le 7 janvier 2011 Market Regulation Document Type IIROC rule review 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
le 3 décembre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Notice of Withdrawal – Proposed Amendments to Continuing Jurisdiction Provisions – Investment Industry Regulatory Organization of Canada (IIROC) 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 27 août 2010 Market Regulation Document Type IIROC rule review IIROC Notice – Amendments to Form 1 to adopt IFRS for regulatory reporting purposes – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 juin 2016 Market Regulation Document Type IIROC rule review Appendix 1 – 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
le 26 juillet 2018 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 juillet 2018 Market Regulation Document Type IIROC rule review IIROC Notice 18-0141 – Proposed Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 juin 2018 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 juin 2018 Market Regulation Document Type IIROC rule review IIROC Notice 18-0122 – Proposed Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 juin 2018 Market Regulation Document Type IIROC rule review Notice of Commission Deemed Approval – Housekeeping Amendments to UMIR Policy 7.1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 juin 2018 Market Regulation Document Type IIROC rule review IIROC Notice 18-0118 – Housekeeping amendments to the provisions respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 avril 2018 Market Regulation Document Type IIROC rule review Request for Comment – Republication of Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 avril 2018 Market Regulation Document Type IIROC rule review IIROC Notice 18-0079 – Republication of Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 juin 2017 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Request for Comment - Material Amendments to CDS Procedures Related to the Continuous Net Settlement Default Fund Marchés, OAR et agences de compensation
le 5 mars 2019 Market Regulation Document Type IIROC rule review Notice of Commission Deemed Approval – Housekeeping Amendments to Form 1 to Adopt IFRS for Leases – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 avril 2017 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Approval – Material Amendments to CDS Procedures Relating to Cessation of Eligibility of Physical Certificates for Deposit at CDS – Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 23 février 2017 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Material Amendments to CDS Procedures – CDS-DTCC Payment Service – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
