le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 juin 2009 Market Regulation Document Type IIROC rule review Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mai 2011 Market Regulation Document Type IIROC Memoranda of Understanding 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) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type IIROC Memoranda of Understanding 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) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Minister of Finance Approval – MOU Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mai 2008 Market Regulation Document Type IIROC Memoranda of Understanding Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) among Recognizing Regulators Marchés, OAR et agences de compensation
le 5 août 2020 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 avril 2019 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 avril 2018 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit B - Blacklined – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit C – Blacklined – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit D – Blacklined – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 février 2005 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Revised Application for Approval of MFDA Investor Protection Corporation – Exhibit E – Blacklined – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 14 janvier 2005 Market Regulation Document Type MFDA rule review Housekeeping Amendments to MFDA By-law No. 1, Section 8 – For the Protection of Directors Officers and Others – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 14 janvier 2005 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Housekeeping Amendments to MFDA By-law No. 1, Section 8 – For the Protection of Directors, Officers and Others – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
