le 25 février 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice 11-0075 – Request for Comments – Provisions Respecting Regulation of Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2011 Market Regulation Document Type IIROC rule review Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100-2700 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 novembre 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 octobre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments: Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 octobre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Dealer Member Rules – Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 – 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 octobre 2009 Market Regulation Document Type IIROC rule review IIROC Rules (blacklined) – Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 octobre 2009 Market Regulation Document Type IIROC rule review Summary of Comments Received in Response to Request for Comments – IIROC Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 août 2010 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 3.1.1 (Capital - Minimum Levels) and MFDA Form 1 - Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 9 octobre 2009 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Notice of Approval – Dealer Member Rule Amendments to Implement the CSA's Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 octobre 2009 Market Regulation Document Type IIROC rule review Assignment of Powers and Duties of the Director to the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 14 janvier 2021 Market Regulation Document Type IIROC rule review IIROC Notice 21-0009 – Withdrawal of the Proposed Amendments and Proposed Guidance Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 décembre 2020 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendment to the Risk Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 décembre 2020 Market Regulation Document Type IIROC rule review IIROC Notice 20-0267 – Removal of the risk component of the annual fees paid by Dealer Members – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 décembre 2020 Market Regulation Document Type IIROC rule review IIROC Notice 20-0262 – Early adoption of certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 décembre 2020 Market Regulation Document Type IIROC rule review IIROC Notice 20-0254 – Proposed Amendment to IIROC By-law No. 1 Regarding the Definition of "Marketplace" – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 novembre 2020 Market Regulation Document Type IIROC rule review IIROC Notice 20-0238 – Client Focused Reforms – Proposed Rule Amendments for Public Comment – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mai 2021 Market Regulation Document Type Bloomberg Trading Facility Limited orders and notices Notice and Request for Comment – Applications for Exemption from Recognition as an Exchange – Bloomberg Trading Facility Limited and Bloomberg Trading Facility B.V.; and – Notice of Initial Operations – Bloomberg Tradebook Canada Company Marchés, OAR et agences de compensation
le 13 mai 2021 Market Regulation Document Type Bloomberg Trading Facility Limited orders and notices Bloomberg Staff Notice and Request for Comment – Bloomberg Trading Facility Limited, Bloomberg Trading Facility B.V. and Bloomberg Tradebook Canada Company Marchés, OAR et agences de compensation
