IIROC Notice 21-0028 – Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Proposed Amendments to the Rules of CDCC with Respect to the Adjustments in Contract Terms – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Commission Deemed Approval – Housekeeping Amendments to the CIPF Claims Procedures – Canadian Investor Protection Fund (CIPF)
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Notice of Revocation Order - OneChicago, LLC
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Notice of Approval of Proposed Change - Amendments to Odd Lot Trading - Canadian Securities Exchange
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Notice & Request for Comments - Notice 2014-005: Changes To Odd Lot Matching - Canadian Securities Exchange
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Notice of Approval – Market-on-Close Modernization – TSX Inc.
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Notice of Proposed Changes and Request for Comments – Lynx ATS – Tradelogiq Markets Inc.
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Registrant regulation conduct & compliance summit 2021
Évènements
OSC Staff Notice of Request for Comment – Proposed Significant Change to Eliminate CDS Fee Rebates and Proposed Amendments to Eliminate Network Connectivity Fees and to Eliminate Report File Transmission Fees – CDS Clearing and Depository Services Inc. (CDS)
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Notice of Withdrawal – Proposed Significant Change to Eliminate CDS Fee Rebates and Proposed Amendments to Eliminate Network Connectivity Fees – CDS Clearing and Depository Services Inc. (CDS)
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Request for Comment – Notice of Proposed Margin Requirements for Structured Products – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0032 – Proposed margin requirements for structured products – Investment Industry Regulatory Organization of Canada (IIROC)
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The Expansion of Whistleblower Reward Programs in the U.S., Canada and Globally: How Whistleblowers Assist Government Prosecutors & Enforcement Attorneys in Rooting Out Fraud
Évènements
Fireside Chat with Women Technology Leaders
Évènements
Summary of Comments - Amendments to CNQ Rules 4-106, 4-107, 4-111 and 1-101 - Entry of Orders - Canadian Trading and Quotation System Inc. (CNQ)
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Notice and Request for Comments - Proposed Policy Change to Policy 6 - Distributions Regarding Amendment of Warrant Terms - Canadian Trading and Quotation System Inc. (CNQ)
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Notice and Request for Comments - Proposed Rule Change to Rules 4-106 and 4-107 Regarding Entry of Orders - Canadian Trading and Quotation System Inc. (CNQ)
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Request for Comments - Notice 2013-003 - Passive-only Order Type - Canadian Securities Exchange
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Notice of Completion of Staff Review of Proposed Changes – Changes to Order Allocation Methodology for Jitney Trades – CNSX Markets Inc.
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