IIROC Notice 19-0027 – Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0129 – Trade confirmation suppression housekeeping amendments to align with CSA jurisdictions’ relief from reporting under National Instrument 24-101 Institutional Trade Matching and Settlements – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Proposed Changes and Request for Comment – Liquidnet Canada Inc.
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Notice of Commission Approval: Proposed Changes – Liquidnet Canada Inc.
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Update Notice – Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0079 – Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book and Update on the Client Focused Reforms – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Proposed Changes and Request for Comment – Liquidnet Canada Inc.
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Notice of Commission Approval of Proposed Change – Liquidnet Canada Inc.
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Notice of Commission Deemed Approval – Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Following Implementation of IIROC Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Proposed Changes and Request for Comment – Liquidnet Canada Inc.
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Notice of Commission Deemed Approval – Housekeeping Amendments to Form 2 for Consistency with the Current Cultural and Business Practices – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Continuing Education Rules – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Withdrawal – Proposed Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Notice and Request for Comment – Application for Exemption from Recognition as a Clearing Agency – Nodal Clear, LLC
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Notice of Proposed Changes and Request for Feedback – Omega ATS
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Notice of Commission Order – Interim Exemption Order – Nodal Exchange, LLC
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Notice of Approval - Proposed Change to Provide Canadian Clients Access to the LiquidityEdge Electronic Fixed Income Trading Platform - MarketAxxess Canada Company
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Notice of Proposed Change and Request for Comment - MarketAxess Canada Company
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IIROC Notice 19-0134 – Amendments Respecting Provision of Price Improvement by a Dark Order – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits – Investment Industry Regulatory Organization of Canada (IIROC)
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