le 12 juin 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0129 – Request for Comments – Proposed Amendments Respecting Unprotected Transparent Marketplaces and the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 juin 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – Housekeeping Changes to Dealer Member Rule 200 and Changes to Effective Dates for Amendments to Dealer Member Rule 200 and to Dealer Member Form 1 Relating to the Implementation of CRM2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 juin 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0128 – Client Relationship Model – Phase 2 - Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 février 2009 Market Regulation Document Type IIROC rule review Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 janvier 2009 Market Regulation Document Type IIROC rule review Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 janvier 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type IIROC rule review IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Amendments to Rule 100.4E – Offsets Between Strip Coupon Positions and/or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juin 2010 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 30 avril 2010 Market Regulation Document Type MFDA rule review Notice of Rescission of Commission Approval – Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc. – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 21 novembre 2008 Market Regulation Document Type IIROC rule review Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 novembre 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 novembre 2008 Market Regulation Document Type IIROC rule review Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 31 octobre 2008 Market Regulation Document Type IIROC rule review Extension of Request for Comment – Proposed Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 octobre 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 octobre 2008 Market Regulation Document Type IIROC rule review Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 septembre 2008 Market Regulation Document Type IIROC rule review Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 décembre 2014 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 14 octobre 2011 Market Regulation Document Type IIROC oversight review Oversight Review Membership & Registration 2010 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
