OSC Staff Notice of Withdrawal – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 14-0048 – Rules Notice – Notice of Withdrawal – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Withdrawal – Revisions to the Definition of Securities Related Activities – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Proposed Plain Language Rule 9600 – Compliance Fees – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – IIROC Rule Notice 13-0058 – Proposed Requirements for Debt Securities Transaction – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 13-0041 – Request for Comment – Amendments to IFRS Version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Commission Approval – IIROC Housekeeping Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice 12-0385 – Dealer Member Rules – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – IIROC Rules Notice 12-0363 – UMIR – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Commission Approval – New MFDA Policy No. 8 (Proficiency Standard for Approved Persons Selling ETFs) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Revised Proposed Requirements Relating to the Disclosure of MFDA Membership – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Revised Proposed Requirements Relating to the Disclosure of MFDA Membership – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments on Proposed Amendments to MFDA Rule 2.3.1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 2.3 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Notice – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Mutual Fund Dealers Association of Canada (MFDA)
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