OSC Staff Notice of Request for Comment – Proficiency Standard for Approved Persons Selling Exchange Traded Funds (ETFs) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Summary of Public Comments – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Request for Comment – Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
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)
Marchés, OAR et agences de compensation
Notice of Commission Approval - Amendments to IDA By-law 37 - Ombudsman for Banking Services and Investments
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Notice of Commission Approval - Amendments to IDA Regulation 100.12 - Capital and Margin Requirements for Capital Trust Securities
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Notice of Commission Approval - Amendments to IDA Regulation 2100.6 - Inter-Dealer Brokerage Systems
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Notice of Commission Approval - Amendments to IDA Policy No. 7 - Partners, Directors and Officers
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OSC Staff Notice of Request for Comment – Proposed Continuance Under Canada Not-For-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 13-0261 – Administrative Notice – Request for Comments: Proposed Continuance under Not-for-profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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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)
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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)
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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)
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Request for Comments - Amendments to Trade-through Obligations
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Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 15-0023 – Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments - Provisions to Accomodate the Introduction of Multiple Marketplaces
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Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
