Notice of Commission Approval – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Republication – Dealer Member Rules – Proposals to Implement the Core Principles of the Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 to Adopt CAS for the Audits of Regulatory Financial Statements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 11-0075 – Request for Comments – Provisions Respecting Regulation of Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice – Amendments to Form 1 to adopt IFRS for regulatory reporting purposes – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Approval to Act as a Trade Repository in Ontario to Which Reporting Counterparties Can Report Trades in the Equity Asset Class – Chicago Mercantile Exchange Inc.
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OSC Notice and Request for Comment – Application for Designation as a Trade Repository – Chicago Mercantile Exchange Inc., DTCC Data Repository (U.S.) LLC, ICE Trade Vault, LLC
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Application for Designation as a Trade Repository and Draft Order – Chicago Mercantile Exchange Inc.
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Notice of Commission Orders – Chicago Mercantile Exchange Inc., DTCC Data Repository (U.S.) LLC, ICE Trade Vault, LLC
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Application for Designation as a Trade Repository and Draft Order – DTCC Data Repository (U.S.) LLC
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Application to Become Designated as a Trade Repository and Draft Order – ICE Trade Vault, LLC
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Notice of Revocation Order – LCH.Clearnet LLC
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Notice of Commission Order – Application for Exemptive Relief – LCH.Clearnet LLC
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OSC Notice and Request for Comment – Application for Exemption from Recognition as a Clearing Agency – LCH.Clearnet LLC
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Application for Exemption: LCH.Clearnet LLC
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Notice of Effective Date – Technical Amendments to CDS Procedures – WR1098 Regulation SHO Correction Screens – CDS Clearing and Depository Services Inc.
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