Request for Comment – Proposed Amendments Relating to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0139 – Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval - Amendments to IDA Regulation 100.12 - Optional Use of Value at Risk Modeling
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Investment Dealers Association - Amendments to IDA Regulation 100.12 - Optional Use of Value at Risk Modeling
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IDA Proposed New Methodology for Margining Equity Securities and Related Amendments to Regulation 100 and Form 1
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IDA Proposed New Methodology for Margining Equity Securities - Regulation 100 and Form 1
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Notice of Commission Approval – Amendments to IDA Policy 6 Parts I and II Regarding Wealth Management Essentials Course, and Policy 6 Part I Regarding Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contract Portfolio Managers and Amendments to IDA Policy 6 Parts I and II Regarding Wealth Management Essentials Course, and Policy 6 Part I Regarding Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contract Portfolio Managers
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Notice of Commission Approval – Housekeeping Amendments to IDA Form 1, Part II Auditors’ Report
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Amendments to IDA Policy 6 Parts I and II Regarding Wealth Management Essentials Course, and Policy 6 Part I Regarding Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contract Portfolio Managers
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Housekeeping Amendments to IDA Form 1, Part II Auditors Report
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Notice of Commission Approval – IDA Amendments to Regulation 100.5 Capital Requirements for Certain Private Placements of Restricted Securities during the Distribution Period
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Notice of Commission Approval - IDA Proposed Amendments to the Insurance Requirements - Regulation 400
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Notice of Commission Approval - Investment Dealers Association of Canada - By-law No. 28 Discretionary Fund
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Notice of Commission Approval - Housekeeping Amendments to IDA By-law 18.14(d)(iii) - Registered Representatives and Investment Representatives
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IDA Amendment to By-law 18.14(d)(iii) - Registered Representatives and Investment Representatives
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Amendments to IDA By-Law 38 and Policy 6, Part 1 - CCO Qualifying Examination
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IDA By-law Nos. 21 and 41 and Form 1 - Amendments to Reflect Changes to CIPF Oversight Rate
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IDA Regulations 100.9 and 100.10 - Amendments to Recognize Three Complex Option Offset Strategies and to Expand the List of Available Option Spreads Involving Individual Equities
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Establishment and Amendment of IDA Rules to Implement the Core Principles of the Client Relationship Model
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