Appendix 1 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC)
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Appendix 2 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval: Surrender of Investment Dealers Association of Canada (IDA) and Market Regulation Services (RS) Recognition Orders
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Amended and Restated Recognition Order of IDA
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IDA By-law No. 18.8 – Definition of “Non-Retail Clients” – Withdrawal of Proposed Rule Amendment
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IDA Regulation 200.1(c) – Requirement to Send Quarterly Statements to Clients – Withdrawal of Proposed Rule Amendment
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Extension of Comment Period for Proposed IDA Rules to Implement the Core Principles of the Client Relationship Model
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Notice of Commission Approval – Housekeeping Amendments to IDA Regulations 100.2(j) and 100.2(k)
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IDA Swap Arrangements Involving Regulated Entities – IDA Regulations 100.2(j) and 100.2(k)
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IDA Amendments To Regulations 100.2, 100.20, 400.4 And Form 1 – Margin Requirements For Precious Metals
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IDA Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities
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Request for Comment – Re-publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0233 – Re-Publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments Respecting Market Transparency in Trading of Domestic Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Request for Comment – Proposed Material Amendments to UMIR, Dealer Member Rules and Form 1 to Facilitate the Investment Industry’s Move to T+2 Settlement – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0177 – Amendments to facilitate the investment industry's move to T+2 settlement – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Request for Comments – Proposed Non-Material Amendments to Schedule 12 of Form 1 – Margin on Futures Concentrations and Deposits and its Notes and Instructions – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0142 – Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions – Investment Industry Regulatory Organization of Canada (IIROC)
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IDA Regulation 100.4E - Offsets Between Strip Coupon Positions and / or Residual Debt Positions
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IDA Amendments to Complaint Handling Requirements - Client Complaint Handling Rule and Guidance Note and Amendments to By-laws 19 and 37 and Policy No. 2
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