IIROC Notice 20-0202 – Proposed Amendments Respecting the Trading of Derivatives on a Marketplace – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0239 – Client Focused Reforms – Housekeeping Rule Changes – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 20-0203 – Proposed Amendments – IIROC Exemptions for Bulk Account Movements – Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to the Rules of CDCC to Modify the Nominal Value of the Two-Year Government of Canada Bond Futures – Canadian Derivatives Clearing Corporation (CDCC)
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Request for Comments – Amendment to the Risk Manual of the CDCC to Address the Stress Testing Framework – Canadian Derivatives Clearing Corporation (CDCC)
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Recognition Order – Mutual Fund Dealers Association of Canada (MFDA)
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Memorandum of Understanding between CIPF and the CSA – Canadian Investor Protection Fund (CIPF)
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Notice of Approval – TSX and TSX Venture Wealth Client Fee Cap Program – TSX Inc. and TSX Venture Exchange Inc.
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Notice of Approval – Amendments to Broker Preferencing Functionality – TSX Inc.
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Notice of Commission Orders– Application for Exemptive Relief – Trumid Financial LLC
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OSC Staff Notice of Request for Comment – Proposed Amendments to the Risk Manual of CDCC to Introduce a New Risk Model Recalibration Process – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Commission Approval – Variation and Restatement of Recognition Order – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Variation and Restatement of MFDA Recognition Order – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval of Amended Memorandum of Understanding Regarding Oversight of the Investment Industry Regulatory Organization of Canada (IIROC) (effective April 1, 2021)
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Notice of Memorandum of Understanding Concerning the Oversight of the Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 21-0028 – Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to the Rules of CDCC with Respect to the Adjustments in Contract Terms – Canadian Derivatives Clearing Corporation (CDCC)
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Notice of Commission Deemed Approval – Housekeeping Amendments to the CIPF Claims Procedures – Canadian Investor Protection Fund (CIPF)
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