IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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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)
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Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice and Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC)
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Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2015 and July 15, 2016 – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – IIROC Rules Notice 12-0200 – Universal Market Integrity Rules (UMIR) – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Commission Approval – MFDA Investor Protection Corporation (“MFDA IPC”) – Amendments to Agreement between MFDA IPC and the Mutual Fund Dealers Association of Canada (“MFDA”) (“The Services Agreement”)
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Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment - Application for Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange
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Notice - Application for Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange
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Notice of Housekeeping Rule Amendment - Housekeeping Amendment to the Rules of Alpha Exchange Inc.
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Notice of Approval - Fee Changes - Alpha Exchange Inc.
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Notice of Approval - Dynamic Order Protection Rule Repricing - Alpha Exchange Inc.
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Notice and Request for Comment - Proposed Amendments to Listing Manual and Listing Forms - Aequitas NEO Exchange Inc.
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