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
le 25 juin 2010 Market Regulation Document Type MFDA rule review Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 octobre 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 septembre 2012 Market Regulation Document Type IIROC rule review Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 mars 2016 Market Regulation Document Type MFDA rule review Corporate Resolution – Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 juin 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 12-0200 – Universal Market Integrity Rules (UMIR) – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mars 2012 Market Regulation Document Type IIROC rule review Notice and Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – 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 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 juin 2009 Market Regulation Document Type IIROC rule review Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 juin 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – 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
le 28 mai 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 février 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice 11-0050 – Request for Comments – Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 – Director Election and Term – Filling Vacancies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
