Notice of Commission Approval - Exemption of Trades Pursuant to Market Marker Obligations from the Payment of Regulation Fees
Marchés, OAR et agences de compensation
Notice of Commission Approval - Exemption of Trades Pursuant to Market Maker Obligations from the Payment of Regulation Fees
Marchés, OAR et agences de compensation
Notice of Commission Approval - Amendment to the Universal Market Integrity Rules - Definition of Employee
Marchés, OAR et agences de compensation
Text of the Universal Market Integrity Rules
Marchés, OAR et agences de compensation
Request for Comments - Amendments to Trade-through Obligations
Marchés, OAR et agences de compensation
Request for Comments - Provisions Respecting "Off-Marketplace" Trades
Marchés, OAR et agences de compensation
Notice of Amendment Approval - Provisions Respecting a "Basis Order"
Marchés, OAR et agences de compensation
Notice of Amendment Approval - Provisions Respecting a "Basis Order"
Marchés, OAR et agences de compensation
Notice of Commission Approval – Proposed Continuance under Canada Not-for-Profit Corporations Act – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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)
Marchés, OAR et agences de compensation
IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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)
Marchés, OAR et agences de compensation
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)
Marchés, OAR et agences de compensation
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)
Marchés, OAR et agences de compensation
IIROC Notice 14-0133 – Rules Notice – Notice of Approval/Implementation – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Material Amendments to CDS Rules – Termination of FINet – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
RS Market Integrity Notice - Notice of Amendment Approval - Provisions Respecting Competitive Marketplaces
Marchés, OAR et agences de compensation
Notice of Commission Approval – Amendments to By-law No. 1 – Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
Notice of Commission Approval – Material Amendments to CDS Procedures – Trade Confirmation and Matching Compliance as per IIROC Dealer Member Rules 800.49 and 200.1(h) changes – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
Request for Comments – Material Amendments to CDS Procedures – Amendments to the Buy-in Process – CDS Clearing and Depository Services Inc.
Marchés, OAR et agences de compensation
