotia Securities Commission and the Saskatchewan Financial Services Commission approved the amendments. The British Columbia Securities Commission did not object to the amendments.
The objective of the amendments is to adopt a more efficient approach for updating the list of approved inter-dealer bond brokers. A description and a copy of the amendments are contained in Chapter 13 of this bulletin.