Notice of Commission Deemed Approval – Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Requirements Relating to the Disclosure of MFDA Membership – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Continuing Education Requirements for MFDA Members and their Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Deemed Approval – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Withdrawal – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
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Corporate Resolution – RE: Proposed Housekeeping amendments re: CRM2 – Mutual Fund Dealers Association of Canada (MFDA)
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Guidance Note – IIROC Rules Notice 12-0109 – Know your Client and Suitability – Investment Industry Regulatory Organization of Canada (IIROC)
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Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – 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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OSC Staff Notice of Request for Comment – Proficiency Standard for Approved Persons Selling Exchange Traded Funds (ETFs) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Request for Comment – Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA)
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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 - Amendments to IDA By-law 37 - Ombudsman for Banking Services and Investments
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Notice of Commission Approval - Amendments to IDA Regulation 100.12 - Capital and Margin Requirements for Capital Trust Securities
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