le 4 février 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice 11-0050 – Request for Comments – Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 – Director Election and Term – Filling Vacancies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 mai 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Effective Date – Technical Amendments to CDS Procedures – Tax Changes on CDS Forms – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 14 mars 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – CDS Clearing and Depository Services Inc. – Material Amendments to CDS Procedures – Amendments to Buy-In Messaging – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 14 mars 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice and Request for Comments – Material Amendments to CDS Procedures – Locked-In Trade Reconciliation Service and the NSCC Trade File Pass-Through Service – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 14 mars 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice and Request for Comments – Material Amendments to CDS Procedures – Modification of Non-Financial Details on Blind Repo Trades – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 14 février 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Material Amendments to CDS Procedures – Decommissioning of NSCC’s OTC Comparison Service – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 8 août 2008 Market Regulation Document Type IIROC rule review Rule No. 41 and Form 1 Amendments to Reflect Changes to CIPF Oversight Role – Blackline Copy – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 août 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Rule No. 41 and Amendments to Form 1 regarding Canadian Investor Protection Fund – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC rule review Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rule 2.2 Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amended MFDA Rules of Procedure – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 octobre 2008 Market Regulation Document Type IIROC rule review Extension of Request for Comment – Proposed Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 octobre 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 juin 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 décembre 2005 Market Regulation Document Type MFDA rule review Housekeeping Amendments to MFDA By-Law No. 1, Section 23, Regarding Co-operation with Other Authorities – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 novembre 2005 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Housekeeping Amendment to MFDA Internal Control Policy Statements – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 novembre 2005 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Housekeeping Amendment to MFDA Financial Questionnaire – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 novembre 2005 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client" Requirements – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
