le 16 juillet 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juillet 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule 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 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 29 mai 2014 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 décembre 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 octobre 2013 Market Regulation Document Type IIROC rule review OSC Staff Notice and Request for Comment – Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 décembre 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – 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 27 août 2004 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Proposed Regulation 100.9(a)(x) - Amendments to the Definition of "Floating Margin Rate" Marchés, OAR et agences de compensation
le 24 octobre 2019 Market Regulation Document Type MFDA rule review Request for Comment – Proposed Amendments to MFDA Rule 1.1.1(a) (Business Structures - Members) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 septembre 2019 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Continuing Education Requirements for MFDA Members and their Approved Persons – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 avril 2019 Market Regulation Document Type MFDA rule review Request for Comment – Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 29 octobre 2010 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 21 juillet 2006 Market Regulation Document Type ICE Futures Europe orders and notices Notice and Request for Comment - Application for Exemptions - ICE Futures Europe Marchés, OAR et agences de compensation
le 17 avril 2009 Market Regulation Document Type IIROC rule review Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
