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)
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Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Trading in Securities of U.S. OTC Issuers – Proposed Amendments to Dealer Member Rule 1300.1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments: Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Dealer Member Rules – Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 – Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Notice and Request for Comment – Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rules of Procedure – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to Section 35 (No actions against the Corporation) of MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) – Mutual Fund Dealers Association of Canada (MFDA)
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