Notice of Coming into Effect of Memorandum of Understanding Regarding the Oversight of the Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Proposed Amendments and Request for Comments – TSX Inc.
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Notice of Commission Order – Application for Exemptive Relief – Refinitiv Transaction Services Pte. Ltd
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Notice of Withdrawal – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0096 – Withdrawal of proposed amendments respecting disclosure of information by ombudsman service to IIROC – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0188 – Notice of Approval – Amendments to trade-confirmation suppression requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Withdrawal – Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 18-0043 – Proposed Amendments to Form 1 for use in, and consistency, with the Plain Language – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 18-0014 – Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0228 – CSA and IIROC Joint Staff Notice 23-319 Internalization in the Canadian Market – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Continuing Education Requirements for Approved Persons – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0223 – Notice of Commission Approval – Continuing Education Requirements for Approved Persons – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Deemed Approval – Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0224 – Notice of Commission Deemed Approval – Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments Respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 18-0118 – Housekeeping amendments to the provisions respecting Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Republication of Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 18-0079 – Republication of Proposed Amendments to Client Identification and Verification Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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