Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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
Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice – Request for Comments – Republication – Dealer Member Rules – Proposals to Implement the Core Principles of the Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval - Housekeeping Amendments to IDA By-laws 10.26, 10.27 and 10.28 - member Regulation Oversight Committee and Additional Board Committees
Marchés, OAR et agences de compensation
IDA By-Laws 10.26, 10.27 and 10.28 - Member Regulation Oversight Committee and Additional Board Committees
Marchés, OAR et agences de compensation
Notice of Commission Approval - Proposed IDA Policy No. 4 Minimum Standards for Institutional Account Opening, Operation and Supervision
Marchés, OAR et agences de compensation
Notice of Commission Approval - Housekeeping Amendments to IDA By-law 15 - Association Accounts and Funds and Execution of Instruments
Marchés, OAR et agences de compensation
Proposed IDA Policy No. 4 - Minimum Standards for Institutional Account Opening, Operation and Supervision
Marchés, OAR et agences de compensation
Investment Dealers Association of Canada - By-Law 15 - Association Accounts and Funds and Execution of Instruments
Marchés, OAR et agences de compensation
IDA Proposed Amendments to the Insurance Requirements - Regulation 400
Marchés, OAR et agences de compensation
IDA Regulation 100.5 Capital Requirements for Certain Private Placements of Restricted Securities during the Distribution Period
Marchés, OAR et agences de compensation
Notice of Commission Approval - Housekeeping Amendments to IDA Regulation 100.8 - Commodity Futures Contracts
Marchés, OAR et agences de compensation
Appendix 2 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
