Notice of Commission Approval - Exemption from the Universal Market Integrity Rule 3.1 - Restrictions on Short Selling for Basis Trades Entered on the Toronto Stock Exchange
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Notice of Commission Approval - Exemption of Trades Pursuant to Market Marker Obligations from the Payment of Regulation Fees
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Notice of Commission Approval - Exemption of Trades Pursuant to Market Maker Obligations from the Payment of Regulation Fees
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Notice of Commission Approval - Amendment to the Universal Market Integrity Rules - Definition of Employee
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Text of the Universal Market Integrity Rules
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Request for Comments - Amendments to Trade-through Obligations
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Request for Comments - Provisions Respecting "Off-Marketplace" Trades
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Notice of Amendment Approval - Provisions Respecting a "Basis Order"
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Notice of Amendment Approval - Provisions Respecting a "Basis Order"
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Notice of Commission Approval – Proposed Continuance under Canada Not-for-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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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)
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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)
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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)
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Notice of Commission Approval – Material Amendments to CDS Rules – Termination of FINet – CDS Clearing and Depository Services Inc.
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RS Market Integrity Notice - Notice of Amendment Approval - Provisions Respecting Competitive Marketplaces
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Notice of Commission Approval – Amendments to By-law No. 1 – Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
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Notice of Commission Approval – Material Amendments to CDS Procedures – Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) changes – CDS Clearing and Depository Services Inc.
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