le 9 mars 2012 Ruling ABN AMRO Clearing Chicago LLC -- s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 11 septembre 2012 Ruling Barclays Capital Inc. -- s. 38 of the Act and 6.1 of the Rule 91-502 Ordonnances et décisions
le 31 janvier 2014 Order Samco Gold Limited – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions Ordonnances et décisions
le 20 juin 2017 Order Janus Capital Management LLC -- s. 6.1 of OSC Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 12 avril 2019 Order Green Growth Brands Inc. – ss. 5.1 of OSC Rule 48-501 Trading During Distributions, Formal Bids and Share Exchange Transactions, s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI 62-104 Ordonnances et décisions
le 19 mars 2018 Order Acasta Enterprises Inc. – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI Take-Over Bids and Issuer Bids Ordonnances et décisions
le 23 mars 2018 Order Xenon Paharmaceuticals Inc. – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids Ordonnances et décisions
le 23 décembre 2016 Order GoldON Resources Ltd. – s. 9.1 of MI 61-101 Protection of Minority Security Holders in Special Transactions and s. 6.1 of NI 62-104 Take-Over Bids and Issuer Bids Ordonnances et décisions
le 30 mai 2014 Ruling Wells Fargo Securities, LLC – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 18 décembre 2012 Ruling State Street Global Markets, LLC -- s. 38 of the Act and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 23 mai 2019 Ruling PVM Futures, Inc. – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 4 juin 2019 Ruling TJM Institutional Services LLC – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 31 mai 2019 Ruling Wells Fargo Securities, LLC – s. 38 of the CFA and s. 6.1 of Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 8 janvier 2018 Ruling BGC Financial LP et al. – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options Ordonnances et décisions
le 28 juin 2017 Ruling J.P. Morgan Securities LLC and J.P. Morgan Securities PLC. – s. 38 of the CFA and s. 6.1 of Rule 91-502 Ordonnances et décisions
le 24 février 2017 Ruling Prism Financial Products LLC – s. 38 of the CFA and s. 6.1 of OSC Rule 91-502 Trades in Recognized Options Ordonnances et décisions
