le 30 mars 2017 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 mai 2017 Market Regulation Document Type IIROC rule review Appendix C – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 avril 2017 Market Regulation Document Type IIROC rule review Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 10 mars 2016 Market Regulation Document Type MFDA rule review Proposed 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 3 juillet 2014 Market Regulation Document Type MFDA rule review OSC Staff Notice of Approval – Amendments to MFDA By-law No.1 and Articles of Continuance – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 3 juillet 2014 Market Regulation Document Type MFDA rule review By-Law No. 1 (as amended by By-laws Nos. 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 17 and 18) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 20 avril 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Proposed Amendments to Universal Market Integrity Rules (UMIR) – 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 13 avril 2012 Market Regulation Document Type IIROC rule review IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 mars 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 février 2012 Market Regulation Document Type IIROC rule review 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
le 17 février 2012 Market Regulation Document Type IIROC rule review 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
le 10 février 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – 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 26 août 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 mars 2015 Market Regulation Document Type MFDA rule review Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
