Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Rescission of Commission Approval – Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc. – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC)
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MFDA Rule 2.2 (Client Accounts) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA)
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IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC)
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Summary of Public Comments – Proposed 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 Accounts) and Responses – Mutual Fund Dealers Association of Canada (MFDA)
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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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Notice of Approval – Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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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)
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Notice of Minister of Finance Approval – MOU Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC)
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Memorandum of Understanding Regarding Oversight of Investment Industry Regulatory Organization of Canada (IIROC) among Recognizing Regulators
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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