OSC Staff Notice of Commission Approval – IIROC Housekeeping Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice 12-0385 – Dealer Member Rules – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – IIROC Rules Notice 12-0363 – UMIR – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comments – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
MFDA Notice – Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendments Respecting Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Notice – Notice of Approval/Implementation – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Amendments Respecting Third Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice 13-0174 – Request for Comment – Proposed Plain Language Rule Sections 2210 and 2211 – Suspension and Termination of a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA By-Law No. 1 Sections 3.3 (Election and Term), 3.6.1 (Governance Committee) and 4.7 (Quorum) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA Rule 1.1.1(a) (Business Structures - Members) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Continuing Education Requirements for MFDA Members and their Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
