Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Ministerial Approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD)
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Notice of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD)
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Notice of Minister of Finance Approval – MOU Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC)
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Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) among Recognizing Regulators
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to MFDA Rule 2.3.1 – Power of Attorney/Limited Trading Authorization – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 2.12 – Transfers of Account – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 2.8.3 - Rates of Return – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 1.1.6(a)(vi) Regarding Introducing and Carrying Arrangement – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA Rule 3.4.2(b)(vi) – Early Warning – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit B - Blacklined – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit C – Blacklined – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit D – Blacklined – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit E – Blacklined – Mutual Fund Dealers Association of Canada (MFDA)
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