Notice – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Withdrawal – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice – Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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IIROC Notice 15-0085 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 15-0053 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 15-0045 – Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 15-0023 – Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice – Amendments to IIROC Rules to Harmonize with Client Relationship Model Phase 2 Provisions Effective July 15, 2015 and July 15, 2016 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 15-0013 – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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IDA Response to Comment Received on Proposed Amendments to IDA By-laws 1.1 and 29 - Conflicts of Interest and Client Priority
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Futures Contract Options and IDA Regulation 100.8 - Commodity Futures Contracts and Futures Contract Options
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IIROC Notice 16-0038 – Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendment to “Short Marking Exempt Order” Definitions – Investment Industry Regulatory Organization of Canada (IIROC)
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Text of Proposed By-law No. 39 - Principal and Agent
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Notice of Commission Approval - Amendments to IDA By-law 5.6 Small Investments by Industry Investors in Another Member or Holding Company
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Notice of Request for Comments - Amendments to IDA Regulation 200.1(H) regarding Confirmations for Externally Managed Account Transactions
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Notice of Commission Approval – Amendments to Universal Market Integrity Rule 6.6 – Investment Industry Regulatory Organization of Canada (IIROC)
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