le 21 avril 2016 Market Regulation Document Type IIROC rule review Request for comment – Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 avril 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0082 – Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 mars 2016 Market Regulation Document Type IIROC rule review Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 mars 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0052 – Re-Publication of Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 février 2016 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Amendments Respecting the Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 février 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0038 – Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 décembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0298 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – 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 13 novembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0263 – Rules Notice – Request for Comment – 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 6 novembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comment – Proposed Amendments Relating to the Cross-Guarantee – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 novembre 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0257 – Rules Notice – Request for Comment – Proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 juillet 2001 Market Regulation Document Type Investment Dealers Association Memoranda of Understanding Notice of Commission Approval of Agreement between the OSC, ASC, BCSC, SSC, NSSC, CVMQ, and IDA Marchés, OAR et agences de compensation
le 30 octobre 2014 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Dealer Member Rule 2800C Transaction Reporting for Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 septembre 2014 Market Regulation Document Type IIROC rule review Notice of Request for Comments – Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 15 janvier 2008 Market Regulation Document Type Investment Dealers Association oversight review Oversight Review Report of Investment Dealers Association of Canada Marchés, OAR et agences de compensation
le 24 octobre 2003 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - IDA Policy 11 Analyst Standards Marchés, OAR et agences de compensation
le 15 août 2003 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Amendments to the IDA By-laws 1 and 7 and to Policy 6, Parts I and II Regarding Proficiency Requirements for Chief Financial Officers ("CFOs") Marchés, OAR et agences de compensation
le 15 août 2003 Market Regulation Document Type Investment Dealers Association rule review Notice of Commission Approval - Amendments to IDA Regulation 100 - Positions in and Offsets Involving Exchange Traded Derivatives Marchés, OAR et agences de compensation
le 8 août 2003 Market Regulation Document Type Investment Dealers Association rule review Request for Comments - Proposed Policy No. 11 Analyst Standards Marchés, OAR et agences de compensation
