le 12 décembre 2003 Market Regulation Document Type MFDA recognition and other orders Notice of Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 6 février 2001 Market Regulation Document Type MFDA recognition and other orders Recognition Order Marchés, OAR et agences de compensation
le 15 mai 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Proposed Amendments to Universal Market Integrity Rules Regarding Order Protection – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 mai 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0124 – Rules Notice – Request for Comments – Proposed Provisions Respecting the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Proposed Personal Financial Dealing Amendments – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0103 – Rules Notice – Request for Comments: Proposed Personal Financial Dealing amendments – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0101 – Rules Notice – Request for Comments – Re-Publication of Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 mars 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Amendments to Universal Market Integrity Rule 1.1 – Definition of Basis Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Margin requirements for debt security obligations of supranational entities – Amendments to Dealer Member Rule 100.2(a)(ii) – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 juin 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0148 – Rules Notice – Request for Comments – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 mai 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 mai 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0133 – Rules Notice – Notice of Approval/Implementation – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2016 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendment to “Short Marking Exempt Order” Definitions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0028 – Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 décembre 2015 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 décembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0277 – Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Withdrawal – Amendments to Dealer Member Rule 100.2(a)(ii) – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 septembre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Research Report Quiet Periods – Immediate Implementation of Amendments to Rule 3400, Requirement 14 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 septembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0217 – Request for Comments – Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
