le 1 octobre 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Proposed Amendment to Regulation 100.2(f)(ii) and Proposed Regulation 100.2(l) - Margin Treatment for Money Market Mutual Funds Marchés, OAR et agences de compensation
le 1 octobre 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Amendments to Schedule 9 of IDA Form 1 (Securities Concentration Change) Marchés, OAR et agences de compensation
le 1 octobre 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Amendment to the IDA's General Notes & Definitions to Form 1 - Definition of "Acceptable Securities Locations" Marchés, OAR et agences de compensation
le 1 octobre 2004 Market Regulation Document Type Investment Dealers Association rule review IDA - Definition of "Acceptable Securities Locations" - Transfer Agents, General Notes and Definitions to Form 1 Marchés, OAR et agences de compensation
le 18 décembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0298 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0263 – Rules Notice – Request for Comment – Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comment – Proposed Amendments Relating to the Cross-Guarantee – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 novembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0257 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 juillet 2001 Market Regulation Document Type Investment Dealers Association Memoranda of Understanding Notice of Commission Approval of Agreement between the OSC, ASC, BCSC, SSC, NSSC, CVMQ, and IDA Marchés, OAR et agences de compensation
le 30 octobre 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Dealer Member Rule 2800C Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 septembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comments – Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 octobre 2001 Market Regulation Document Type Market Regulation Services Inc. recognition orders Proposed Universal Integrity Rules Marchés, OAR et agences de compensation
le 20 novembre 2014 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Request for Comment – Material Amendments to CDS Procedures – Extenders of Credit and Settlement Agents Category Credit Rings – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 20 novembre 2014 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Request for Comment – Material Amendments to CDS Rules – Extenders of Credit and Settlement Agents Category Credit Rings – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 20 novembre 2014 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Request for Comment – Material Amendments to CDS Procedures – Mitigation of Procyclical Effects on Calculations of Equity Haircuts and the CNS Participant Fund Collateral Requirements – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 20 novembre 2014 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Request for Comment – Material Amendments to CDS Rules – Introduction of a CNS Participant Default Fund – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 20 novembre 2014 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review OSC Staff Notice of Request for Comment – Material Amendments to CDS Procedures – Introduction of a CNS Participant Default Fund – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 6 novembre 2014 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Amendments to CDS’ Outsourcing Arrangement – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
