Notice of Commission Approval - Amendments to IDA By-law 2.4 - Membership
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Notice of Commission Approval - IDA Proposed Amendments to Regulation 100.10 - A Proposal to Permit the Optional Use of TIMS or SPAN for Regulatory Purposes
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Commission Approval of Proposed Amendments to IDA Regulation 800: Proposed New Regulation 800.49 Regarding Broker-to-Broker Trade Matching - IDA Summary of Comments and Responses
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Notice of Commission Approval - Proposed Amendments to IDA Regulation 800: Proposed New Regulation 800.49 Regarding Broker-to-Broker Trade Matching
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Notice of Commission Approval - IDA Amendments to the Notes and Instructions to Schedule 5 of Form 1 Relating to Approved Inter-Dealer Bond Brokers
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IDA Amendments to the Notes and Instructions to Schedule 5 of Form 1 Relating to Approved Inter-Dealer Bond Brokers
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Notice of Commission Approval - Amendments to IDA Regulation 1300.1 - Know Your Client Requirements for Non-Individual Accounts
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Notice of Commission Approval - Proposed Amendments to IDA By-law 20 Regarding Association Hearing Processes
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Notice of Commission Approval - IDA Proposed Amendments to the By-Laws and Regulations to Eliminate District Association Auditors and Alternate District Association Auditors
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IIROC Rules Notice – Request for Comments – Limitation on IIROC Enforcement Proceedings – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments: Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Dealer Member Rules – Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800
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Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Dealer Member Margin Rules, Rules 5100 through 5800 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice 12-0021 – Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice – Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice 11-0344 – Requirement to Disclose Membership in IIROC as Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
