le 26 juin 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Disclosure to Clients of Dealer Members’ Financial Position – Amendments to Dealer Member Rule 1400 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 juin 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0157 – Rules Notice – Request for Comments – Disclosure to clients of Dealer Members’ financial position – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Margin requirements for debt security obligations of supranational entities – Amendments to Dealer Member Rule 100.2(a)(ii) – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0148 – Rules Notice – Request for Comments – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 mai 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 mai 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0133 – Rules Notice – Notice of Approval/Implementation – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 août 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Material Amendments to CDS Rules – Termination of FINet – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 9 mars 2007 Market Regulation Document Type Market Regulation Services Inc. rule review RS Market Integrity Notice - Notice of Amendment Approval - Provisions Respecting Competitive Marketplaces Marchés, OAR et agences de compensation
le 18 juillet 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – Amendments to By-law No. 1 – Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 18 juillet 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Commission Approval – 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. Marchés, OAR et agences de compensation
le 11 juillet 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Request for Comments – Material Amendments to CDS Procedures – Amendments to the Buy-in Process – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 20 juin 2013 Market Regulation Document Type Canadian Depository for Securities Limited (CDS) rule review Notice of Effective Date – Technical Amendments to CDS Procedures – Termination of FINnet – CDS Clearing and Depository Services Inc. Marchés, OAR et agences de compensation
le 9 mars 2007 Market Regulation Document Type Market Regulation Services Inc. rule review RS Market Integrity Notice - Amendment Approval - Provisions Respecting Competitive Marketplaces Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – Amendments Relating to Rule 100.10K – Optional Use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0249 – Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members’ Financial Position – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Debt Market Regulation Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 octobre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0243 – Approval of Debt Market Regulation Fee – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 octobre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Amendments to the Universal Market Integrity Rules (UMIR) Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 novembre 2005 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Amendments to Schedule 12 of Form 1 Relating to the Margin on Commodity Concentrations and Deposits Marchés, OAR et agences de compensation
