le 27 juin 2013 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Investment Industry Regulatory Organization of Canada – Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 juin 2013 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2013 Market Regulation Document Type IIROC rule review Request for Comments – IIROC Rule Notice 13-0058 – Proposed Requirements for Debt Securities Transaction – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 février 2013 Market Regulation Document Type IIROC rule review IIROC Rules Notice 13-0041 – Request for Comment – Amendments to IFRS Version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 janvier 2013 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – IIROC Housekeeping Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 décembre 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 12-0385 – Dealer Member Rules – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 décembre 2012 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 décembre 2012 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – IIROC Rules Notice 12-0363 – UMIR – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 décembre 2012 Market Regulation Document Type IIROC rule review IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 décembre 2000 Market Regulation Document Type MFDA recognition and other orders Overview of the Public Comments on Application for Recognition and the MFDA Response – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 juin 2000 Market Regulation Document Type MFDA recognition and other orders Application and Request for Comments – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 7 mai 2020 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA By-law No. 1, Section 1 (Definitions) and Section 22 (Investigatory Powers) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 9 avril 2020 Market Regulation Document Type MFDA rule review Extension of Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 mars 2020 Market Regulation Document Type MFDA rule review Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 14 novembre 2013 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 14 novembre 2013 Market Regulation Document Type IIROC rule review IIROC Notice 13-0275 – Rules Notice – Request for Comments – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 août 2008 Market Regulation Document Type MFDA recognition and other orders Joint Notice and Request for Comment of Certain Recognizing Regulators of the MFDA – Application to Amend Recognition Orders – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 23 mai 2008 Market Regulation Document Type MFDA recognition and other orders Joint Notice and Request for Comment – MFDA Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 17 novembre 2006 Market Regulation Document Type MFDA recognition and other orders Notice of Commission Order – Application to Amend the Recognition Order of the Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 21 mai 2004 Market Regulation Document Type MFDA recognition and other orders Notice of Approval – Amendment and Restatement of Recognition Order and Summary of Public Comments – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
