OSC Notice and Request for Comment – Proposed Universal Market Integrity Rules Amendments Respecting Designations and Identifiers – Investment Industry Regulatory Organization of Canada (IIROC)
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IDA Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities
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IDA ByLaw No. 28 Discretionary Fund
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IDA Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K - Extending Debt Offsets to Customer Positions
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Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed amendments to MFDA Rule 1.2 (Individual Qualifications) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Housekeeping Amendments to Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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MFDA Notice – Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice and Request for Comment – Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) – Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC)
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Corporate Resolution – RE: Proposed Housekeeping amendments re: CRM2 – Mutual Fund Dealers Association of Canada (MFDA)
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Guidance Note – IIROC Rules Notice 12-0109 – Know your Client and Suitability – Investment Industry Regulatory Organization of Canada (IIROC)
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Guidance Note – IIROC Rules Notice 12-0108 – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval – IIROC Rules Notice 12-0107 – Client Relationship Model – Implementation – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFD A Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Resolution Certificate – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to IIROC’s proposals to implement the core principles of the Client Relationship Model and related guidance notes – Investment Industry Regulatory Organization of Canada (IIROC)
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