le 26 novembre 2015 Market Regulation Document Type IIROC rule review Notice of Withdrawal – Proposed Amendments Relating to the Cross-Guarantee Requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0261 – Withdrawal of proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0248 – Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – Amendments Relating to Rule 100.10K – Optional Use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0249 – Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members’ Financial Position – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Debt Market Regulation Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0243 – Approval of Debt Market Regulation Fee – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 octobre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Amendments to the Universal Market Integrity Rules (UMIR) Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 août 2006 Market Regulation Document Type Investment Dealers Association rule review IDA Proposed New Methodology for Margining Equity Securities - Regulation 100 and Form 1 Marchés, OAR et agences de compensation
le 4 août 2006 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval – Amendments to IDA Policy 6 Parts I and II Regarding Wealth Management Essentials Course, and Policy 6 Part I Regarding Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contract Portfolio Managers and Amendments to IDA Policy 6 Parts I and II Regarding Wealth Management Essentials Course, and Policy 6 Part I Regarding Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contract Portfolio Managers Marchés, OAR et agences de compensation
le 4 août 2006 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval – Housekeeping Amendments to IDA Form 1, Part II Auditors’ Report Marchés, OAR et agences de compensation
le 4 août 2006 Market Regulation Document Type Investment Dealers Association rule review Amendments to IDA Policy 6 Parts I and II Regarding Wealth Management Essentials Course, and Policy 6 Part I Regarding Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contract Portfolio Managers Marchés, OAR et agences de compensation
le 4 août 2006 Market Regulation Document Type Investment Dealers Association rule review Housekeeping Amendments to IDA Form 1, Part II Auditors Report Marchés, OAR et agences de compensation
le 21 juillet 2006 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval – IDA Amendments to Regulation 100.5 Capital Requirements for Certain Private Placements of Restricted Securities during the Distribution Period Marchés, OAR et agences de compensation
le 7 juillet 2006 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Proposed Amendments to the Insurance Requirements - Regulation 400 Marchés, OAR et agences de compensation
le 16 juin 2006 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Investment Dealers Association of Canada - By-law No. 28 Discretionary Fund Marchés, OAR et agences de compensation
le 16 juin 2006 Market Regulation Document Type Investment Dealers Association rule review IDA ByLaw No. 28 Discretionary Fund Marchés, OAR et agences de compensation
le 19 mai 2006 Market Regulation Document Type Investment Dealers Association rule review IDA By-Laws 10.1 and 10.4 - Board of Directors, National Advisory Committee and Meetings - Withdrawal of Proposed Rule Amendment Marchés, OAR et agences de compensation
