le 12 juin 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0129 – Request for Comments – Proposed Amendments Respecting Unprotected Transparent Marketplaces and the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 juin 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – Housekeeping Changes to Dealer Member Rule 200 and Changes to Effective Dates for Amendments to Dealer Member Rule 200 and to Dealer Member Form 1 Relating to the Implementation of CRM2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 juin 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0128 – Client Relationship Model – Phase 2 - Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 avril 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendment to Universal Market Integrity Rule 1.1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 avril 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Proposed amendments to Dealer Member Rules 8.7 and corollary amendments to Dealer Member Rule 8.3A relating to the Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 décembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0277 – Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Withdrawal – Amendments to Dealer Member Rule 100.2(a)(ii) – Margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0262 – Withdrawal of proposed amendments to Dealer Member Rule 100.2(a)(ii) relating to the margin requirements for debt security obligations of supranational entities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2015 Market Regulation Document Type IIROC rule review Notice of Withdrawal – Proposed Amendments Relating to the Cross-Guarantee Requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0261 – Withdrawal of proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 5 novembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0248 – Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 septembre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Research Report Quiet Periods – Immediate Implementation of Amendments to Rule 3400, Requirement 14 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 septembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0217 – Request for Comments – Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 septembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0216 – Amendments to Research Report Quiet Periods – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 septembre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 septembre 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 septembre 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0196 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 août 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Margin Requirements for Certain Cash and Security Borrowing and Lending Arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 août 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-005 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
