Request for Comment – Proposed Fee Model for the Information Processor for Corporate Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Notice 16-0277 – New Debt Information Processor Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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IDA By-law Nos. 21 and 41 and Form 1 - Amendments to Reflect Changes to CIPF Oversight Rate
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IDA Regulations 100.9 and 100.10 - Amendments to Recognize Three Complex Option Offset Strategies and to Expand the List of Available Option Spreads Involving Individual Equities
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IDA Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K - Extending Debt Offsets to Customer Positions
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Notice of Commission Approval - Amendments to IDA Regulation 100.12 - Optional Use of Value at Risk Modeling
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Investment Dealers Association - Amendments to IDA Regulation 100.12 - Optional Use of Value at Risk Modeling
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IDA Proposed New Methodology for Margining Equity Securities and Related Amendments to Regulation 100 and Form 1
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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 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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IIROC Rules (blacklined) – Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to IIROC By-Law No. 1 Regarding Director Election and Term – Investment Industry Regulatory Organization of Canada (IIROC)
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Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – IIROC Rules Notice 11-0164 – Dealer Member Rules – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Commission Approval – Amendments to IIROC Form 1 – 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)
Marchés, OAR et agences de compensation
