Notice of Commission Approval – MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
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Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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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)
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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)
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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)
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IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Rescission of Commission Approval – Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc. – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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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)
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Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC)
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MFDA Rule 2.2 (Client Accounts) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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