le 16 juillet 2010 Market Regulation Document Type MFDA rule review MFDA Rule 5.3 (Client Reporting) – 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) and Policy No. 2 Minimum Standards for Account Supervision – 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 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type IIROC rule review IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC) 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 26 juin 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Proposed Amendments to 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 22 mai 2009 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Trading in Securities of U.S. OTC Issuers – Proposed Amendments to Dealer Member Rule 1300.1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 mai 2009 Market Regulation Document Type IIROC rule review Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 22 mai 2009 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 1 mai 2009 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 novembre 2010 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 octobre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments: Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 8 octobre 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Dealer Member Rules – Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 août 2020 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 avril 2019 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 avril 2018 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 juillet 2017 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
