le 21 mai 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Amendments to the Notes and Instructions to Schedule 5 of Form 1 Relating to Approved Inter-Dealer Bond Brokers Marchés, OAR et agences de compensation
le 21 mai 2004 Market Regulation Document Type Investment Dealers Association rule review IDA Amendments to the Notes and Instructions to Schedule 5 of Form 1 Relating to Approved Inter-Dealer Bond Brokers Marchés, OAR et agences de compensation
le 14 mai 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Amendments to IDA Regulation 1300.1 - Know Your Client Requirements for Non-Individual Accounts Marchés, OAR et agences de compensation
le 14 mai 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Proposed Amendments to IDA By-law 20 Regarding Association Hearing Processes Marchés, OAR et agences de compensation
le 7 mai 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Proposed Amendments to the By-Laws and Regulations to Eliminate District Association Auditors and Alternate District Association Auditors Marchés, OAR et agences de compensation
le 26 novembre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 novembre 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 octobre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments: Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 octobre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Dealer Member Rules – Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 février 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 février 2012 Market Regulation Document Type IIROC rule review Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800 Marchés, OAR et agences de compensation
le 2 février 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 janvier 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 janvier 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 janvier 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 décembre 2011 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 octobre 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 10 octobre 2013 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations - Automatic Payment Plans) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 12 septembre 2013 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Proposed Amendments to Section 1 (Definitions) of MFDA By-law No. 1, MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 Regarding Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 juillet 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
