Notice of Commission Approval – Amendments to Dealer Member Rules and IIROC Rules Regarding Exemptions for Bulk Account Movements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0080 – Removal of the risk component of the annual fees paid by Dealer Members effective April 1, 2021 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0078 – Amendments to Dealer Member Rules and IIROC Rules regarding Exemptions for Bulk Account Movements
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Application for Exemption from Recognition as an Exchange – Refinitiv Transaction Services Pte. Ltd.
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OSC Notice and Request for Comment – Application for Exemption from Recognition as an Exchange – Refinitiv Transaction Services Pte. Ltd.
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Notice of Commission Deemed Approval – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Regarding the Definition of “Marketplace” – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to the Risk Manual of CDCC to Change the Initial Margin Model for Bond Derivatives – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Commission Approval – Proposed Amendments to the Risk Manual of CDCC to Change the Initial Margin Model for Equity Derivatives – Canadian Derivatives Clearing Corporation (CDCC)
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Document
Notice of Commission Deemed Approval – Housekeeping Rule Changes to the IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Proposed Changes and Request for Comment - Nasdaq CXC Limited
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Notice of Approval – Lynx ATS – Tradelogiq Markets Inc.
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Notice of Commission Deemed Approval – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) to Update Reference to IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments - Listing Manual – Neo Exchange Inc.
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Notice and Request for Comment – Application for an Exemption from the Marketplace Rules – Carta Capital Markets, LLC
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Notice of Commission Approval – Amendments to MFDA Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 1.2.2(a) – Branch Managers – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 2.2.3 – New Account Approval – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 3.2.1 – Client Lending and Margin – Mutual Fund Dealers Association of Canada (MFDA)
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