le 13 juin 2008 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 13 juin 2008 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA By-law No. 1, s. 25.4 (Other Instruments) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 30 mai 2008 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 23 mai 2008 Market Regulation Document Type MFDA rule review Joint Notice and Request for Comment – Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 21 septembre 2007 Market Regulation Document Type MFDA rule review Proposed Amendments to Policy 6 Distributions – Amendments to Section 11 of MFDA By-law No. 1 (Member Approval Process) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 7 septembre 2007 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Housekeeping Amendments to MFDA Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 7 septembre 2007 Market Regulation Document Type MFDA rule review Report and Housekeeping Amendments to Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 20 juillet 2007 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to Section 19.9 of MFDA By-law No. 1 (Hearing Panels) and Response of the MFDA – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 20 juillet 2007 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to Section 19.9 of MFDA By-law No. 1 – Hearing Panels – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 13 juillet 2007 Market Regulation Document Type MFDA rule review Proposed Amendments to Policy 3 (Handling Client Complaints) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 juin 2007 Market Regulation Document Type MFDA rule review Notice of Commission Approval – MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 17 avril 2009 Market Regulation Document Type IIROC rule review Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 avril 2009 Market Regulation Document Type IIROC rule review Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – 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 13 février 2009 Market Regulation Document Type IIROC rule review Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 janvier 2009 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
le 2 janvier 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type IIROC rule review IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
