MFDA rule review Breadcrumb Home Industry Market regulation Self-regulatory organizations (SRO) MFDA rule review Component Menu Left Sidebar Industry Registration and compliance Innovation at the OSC Companies Investment funds and structured products Market regulation Derivatives MFDA rule review 2022 July 21, 2022 Notice of Commission Approval - New MFDA Policy No. 11 - Proficiency Standards for the Sale of Alternative Mutual Funds Document opens in new tab July 7, 2022 Notice of Commission Approval – Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) Document opens in new tab July 7, 2022 Notice of Commission Approval - Amendments to MFDA Rules 2.3.2, 2.3.3 and 5.1 regarding Limited Trading Authorization and Record-Keeping Requirements Document opens in new tab 2021 December 23, 2021 Mutual Fund Dealers Association of Canada (MFDA) – Proposed Amendments to MFDA Rules 2.3.1(b) (Discretionary Trading) and 2.2.5 (Relationship Disclosure) – Notice of Withdrawal December 23, 2021 Mutual Fund Dealers Association of Canada (MFDA) – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Notice of Withdrawal November 25, 2021 Request for Comment - Proposed New MFDA Policy No. 11 – Proficiency Standards for the Sale of Alternative Mutual Funds November 18, 2021 Notice of Commission Deemed Approval - Housekeeping Amendments to MFDA Rules to Enhance Protection of Older and Vulnerable Clients Document opens in new tab September 2, 2021 Mutual Fund Dealers Association of Canada (MFDA) – Client Focused Reforms Rule Amendments – Notice of Commission Approval July 22, 2021 Notice of Commission Approval – Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements January 21, 2021 Notice of Commission Approval - Amendments to MFDA Rule 1.1.1(a) (Business Structures - Members) Document opens in new tab 2020 December 23, 2020 Request for Comment – Proposed Amendments to MFDA Rules 2.3.2 and 2.3.3 – Limited Trading Authorization November 19, 2020 Request for Comment - Proposed Client Focused Reforms Rule Amendments November 19, 2020 Notice of Commission Deemed Approval - Housekeeping Amendments Respecting Client Focused Reforms May 7, 2020 Notice of Commission Approval - Amendments to MFDA By-law No. 1 (Investigatory Powers) April 9, 2020 Extension of Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons Document opens in new tab March 26, 2020 Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements March 26, 2020 Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements Document opens in new tab January 30, 2020 Notice of Commission Approval - Amendments to MFDA By-Law No. 1 Sections 3.3 (Election and Term), 3.6.1 (Governance Committee) and 4.7 (Quorum) January 30, 2020 Request for Comment - Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) 2019 December 12, 2019 Notice of Commission Approval - Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) – MFDA Document opens in new tab October 24, 2019 Request for Comment - Proposed Amendments to MFDA Rule 1.1.1(a) (Business Structures - Members) September 26, 2019 Notice of Commission Approval – Continuing Education Requirements for MFDA Members and their Approved Persons April 4, 2019 Request for Comment - Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) - MFDA April 4, 2019 Notice- Proposed Amendments to MFDA Rule 2.3.1(B) Document opens in new tab March 28, 2019 Request for Comment - Proposed Amendments to MFDA By-law No. 1 (Ombudservice) March 28, 2019 Notice - Proposed Amendments to MFDA By-law No. 1 (Ombudservice) Document opens in new tab March 21, 2019 Request for Comment - Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers) March 21, 2019 Notice - Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers) Document opens in new tab March 14, 2019 Request for Comment – Proposed Amendments to MFDA By-law No. 1 (Governance) March 14, 2019 Notice – Proposed Amendments to MFDA By-law No. 1 (Governance) Document opens in new tab 2018 December 27, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 April 12, 2018 Notice of Commission Approval - Requirements Relating to the Disclosure of MFDA Membership March 22, 2018 Proposed Continuing Education Requirements for MFDA Members and their Approved Persons January 4, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) January 4, 2018 Notice - Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) Document opens in new tab 2017 October 19, 2017 Notice of Withdrawal - Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) October 19, 2017 Notice - Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) Document opens in new tab July 20, 2017 OSC Staff Notice of Commission Approval - New MFDA Policy No. 8 (Proficiency Standard for Approved Persons Selling ETFs) June 29, 2017 Request for Comment - Revised Proposed Requirements Relating to the Disclosure of MFDA Membership June 29, 2017 Notice - Request for Comment - Revised Proposed Requirements Relating to the Disclosure of MFDA Membership Document opens in new tab January 19, 2017 Notice of Approval - Amendments to MFDA Rule 2.3 January 19, 2017 Summary of Public Comments on Proposed Amendments to MFDA Rule 2.3.1 Document opens in new tab January 19, 2017 Proposed Amendments to MFDA Rule 2.3 Document opens in new tab December 23, 2016 Mutual Fund Dealers Association of Canada/Association Canadienne des Courtiers de Fonds Mutuels – s. 147 2016 October 27, 2016 OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) - MFDA October 27, 2016 MFDA Notice: Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) Document opens in new tab June 30, 2016 OSC Staff Notice of Request for Comment- Proficiency Standard for Approved Persons Selling Exchange Traded Funds (ETFs) - MFDA March 17, 2016 OSC Staff Notice of Commission Approval - Amendments to MFDA Rule 1.2 (Individual Qualifications) - MFDA Document opens in new tab March 17, 2016 Summary of Public Comments on Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) Document opens in new tab March 10, 2016 OSC Staff Notice of Request for Comment - Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) - MFDA Document opens in new tab March 10, 2016 Corporate Resolution - Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) Document opens in new tab March 10, 2016 Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) - MFDA Document opens in new tab 2015 June 25, 2015 MFDA – Client Relationship Model – Phase 2 – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) Document opens in new tab June 25, 2015 Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) Document opens in new tab June 25, 2015 Corporate Resolution - RE: Proposed Housekeeping amendments re: CRM2 Document opens in new tab June 18, 2015 OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) Document opens in new tab June 18, 2015 Mutual Fund Dealers Association of Canada - Proposed Amendments to MFD A Rule 5.3.2 (Content of Account Statement) Document opens in new tab June 18, 2015 Proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) - Resolution Certificate Document opens in new tab June 18, 2015 OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) June 18, 2015 Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) Document opens in new tab June 18, 2015 Proposed amendments to MFDA Rule 1.2 (Individual Qualifications) - Resolution Certificate Document opens in new tab March 19, 2015 OSC Staff Notice of Commission Approval – Mutual Fund Dealers Association of Canada – Housekeeping Amendments to Rule 2.4.2 (Referral Arrangements) Document opens in new tab March 19, 2015 MFDA Notice - Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements) Document opens in new tab March 19, 2015 MFDA - Corporate Resolution - Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) Document opens in new tab 2014 December 18, 2014 Notice of Commission Approval - Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2015 and July 15, 2016 Document opens in new tab July 3, 2014 OSC Staff Notice of Approval - MFDA Amendments to MFDA By-law No.1 and Articles of Continuance Document opens in new tab July 3, 2014 By-Law No. 1 (as amended by By-laws Nos. 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 17 and 18) Document opens in new tab June 12, 2014 OSC Staff Notice of Request for Comment - MFDA Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) Document opens in new tab June 12, 2014 Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) Document opens in new tab May 29, 2014 Notice of Commission Approval: Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 Document opens in new tab 2013 October 10, 2013 OSC Staff Notice of Request for Comment: MFDA Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans) Document opens in new tab October 10, 2013 Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations - Automatic Payment Plans) Document opens in new tab September 12, 2013 OSC Staff Notice of Commission Approval: MFDA - Proposed Amendments to Section 1 (Definitions) of MFDA By-law No. 1, MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 Regarding Minimum Standards for Account Supervision -- Notice of Commission Approval Document opens in new tab July 25, 2013 OSC Staff Notice of Request for Comment: MFDA – Proposed Amendments to MFDA By-Law No. 1 Document opens in new tab July 25, 2013 Proposed Amendments to MFDA By-Law No.1 Document opens in new tab July 18, 2013 OSC Staff Notice of Commission Approval: MFDA Investor Protection Corporation (“MFDA IPC”) – Amendments to Agreement between MFDA IPC and the Mutual Fund Dealers Association of Canada (“MFDA”) (“The Services Agreement”) Document opens in new tab February 7, 2013 OSC Staff Notice of Commission Approval: MFDA Amendments to MFDA Rule 2.2.1 and Policy No. 2 Document opens in new tab January 31, 2013 OSC Staff Notice of Approval: MFDA Housekeeping Amendments to Form 1 - Financial Questionnaire and Report (IFRS) Document opens in new tab January 4, 2013 Proposed Amendments to MFDA By-Law No. 1 (Definitions), MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 – Minimum Standards for Account Supervision Document opens in new tab 2012 December 13, 2012 OSC Staff Notice: Notice of Revocation of the 2008 Commission Approval to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1 Document opens in new tab October 25, 2012 OSC Staff Notice of Approval: MFDA Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 Document opens in new tab April 13, 2012 OSC Staff Notice of Approval: MFDA amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4 Document opens in new tab March 2, 2012 OSC Staff Notice of Commission Approval: MFDA Proposed Amendments to MFDA Rule 5.3 (Client Reporting) Document opens in new tab 2011 November 4, 2011 MFDA: Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 Document opens in new tab October 28, 2011 MFDA: Proposed Amendments to MFDA Rule 5.3 (Client Reporting) Document opens in new tab September 30, 2011 OSC Staff Notice of Commission Approval: MFDA Proposed Amendments to Financial Questionnaire and Report (Form 1) to include the “Definition of Market Value” Document opens in new tab July 8, 2011 Proposed Amendments: MFDA Rule 2.2.1 (“Know-Your-Client”) and MFDA Policy No. 2 Minimum Standards For Account Supervision Document opens in new tab July 8, 2011 Notice of Rescission of Commission Approval: Amendments to MFDA Rule 1.2.1(d)(vii)(A) – Dual Occupations Document opens in new tab March 25, 2011 OSC Staff Notice of Commission Approval: MFDA Housekeeping Amendments to Form 1 – Financial Questionnaire and Report (IFRS) and Form 1 - Financial Questionnaire and Report (CGAAP) Document opens in new tab March 18, 2011 MFDA - Proposed Amendments to Form 1 - Definition of Market Value Document opens in new tab February 18, 2011 Notice of Commission Approval: MFDA Rule 2.4.4 and Amendments to MFDA Rule 5.1 Regarding Transaction Fees or Charges and Requirement for Records Document opens in new tab January 21, 2011 Notice of Commission Approval – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report Document opens in new tab 2010 October 29, 2010 Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA Document opens in new tab October 29, 2010 Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions Document opens in new tab October 29, 2010 Notice of Commission Approval of Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions August 13, 2010 Proposed Amendments to MFDA Rule 3.1.1 (Capital - Minimum Levels) and MFDA Form 1 - Financial Questionnaire and Report Document opens in new tab July 16, 2010 Notice of Commission Approval: Amendments to MFDA Rule 2.2 Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) July 16, 2010 Notice of Commission Approval: Amended MFDA Rules of Procedure July 16, 2010 MFDA Rule 2.2 (Client Accounts) Document opens in new tab July 16, 2010 MFDA Policy No. 2 – Minimum Standards for Account Supervision Document opens in new tab July 16, 2010 MFDA Rule 5.3 (Client Reporting) Document opens in new tab July 16, 2010 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision Document opens in new tab July 16, 2010 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) Document opens in new tab July 16, 2010 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses of the MFDA Document opens in new tab June 25, 2010 Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) Document opens in new tab June 25, 2010 Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) Document opens in new tab April 30, 2010 Notice of Rescission of Commission Approval: Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc. March 26, 2010 Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation Document opens in new tab March 26, 2010 Notice of Commission Approval: Amendments to MFDA Rule 2.4.1 - Payment of Commissions to Unregistered Corporation February 19, 2010 Summary of Public Comments Respecting Proposed Amendments to Section 35 (No Actions Against the Corporation) of MFDA By-law No. 1 and Responses of the MFDA Document opens in new tab February 19, 2010 Amendments to Section 35 of MFDA By-law No. 1 . MFDA IPC Document opens in new tab February 19, 2010 Notice of Commission Approval: Amendments to Section 35 of MFDA By-law No. 1 -- MFDA IPC 2009 December 25, 2009 Proposed Conforming Amendments to MFDA Rules Resulting from National Instrument 31-103 Registration Requirements And Exemptions Document opens in new tab December 25, 2009 Notice of Commission Approval: Amendments to MFDA Policy 3 - Complaint Handling, Supervisory Investigations and Internal Discipline December 18, 2009 Notice of Commission Approval - Amendments to MFDA Policy 3 - Relating to Client Complaint Handling Document opens in new tab August 28, 2009 Second Publication for Comment of Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 Document opens in new tab August 21, 2009 Notice and Request for Comment – Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 Document opens in new tab July 31, 2009 Proposed Amendments to MFDA Rules of Procedure Document opens in new tab June 26, 2009 Proposed Amendments to Section 35 (No actions against the Corporation) of MFDA By-Law No. 1 Document opens in new tab June 19, 2009 Proposed Amendments to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) Document opens in new tab May 8, 2009 Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) Document opens in new tab May 8, 2009 Second Publication for Comment of Proposed Amendments to Implement Core Principles of the Client Relationship Model – correction April 24, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) Document opens in new tab April 24, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision Document opens in new tab April 24, 2009 Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) Document opens in new tab April 24, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 1.2.1(d) Document opens in new tab April 24, 2009 Notice of Commission Approval - Amendments to MFDA Rule 1.2.1(d) Regarding Financial Planning Services as a Dual Occupation March 13, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Policy No. 3 Handling Client Complaints and Responses of the MFDA Document opens in new tab March 13, 2009 Proposed Amendments to MFDA Policy No. 3 Handling Client Complaints Document opens in new tab 2008 December 12, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 2.3 - Power of Attorney/Limited Trading Authorization December 12, 2008 Housekeeping Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authorization) Document opens in new tab November 21, 2008 Notice of Commission Approval – Amend-ments to MFDA Rule 1.1.6 – Introducing and Carrying Arrangement October 3, 2008 Proposed Amendments to MFDA Rule 2.6 Borrowing for Securities Purchases Document opens in new tab September 26, 2008 Housekeeping Amendments to MFDA Rule 1.1.7 - Business Names, Styles, Etc. Document opens in new tab September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 4 - Insurance September 26, 2008 Notice of Commission Approval - Amendments to Section 11 of MFDA By-law No. 1 - Member Approval Process September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Policy No. 1 - New Registrant Training and Supervision September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 3 - Financial and Operations Requirements September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Policy No. 4 - Internal Control Policy Statements and MFDA Financial Questionnaire and Report - Form 1 September 26, 2008 Housekeeping Amendments to MFDA Rule 1.1.7 - Business Names, Styles, Etc. Document opens in new tab September 26, 2008 Housekeeping Amendments to MFDA Rule 4 - Insurance Document opens in new tab September 26, 2008 Housekeeping Amendments to MFDA Rule 2.3 - Power of Attorney / Limited Trading Authorization Document opens in new tab September 26, 2008 Notice of Commission Approval -- Housekeeping Amendments to MFDA Rule 2.3 -- Power of Attorney / Limited Trading Authorization September 26, 2008 Approved Amendments to Section 11 of MFDA By-law No. 1 - Member Approval Process Document opens in new tab September 26, 2008 Housekeeping Amendments to MFDA Policy No. 1 - New Registrant Training and Supervision Document opens in new tab September 26, 2008 Housekeeping Amendments to MFDA Rule 3 - Financial and Operations Requirements Document opens in new tab September 26, 2008 Housekeeping Amendments to MFDA Policy No. 4 - Internal Control Policy Statements and MFDA Financial Questionnaire and Report - Form 1 Document opens in new tab August 1, 2008 Notice of Commission Approval - Amendments to Section 24.3 of MFDA By-law No. 1 - Suspensions in Certain Circumstances August 1, 2008 Amendments to s. 24.3 - Suspensions in Certain Circumstances and Related Provision of MFDA By-law No. 1 Document opens in new tab July 18, 2008 The Mutual Fund Dealers Association of Canada - Notice of Consent June 17, 2008 Mutual Fund Dealers Association of Canada June 27, 2008 Proposed Amendments to MFDA Rule 1.2.1(d) (Salespersons - Dual Occupations) Document opens in new tab June 13, 2008 Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision Document opens in new tab June 13, 2008 Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) Document opens in new tab June 13, 2008 Proposed Amendments to MFDA By-law No. 1, s. 25.4 (Other Instruments) Document opens in new tab May 30, 2008 MFDA - Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement) Document opens in new tab May 23, 2008 Joint Notice and Request for Comment - Mutual Fund Dealers Association of Canada Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 Document opens in new tab 2007 September 21, 2007 MFDA Proposed Amendments to Policy 6 Distributions - Amendments to Section 11 of MFDA By-law No. 1 (Member Approval Process) Document opens in new tab September 7, 2007 Notice of Commission Approval - Housekeeping Amendments to MFDA Form 1, Financial Questionnaire Document opens in new tab September 7, 2007 Report and MFDA Housekeeping Amendments to Form 1 - Financial Questionnaire and Report Document opens in new tab July 20, 2007 Summary of Public Comments respecting Proposed Amendments to Section 19.9 of MFDA By-law No. 1 (Hearing Panels) and Response of the MFDA Document opens in new tab July 20, 2007 Notice of Commission Approval -- Amendments to Section 19.9 of MFDA By-law No. 1 -- Hearing Panels Document opens in new tab July 13, 2007 MFDA Proposed Amendments to Policy 3 (Handling Client Complaints) Document opens in new tab June 8, 2007 Notice of Commission Approval - MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments Document opens in new tab June 8, 2007 Summary of Public Comments Respecting Proposed MFDA Policy No. 6 - Information Reporting Requirements, Notification of Change in Registration Information (Rule 1.2.5) and Consequential Amendments and Response of the MFDA Document opens in new tab June 8, 2007 MFDA Information Reporting Requirements (Policy No. 6) Document opens in new tab 2006 December 22, 2006 Notice of Commission Approval - Housekeeping Amendment to MFDA By-law No. 1, Section 1 Regarding the Definition of "Control" Document opens in new tab December 22, 2006 Notice of Commission Approval - Housekeeping Amendments to MFDA By-Law No. 1, Section 1 (Definitions - "Control") Document opens in new tab December 22, 2006 Notice of Commission Approval - Housekeeping Amendments to MFDA By-law No. 1, Section 1 Regarding the Preamble to the Definitions and MFDA Notice - Housekeeping Amendment to MFDA By-law No. 1, Section 1 (Definitions) Document opens in new tab December 22, 2006 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 1.2.4 Regarding the Currency of Courses Document opens in new tab December 22, 2006 MFDA Notice - Housekeeping Amendment to MFDA By-law No. 1, Section 1 (Definitions) Document opens in new tab December 22, 2006 MFDA Notice - Housekeeping Amendments to MFDA Rule 1.2.4 (Currency of Courses) Document opens in new tab December 1, 2006 Notice of Commission Approval - Amendments to MFDA Rule 3.2 and MFDA Financial Questionnaire and Report Document opens in new tab December 1, 2006 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 3.2 and MFDA Financial Questionnaire and Report and Response of the MFDA Document opens in new tab December 1, 2006 MFDA - Calculation of Risk Adjusted Capital (Rule 3.2.2, 3.2.5 and Form 1) October 27, 2006 MFDA Notice and Request for Comments - Hearing Panels (Section 19.9 of By-law No.1) Document opens in new tab October 27, 2006 MFDA Notice and Request for Comments - Suspensions in Certain Circumstances (Section 24.3 of By-law No.1) and Related Provisions of By-law No. 1 Document opens in new tab October 27, 2006 MFDA Proposed Policy 6 - Information Reporting Requirements, Notification of Change in Registration Information (Rule 1.2.5) and Consequential Amendments Document opens in new tab September 1, 2006 Notice of Commission Order - Application to Vary Approval Order of MFDA Investor Protection Corporation Document opens in new tab December 1, 2006 MFDA - Calculation of Risk Adjusted Capital (Rule 3.2.2, 3.2.5 and Form 1) July 21, 2006 Notice of Commission Approval - MFDA Policy 5 - Branch Review Requirements Document opens in new tab July 21, 2006 MFDA Policy 5 - Branch Review Requirements Document opens in new tab February 24, 2006 Notice of Commission Approval - Proposed Amendments to MFDA Rule 2.1.4 - Conflicts of Interest Document opens in new tab February 24, 2006 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.1.4 and Response of the MFDA Document opens in new tab 2005 December 2, 2005 Notice of Commission Approval - Housekeeping Amendments to MFDA By-Law No. 1, Section 23, Regarding Co-operation with Other Authorities Document opens in new tab December 2, 2005 Housekeeping Amendments to MFDA By-Law No. 1, Section 23, Regarding Co-operation with Other Authorities Document opens in new tab November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Internal Control Policy Statements Document opens in new tab November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Financial Questionnaire Document opens in new tab Notice of Commission Approval - Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client" Requirements Document opens in new tab November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client" Document opens in new tab November 18, 2005 Housekeeping Amendment to MFDA Internal Control Policy Statements Document opens in new tab November 18, 2005 Report and Housekeeping Amendment to MFDA Financial Questionnaire and Report Document opens in new tab September 23, 2005 Request for Comments - MFDA Policy 5 Regarding Branch Review Requirements Document opens in new tab September 23, 2005 MFDA - Conflicts of Interest (Rule 2.1.4) Document opens in new tab May 20, 2005 MFDA Consent to Enter into a Co-operative Agreement in Quebec Document opens in new tab May 20, 2005 MFDA Investor Protection Corporation - Notice of Approval and MFDA Investor Protection Corporation - Summary of Public Comments Document opens in new tab February 25, 2005 MFDA IPC Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation/Corporation de Protection des investisseurs de l'ACFM, Pursuant to Section 110 of Reg. 1015 Made Under the Securities Act Document opens in new tab February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation/Corporation de Protection des investisseurs de l'ACFM, Pursuant to Section 110 of Reg. 1015 Made Under the Securities Act and MFDA Proposed Amendment Document opens in new tab February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit B - Blacklined Document opens in new tab February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit C - Blacklined Document opens in new tab February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit D - Blacklined Document opens in new tab February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit E - Blacklined Document opens in new tab January 14, 2005 Notice of Commission Approval - Housekeeping Amendments to MFDA By-law No. 1, Section 8 - For the Protection of Directors, Officers and Others January 14, 2005 Housekeeping Amendments to MFDA By-law No. 1, Section 8 - For the Protection of Directors Officers and Others Document opens in new tab January 7, 2005 Notice of Commission Approval - Amendments to MFDA By-law No. 1, Regarding the Enforcement Process Document opens in new tab 2004 November 19, 2004 Notice of Commission Approval - MFDA Amendments to MFDA Rule 1.1.7 Regarding Business Names, Styles, Etc. Document opens in new tab October 1, 2004 Notice of Commission Approval - Housekeeping Amendment to MFDA By-law No. 1, Section 18.2.2, Regarding Regional Councils - Ex Officio Members Document opens in new tab September 17, 2004 Notice of Commission Approval - Housekeeping Amendments to MFDA By-law No. 1, Sections 1, 11.6.1, 13.8, 20.5, 20.7, 24.3.3 and 37 Document opens in new tab September 10, 2004 Notice of Commission Approval - Housekeeping Amendement to MFDA Rule 3.5.1 Regarding Filing Requirements Document opens in new tab August 20, 2004 Notice of Commission Approval - Housekeeping Amendment to MFDA Rule 3.4.4 Regarding Early Warning Duration Document opens in new tab August 20, 2004 Housekeeping Amendment to MFDA Rule 3.4.4 Regarding Early Warning Duration Document opens in new tab July 9, 2004 MFDA Rule 1.1.7 - Business Names, Styles, etc. Document opens in new tab March 5, 2004 Notice of Commission Approval - Proposed Extension of the Suspension Period for MFDA Rule 2.4.1 Regarding Payments of Commissions Document opens in new tab February 13, 2004 Notice of Commission Approval - MFDA Rule 1.2.6 - Notification of Termination of Approved Persons January 23, 2004 Notice of Commission Approval - Amendments to MFDA Policy No. 3 - Handling Client Complaints Document opens in new tab January 23, 2004 Notice of Notice of Commission Approval - Amendments to MFDA Policy No. 3 - Handling Client Complaints Document opens in new tab January 23, 2004 Notice of Commission Approval - Amendments to MFDA Rule 5.3.1 - Delivery of Account Statement Document opens in new tab January 23, 2004 Notice of Notice of Commission Approval - Amendments to MFDA Rule 5.3.1 - Delivery of Account Statement Document opens in new tab January 9, 2004 Notice of Commission Approval - Proposed Amendments to MFDA Rule 1.1.1(a) Regarding Business Structures Document opens in new tab 2003 December 5, 2003 Notice of Commission Approval - Proposed MFDA By-laws No. 5 and No.6 Regarding Corporate Governance Document opens in new tab December 5, 2003 Notice of Commission Approval MFDA By-law No.8 - Disciplinary and Enforcement Amendments Document opens in new tab December 5, 2003 Notice of Commission Approval - MFDA By-law No. 7 Miscellaneous Administrative Amendments Document opens in new tab November 21, 2003 Notice of Commission Approval - Amendments to MFDA Rule 2.2.1 - "Know- Your-Client" and Text of Amendments to MFDA Rule 2.2.1 - "Know- Your-Client" Document opens in new tab November 14, 2003 Notice of Commission Approval - Proposed Amendments to MFDA Rule 1.1.6(b) Regarding Introducing and Carrying Arrangements Document opens in new tab November 7, 2003 Notice of Commission Approval - Proposed Amendments to MFDA Rule 2.3.1 - Power of Attorney/Limited Trading Authorization Document opens in new tab October 24, 2003 Notice of Commission Approval - Amendments to MFDA Rule 2.12 - Transfers of Account Document opens in new tab October 24, 2003 Notice of Commission Approval - Amendment to MFDA Rule 2.8.3 - Rates of Return Document opens in new tab October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.1.6(a)(vi) Regarding Introducing and Carrying Arrangement Document opens in new tab October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 3.4.2(b)(vi) - Early Warning Document opens in new tab October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.1.7(d) - Business Names, Styles, Etc Document opens in new tab October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.1.3 - Service Arrangements Document opens in new tab September 19, 2003 Notice of Commission Approval - Amendments to MFDA Financial Questionnaire and Report Document opens in new tab August 15, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.2.2(a) - Branch Managers Document opens in new tab August 15, 2003 Notice of Commission Approval - Amendment to MFDA Rule 2.2.3 - New Account Approval Document opens in new tab August 15, 2003 Notice of Commission Approval - Amendment to MFDA Rule 3.2.1 - Client Lending and Margin Document opens in new tab August 15, 2003 Text of Amendment to MFDA Rule 2.2.3 - New Account Approval Document opens in new tab
