Notice of Approval – Amendment and Restatement of Recognition Order and Summary of Public Comments – Mutual Fund Dealers Association of Canada (MFDA)
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Application for Amendment and Restatement of Terms and Conditions or Order Recognizing Self-regulatory Organization – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA)
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Recognition Order
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Overview of the Public Comments on Application for Recognition and the MFDA Response – Mutual Fund Dealers Association of Canada (MFDA)
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Application and Request for Comments – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA By-law No. 1, Section 1 (Definitions) and Section 22 (Investigatory Powers) – Mutual Fund Dealers Association of Canada (MFDA)
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Extension of Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
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Text of Policies under the Universal Market Integrity Rules
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Notice of Minister of Finance Approval Memorandum of Understanding regarding the oversight of Market Regulation Services Inc.
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MOU between OSC, BCSC, ASC, CVMQ and MSC
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IIROC Notice 14-0214 – Client Relationship Model – Phase 2 Performance reporting and fee / charge disclosure amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Continuance under Canada Not-for-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Margin requirements for debt security obligations of supranational entities – Amendments to Dealer Member Rule 100.2(a)(ii) – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0148 – Rules Notice – Request for Comments – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Investment Industry Regulatory Organization of Canada (IIROC)
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