Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Revisions to the Definition of “Securities Related Activities” – 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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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 – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – UMIR Amendments – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Rule 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – UMIR – Provisions Respecting Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to Section 35 (No Actions Against the Corporation) of MFDA By-law No. 1 and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Conforming Amendments to MFDA Rules Resulting from National Instrument 31-103 Registration Requirements And Exemptions – Mutual Fund Dealers Association of Canada (MFDA)
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