le 28 mai 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 février 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice 11-0050 – Request for Comments – Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 – Director Election and Term – Filling Vacancies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
le 26 août 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 mars 2015 Market Regulation Document Type MFDA rule review Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 20 septembre 2024 Market Regulation Document Type TMX Group Limited and TSX Inc. rule review and notices Notice and Request for Feedback – Real-Time Market Data Fees – TSX, Alpha, and TSXV Marchés, OAR et agences de compensation
le 12 décembre 2024 Market Regulation Document Type Carta Capital Markets, LLC Notice of Commission Decision – Revocation of Exemptive Relief – Carta Capital Markets, LLC Marchés, OAR et agences de compensation
le 12 décembre 2024 Market Regulation Document Type CIRO rule review and notices Request for Comment – Proposed Amendments to UMIR Respecting Trading Increments – Canadian Investment Regulatory Organization (CIRO) Marchés, OAR et agences de compensation
le 3 août 2024 Document Harvey S. Naglie comments re. OSC Rule 11-502 & 11-503 Documents ouverts dans un nouvel onglet Comment letters
le 25 juillet 2024 Document Ken Kivenko (Kenmar Associates) comments re. OSC Rule 11-502 & 11-503 Documents ouverts dans un nouvel onglet Comment letters
le 3 octobre 2024 Document Brigitte Catellier, et al (The Osgoode Investor Protection Clinic), comments re. OSC Rule 11-502 & 11-503 Documents ouverts dans un nouvel onglet Comment letters
le 7 octobre 2024 Document Jean-Paul Bureaud (FAIR Canada), comments re. OSC Rule 11-502 & 11-503 Documents ouverts dans un nouvel onglet Comment letters
le 9 octobre 2024 Document IAP Comments on Proposed Rules and Companion Policies 11-502/11-503 – Distribution of Disgorged Amounts to Harmed Investors Documents ouverts dans un nouvel onglet Comment letters
le 9 octobre 2024 Document Investment Industry Association of Canada, comments re. 11-502/11-503 – Distribution of Disgorged Amounts to Harmed Investors Documents ouverts dans un nouvel onglet Comment letters
le 9 octobre 2024 Document Canadian Advocacy Council, comments re. 11-502/11-503 – Distribution of Disgorged Amounts to Harmed Investors Documents ouverts dans un nouvel onglet Comment letters
le 9 octobre 2024 Document Katie Walmsley and Warren M. Rudic (PMAC), comments re. 11-502/11-503 – Distribution of Disgorged Amounts to Harmed Investors Documents ouverts dans un nouvel onglet Comment letters
le 10 octobre 2024 Market Regulation Document Type CIRO rule review and notices Request for Comment – Proposed Amendments Respecting Enhanced Cost Reporting – Canadian Investment Regulatory Organization (CIRO) Marchés, OAR et agences de compensation
le 10 octobre 2024 Market Regulation Document Type CIRO rule review and notices Notice of Commission Deemed Approval – Housekeeping Amendment to Canadian Investment Regulatory Organization (CIRO) Investment Dealer and Partially Consolidate (IDPC) Rule 2603(2) – Canadian Investment Regulatory Organization (CIRO) Marchés, OAR et agences de compensation
