le 13 septembre 2006 Market Regulation Document Type Investment Dealers Association rule review IDA By-law Nos. 21 and 41 and Form 1 - Amendments to Reflect Changes to CIPF Oversight Rate Marchés, OAR et agences de compensation
le 13 septembre 2006 Market Regulation Document Type Investment Dealers Association rule review IDA Regulations 100.9 and 100.10 - Amendments to Recognize Three Complex Option Offset Strategies and to Expand the List of Available Option Spreads Involving Individual Equities Marchés, OAR et agences de compensation
le 13 septembre 2006 Market Regulation Document Type Investment Dealers Association rule review IDA Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K - Extending Debt Offsets to Customer Positions Marchés, OAR et agences de compensation
le 8 septembre 2006 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Amendments to IDA Regulation 100.12 - Optional Use of Value at Risk Modeling Marchés, OAR et agences de compensation
le 8 septembre 2006 Market Regulation Document Type Market Regulation Services Inc. rule review Investment Dealers Association - Amendments to IDA Regulation 100.12 - Optional Use of Value at Risk Modeling Marchés, OAR et agences de compensation
le 25 août 2006 Market Regulation Document Type Investment Dealers Association rule review IDA Proposed New Methodology for Margining Equity Securities and Related Amendments to Regulation 100 and Form 1 Marchés, OAR et agences de compensation
le 25 décembre 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 décembre 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Rule 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2009 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – UMIR – Provisions Respecting Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2010 Market Regulation Document Type MFDA rule review Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 29 octobre 2010 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 9 octobre 2009 Market Regulation Document Type IIROC rule review IIROC Rules (blacklined) – Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 juillet 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC By-Law No. 1 Regarding Director Election and Term – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 juin 2011 Market Regulation Document Type IIROC rule review Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 mai 2011 Market Regulation Document Type IIROC rule review Request for Comments – IIROC Rules Notice 11-0164 – Dealer Member Rules – Plain language rule re-write project – Debt Markets and Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 avril 2011 Market Regulation Document Type IIROC rule review Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD) – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 mars 2011 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Amendments to IIROC Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2009 Market Regulation Document Type IIROC rule review Request for Comments – Revisions to the Definition of “Securities Related Activities” – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 avril 2009 Market Regulation Document Type IIROC rule review Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 juin 2010 Market Regulation Document Type MFDA rule review Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
