Proposed Amendments to MFDA By-Law No. 1 (Definitions), Rule 2.5.5 (Branch Manager) and Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice – Notice of Revocation of the 2008 Commission Approval to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Approval – Amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4 – Mutual Fund Dealers Association of Canada (MFDA)
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OSC Staff Notice of Commission Approval – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800
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Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
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Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
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)
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