le 6 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comment – Proposed Amendments Relating to the Cross-Guarantee – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 novembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0257 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 juillet 2001 Market Regulation Document Type Investment Dealers Association Memoranda of Understanding Notice of Commission Approval of Agreement between the OSC, ASC, BCSC, SSC, NSSC, CVMQ, and IDA Marchés, OAR et agences de compensation
le 30 octobre 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Dealer Member Rule 2800C Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 septembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comments – Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 janvier 2008 Market Regulation Document Type Investment Dealers Association oversight review Oversight Review Report of Investment Dealers Association of Canada Marchés, OAR et agences de compensation
le 16 avril 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0085 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 février 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 février 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0053 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 février 2015 Market Regulation Document Type IIROC rule review 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
le 12 février 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0045 – 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
le 29 janvier 2015 Market Regulation Document Type IIROC rule review Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 janvier 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0023 – Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 janvier 2015 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
le 22 janvier 2015 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0157 – Proposed amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review Proposed Amendment to Universal Market Integrity Rules Respecting the Definition of “Short-Marking Exempt Order” – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0155 – Proposed Updated Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0156 – Proposed Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type IIROC rule review Notice – Proposed Amendments to UMIR Respecting Unprotected Transparent Marketplaces and the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
