Appendix 3 To Rules Notice 16-0122 – Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval - Amendment to IDA Policy No. 2 - Minimum Standards for Retail Account Supervision
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Notice of Commission Approval – Material Amendments to CDS Procedures – Locked-in Trade Reconciliation Service and the NSCC Trade File Pass-through Service – CDS Clearing and Depository Services Inc.
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Notice of Commission Approval – Material Amendments to CDS Procedures – Amendments to Buy-in Messaging – CDS Clearing and Depository Services Inc.
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Notice of Commission Approval – Material Amendments to CDS Procedures – Modification of Non-Financial Details on Blind Repo Trades – CDS Clearing and Depository Services Inc.
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RS Notice - Request for Comments - Proposed UMIR Regulation Fee Model
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Notice and Request for Comments – Material Amendments to CDS Rules – Termination of FINet – CDS Clearing and Depository Services Inc.
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OSC Staff Notice of Request for Comment – Proposed Amendments to Universal Market Integrity Rules Regarding Order Protection – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0124 – Rules Notice – Request for Comments – Proposed Provisions Respecting the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Proposed Personal Financial Dealing Amendments – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0103 – Rules Notice – Request for Comments: Proposed Personal Financial Dealing amendments – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0046 – Rules Notice – Request for Comment: Proposed Plain Language Rule 9600 – Compliance Fees – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – The Investment Industry Regulatory Organization of Canada (IIROC) Proposed Requirements for Debt Securities Transaction Reporting – Investment Industry Regulatory Organization of Canada (IIROC)
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Variation Order: Amendment to Recognition Order Relating to the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1
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Notice of Effective Date of Recognition - Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange
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Notice of Approval - Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange
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Recognition Order - Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange
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Summary of Comments - Aequitas NEO Exchange Inc.
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Listing Manual - Aequitas NEO Exchange Inc.
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Listing Forms - Aequitas NEO Exchange Inc.
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