OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Notice – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Notice – Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
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Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – IIROC Rules Notice – Proposed Amendments to Universal Market Integrity Rules (UMIR) – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Deemed Approval – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Requirements Relating to the Disclosure of MFDA Membership – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Continuing Education Requirements for MFDA Members and their Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Deemed Approval – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Withdrawal – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
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Corporate Resolution – RE: Proposed Housekeeping amendments re: CRM2 – Mutual Fund Dealers Association of Canada (MFDA)
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Guidance Note – IIROC Rules Notice 12-0109 – Know your Client and Suitability – Investment Industry Regulatory Organization of Canada (IIROC)
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Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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