Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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Notice of Commission Approval – Amendments to MFDA Rule 2.2 Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amended MFDA Rules of Procedure – Mutual Fund Dealers Association of Canada (MFDA)
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Extension of Request for Comment – Proposed Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC)
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Housekeeping Amendments to MFDA By-Law No. 1, Section 23, Regarding Co-operation with Other Authorities – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Housekeeping Amendment to MFDA Internal Control Policy Statements – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Housekeeping Amendment to MFDA Financial Questionnaire – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client" Requirements – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client" – Mutual Fund Dealers Association of Canada (MFDA)
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Housekeeping Amendment to MFDA Internal Control Policy Statements – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Notice – Housekeeping Amendments to MFDA Rule 1.2.4 (Currency of Courses) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 3.2 and MFDA Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 3.2 and MFDA Financial Questionnaire and Report and Response of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Calculation of Risk Adjusted Capital (Rule 3.2.2, 3.2.5 and Form 1) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Notice and Request for Comments – Hearing Panels (Section 19.9 of By-law No.1) – Mutual Fund Dealers Association of Canada (MFDA)
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IIROC Rules Notice – Request for Comments – UMIR – Provisions Respecting Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Application - Proposed Acquisition of TMX Group, Alpha and CDS by Maple Group Acquisition Corporation - TMX Group Inc.
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