le 24 octobre 2013 Market Regulation Document Type IIROC rule review OSC Staff Notice and Request for Comment – Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – 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 18 décembre 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 juin 2005 Market Regulation Document Type Market Regulation Services Inc. rule review Request for Comments - Amendments to Trade-through Obligations 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 10 juin 2005 Market Regulation Document Type Market Regulation Services Inc. rule review Request for Comments - Provisions to Accomodate the Introduction of Multiple Marketplaces 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 6 juin 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Material Amendments to CDS Procedures – Locked-in Trade Reconciliation Service and the NSCC Trade File Pass-through Service – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 6 juin 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Material Amendments to CDS Procedures – Amendments to Buy-in Messaging – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 30 mai 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Material Amendments to CDS Procedures – Modification of Non-Financial Details on Blind Repo Trades – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 12 janvier 2007 Market Regulation Document Type Market Regulation Services Inc. rule review RS Notice - Request for Comments - Proposed UMIR Regulation Fee Model Marchés, OAR et agences de compensation
le 26 juin 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Disclosure to Clients of Dealer Members’ Financial Position – Amendments to Dealer Member Rule 1400 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 juin 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
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 23 juin 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Effective Date – Technical Amendments to CDS Procedures – Payment Release Messages / Final Tendered Total Alert / TRAX – Market Purchase Transaction – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
