Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Extension of Request for Comment – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to Section 35 (No Actions Against the Corporation) of MFDA By-law No. 1 and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Section 35 of MFDA By-law No. 1 – MFDA IPC – Mutual Fund Dealers Association of Canada (MFDA)
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Oversight Review Membership & Registration 2010 – Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review 2009 – Investment Industry Regulatory Organization of Canada (IIROC)
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Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision
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Request for Comments – 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.
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IIROC Notice 21-0009 – Withdrawal of the Proposed Amendments and Proposed Guidance Respecting Non-Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Amendment to the Risk Component of the Dealer Member Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0267 – Removal of the risk component of the annual fees paid by Dealer Members – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0262 – Early adoption of certain IIROC Rules into the Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0254 – Proposed Amendment to IIROC By-law No. 1 Regarding the Definition of "Marketplace" – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0238 – Client Focused Reforms – Proposed Rule Amendments for Public Comment – Investment Industry Regulatory Organization of Canada (IIROC)
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