Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Extension of Request for Comment – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to Section 35 (No Actions Against the Corporation) of MFDA By-law No. 1 and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Oversight Review Membership & Registration 2010 – Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review 2009 – Investment Industry Regulatory Organization of Canada (IIROC)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision
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Request for Comments – Material Amendments to CDS Procedures – Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) Changes – CDS Clearing and Depository Services Inc.
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IIROC Notice 21-0009 – Withdrawal of the Proposed Amendments and Proposed Guidance Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Amendment to the Risk Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0267 – Removal of the risk component of the annual fees paid by Dealer Members – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0262 – Early adoption of certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0254 – Proposed Amendment to IIROC By-law No. 1 Regarding the Definition of "Marketplace" – Investment Industry Regulatory Organization of Canada (IIROC)
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