le 29 octobre 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 janvier 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – UMIR Amendments – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 décembre 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 décembre 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Rule 19, 37 and 2500 Relating to Client Complaint Handling – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Republication – Dealer Member Rules – Proposals to Implement the Core Principles of the Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 décembre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Notice of Withdrawal – Proposed Amendments to Continuing Jurisdiction Provisions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 février 2010 Market Regulation Document Type IIROC rule review Amendments to Correct Registration Reform Related Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 février 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Amendments to Investment Industry Regulatory Organization of Canada (IIROC) Dealer Member Rule 2900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 janvier 2010 Market Regulation Document Type IIROC rule review Notice of Correction – IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 janvier 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice 10-306 – Notice of Approval – UMIR – Provisions Respecting Trading During Certain Securities Transactions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 août 2010 Market Regulation Document Type IIROC rule review IIROC Notice – Amendments to Form 1 to adopt IFRS for regulatory reporting purposes – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 juin 2016 Market Regulation Document Type IIROC rule review Appendix 1 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 juillet 2018 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 juillet 2018 Market Regulation Document Type IIROC rule review IIROC Notice 18-0141 – Proposed Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 juin 2018 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 juin 2018 Market Regulation Document Type IIROC rule review IIROC Notice 18-0122 – Proposed Amendments Respecting Client Identifiers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 juin 2018 Market Regulation Document Type IIROC rule review Notice of Commission Deemed Approval – Housekeeping Amendments to UMIR Policy 7.1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
