le 13 novembre 2014 Market Regulation Document Type MFDA recognition and other orders Notice of Commission Approval – Variation and Restatement of Recognition Order – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 décembre 2008 Market Regulation Document Type MFDA recognition and other orders Joint Notice of Approval of Certain Recognizing Regulators of the Mutual Fund Dealers Association of Canada Application to Amend Recognition Order – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type MFDA recognition and other orders Summary of Public Comments and Responses Respecting Proposed Amendments to MFDA Recognition Order and MFDA By-law No. 1 (Definition of "Public Director") – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type MFDA recognition and other orders Notice of Commission Approval – Amendments to MFDA Recognition Order and to MFDA By-law No. 1 Regarding the Definition of "Public Director" – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 janvier 2018 Market Regulation Document Type MFDA rule review Notice – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 octobre 2017 Market Regulation Document Type MFDA rule review Notice of Withdrawal – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 octobre 2017 Market Regulation Document Type MFDA rule review Notice – Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 avril 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0085 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 février 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 février 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0053 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 février 2015 Market Regulation Document Type IIROC rule review Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 février 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0045 – Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 janvier 2015 Market Regulation Document Type IIROC rule review Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 janvier 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0023 – Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 janvier 2015 Market Regulation Document Type IIROC rule review IIROC Notice – Amendments to IIROC Rules to Harmonize with Client Relationship Model Phase 2 Provisions Effective July 15, 2015 and July 15, 2016 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 janvier 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0013 – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 juin 2005 Market Regulation Document Type Investment Dealers Association rule review IDA Response to Comment Received on Proposed Amendments to IDA By-laws 1.1 and 29 - Conflicts of Interest and Client Priority Marchés, OAR et agences de compensation
le 13 janvier 2006 Market Regulation Document Type Investment Dealers Association rule review Futures Contract Options and IDA Regulation 100.8 - Commodity Futures Contracts and Futures Contract Options Marchés, OAR et agences de compensation
le 25 février 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0038 – Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2016 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendment to “Short Marking Exempt Order” Definitions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
