le 15 janvier 2015 Market Regulation Document Type Canadian Securities Exchange (CSE) rule review and notices Notice of Approval - Housekeeping Amendments to Rules, Policies and Forms - Canadian Securities Exchange Marchés, OAR et agences de compensation
le 13 juillet 2017 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 décembre 2018 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendments Respecting the Provision of Price Improvement by a Dark Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 juillet 2017 Market Regulation Document Type IIROC rule review Notice of Withdrawal – Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 mai 2017 Market Regulation Document Type IIROC rule review IIROC Notice 17-0110 – Request for Comment – Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 avril 2017 Market Regulation Document Type IIROC rule review IIROC Notice 17-0088 – Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 avril 2017 Market Regulation Document Type IIROC rule review Notice of Withdrawal – Proposed Amendments Relating to Personal Financial Dealings with Clients – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 avril 2017 Market Regulation Document Type IIROC rule review IIROC Notice 17-0079 – Notice of Withdrawal – Proposed Amendments Relating to Personal Financial Dealings with Clients – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mars 2017 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rule 1200 and to Form 1 Relating to the Client Free Credit Cash Usage Limit and Client Free Credit Segregation Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mars 2017 Market Regulation Document Type IIROC rule review IIROC Notice 17-0068 – Amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mars 2017 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 mai 2017 Market Regulation Document Type IIROC rule review Appendix C – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 avril 2017 Market Regulation Document Type IIROC rule review Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 10 mars 2016 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 3 juillet 2014 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Amendments to MFDA By-law No.1 and Articles of Continuance – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 3 juillet 2014 Market Regulation Document Type MFDA rule review By-Law No. 1 (as amended by By-laws Nos. 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 17 and 18) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 juin 2015 Market Regulation Document Type MFDA rule review 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) Marchés, OAR et agences de compensation
le 20 avril 2012 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
