Order: In the Matter of Instinet Canada Cross Limited
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Order: In the Matter of Liquidnet Canada Inc.
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Notice of Commission Approval of Amended Memorandum of Understanding Regarding Oversight of the Investment Industry Regulatory Organization of Canada (IIROC) (effective April 1, 2021)
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Notice of Commission Approval – Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0028 – Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to the Rules of CDCC with Respect to the Adjustments in Contract Terms – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Approval - Public Interest Rule Amendments to the Trading Policies - Neo Exchange Inc.
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Notice of Commission Deemed Approval – Housekeeping Amendments to IIROC Rules to Enhance Protection of Older and Vulnerable Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0159 – Housekeeping Amendments to Enhance Protection of Older and Vulnerable Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval of Amended Memorandum of Understanding Regarding Oversight of the Mutual Fund Dealers Association of Canada (MFDA) (effective April 1, 2021)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Withdrawal of Proposed Changes – Liquidnet Canada Inc.
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Notice of Commission Approval – Client Focused Reforms Rule Amendments – Mutual Fund Dealers Association of Canada (MFDA)
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Mutual Fund Dealers Association of Canada (MFDA) – Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) – Notice of Withdrawal
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Notice of Withdrawal – Proposed Amendments to MFDA Rules 2.3.1(b) (Discretionary Trading) and 2.2.5 (Relationship Disclosure) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Proposed Change and Request for Comment – Proposed Fee Model for TSX and TSXV Listed Securities Trading on the CSE – Canadian Securities Exchange
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Notice of Commission Approval – Proposed Amendments to the Rules, Operations Manual, Risk Manual and Default Manual of the CDCC to Introduce a Supplemental Liquidity Fund – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Revocation Order – SS&C Technologies Canada Corp.
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Request for Comment – Proposed Amendments Respecting Reporting, Internal Investigation and Client Complaint Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Variation Order – LCH Limited
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