Notice of Commission Approval – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Recognition Order of the IDA as an SRO pursuant to section 21.1 of the Securities Act (Ontario)
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IIROC Notice 16-0122 – Implementation of the consolidated IIROC Enforcement, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendment to “Short Marking Exempt Order” Definitions – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0028 – Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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IDA Policy No. 5 - Code of Conduct for IDA Member Firms Trading in Wholesale Domestic Debt Markets
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Notice of Commission Approval - IDA Amendments to Form 1, Notes and Instructions to Statement A Regarding Foreign Currency Cash Balances Held in Registered Retirement Savings Plan Accounts
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Notice of Commission Approval - Proposped Amendments to IDA Regulation 500 and Policy No 6. Trader Registration
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Notice of Commission Approval - Amendments to IDA Regulation 2100.6 - Inter-Dealer Brokerage Systems
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Notice of Commission Approval - Amendments to IDA Policy No. 7 - Partners, Directors and Officers
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Notice of Commission Approval - Amendments to Schedule 9 of IDA Form 1 (Securities Concentration Change)
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Notice of Commission Approval - Amendment to the IDA's General Notes & Definitions to Form 1 - Definition of "Acceptable Securities Locations"
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IDA - Definition of "Acceptable Securities Locations" - Transfer Agents, General Notes and Definitions to Form 1
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IIROC Notice 17-0143 – Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – 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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OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 to Adopt CAS for the Audits of Regulatory Financial Statements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 11-0075 – Request for Comments – Provisions Respecting Regulation of Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100-2700 – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice – Proposed Amendments to MFDA Rule 2.3.1(B) – Mutual Fund Dealers Association of Canada (MFDA)
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