le 26 septembre 2008 Market Regulation Document Type MFDA rule review Housekeeping Amendments to MFDA Rule 3 – Financial and Operations Requirements – 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 – ISO 15022 MT566 Corporate Action Payment Confirmation Message – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 26 septembre 2008 Market Regulation Document Type MFDA rule review Housekeeping Amendments to MFDA Policy No. 4 – Internal Control Policy Statements and MFDA Financial Questionnaire and Report – Form 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 20 mai 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Rules – Requirement for Uncertificated Withdrawal of Securities – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 20 mai 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Rules – Electronic Payment of Entitlements – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to Section 24.3 of MFDA By-law No. 1 – Suspensions in Certain Circumstances – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 6 mai 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Procedures – Real Time CNS Settlement and CNS Settlement Hold – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 6 mai 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Rules – Real Time Continuous Net Settlement Process – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 22 avril 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Commission Approval – Material Amendments to CDS Procedures – Amendment to Debt Haircut Rates in CDSX – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 8 avril 2011 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Procedures – Change to Federally Guaranteed Class Code – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 8 août 2008 Market Regulation Document Type IIROC rule review Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 août 2008 Market Regulation Document Type IIROC rule review Rule No. 41 and Form 1 Amendments to Reflect Changes to CIPF Oversight Role – Blackline Copy – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 août 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Rule No. 41 and Amendments to Form 1 regarding Canadian Investor Protection Fund – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 août 2008 Market Regulation Document Type IIROC rule review Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juillet 2008 Market Regulation Document Type IIROC rule review Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mai 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Ministerial Approval of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type IIROC Memoranda of Understanding Notice of Memorandum of Understanding between certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) concerning MFDA access to the National Registration Database (NRD) Marchés, OAR et agences de compensation
le 13 juillet 2007 Market Regulation Document Type MFDA rule review Proposed Amendments to Policy 3 (Handling Client Complaints) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
