Schedule B.1 to IIROC Transition Rule No. 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0288 – Proposed Guidance on Trading Supervision Obligations – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Proposed Fee Model for the Information Processor for Corporate Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Notice 16-0277 – New Debt Information Processor Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0262 – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – Re-publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Rescission of Commission Approval – Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc. – Mutual Fund Dealers Association of Canada (MFDA)
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Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Publication of IIROC Proposed Amendments and Concept Proposal – Investment Industry Regulatory Organization of Canada (IIROC)
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Extension of Request for Comment – Proposed Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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.
Marchés, OAR et agences de compensation
