le 8 avril 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Procedures – Change to Federally Guaranteed Class Code – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 8 août 2008 Market Regulation Document Type IIROC rule review Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) 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 18 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mai 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Ministerial Approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 13 juillet 2007 Market Regulation Document Type MFDA rule review Proposed Amendments to Policy 3 (Handling Client Complaints) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 juin 2007 Market Regulation Document Type MFDA rule review Notice of Commission Approval – MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 juin 2007 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed MFDA Policy No. 6 – Information Reporting Requirements, Notification of Change in Registration Information (Rule 1.2.5) and Consequential Amendments and Response of the MFDA – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 juin 2007 Market Regulation Document Type MFDA rule review Information Reporting Requirements (Policy No. 6) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 février 2010 Market Regulation Document Type IIROC rule review Amendments to Correct Registration Reform Related Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 février 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Amendments to Investment Industry Regulatory Organization of Canada (IIROC) Dealer Member Rule 2900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 janvier 2010 Market Regulation Document Type IIROC rule review Notice of Correction – IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 janvier 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice 10-306 – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2009 Market Regulation Document Type MFDA rule review Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision Marchés, OAR et agences de compensation
le 9 mai 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Procedures – Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) Changes – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
