Notice of Commission Approval: Surrender of Investment Dealers Association of Canada (IDA) and Market Regulation Services (RS) Recognition Orders
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Amended and Restated Recognition Order of IDA
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IDA By-law No. 18.8 – Definition of “Non-Retail Clients” – Withdrawal of Proposed Rule Amendment
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IDA Regulation 200.1(c) – Requirement to Send Quarterly Statements to Clients – Withdrawal of Proposed Rule Amendment
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Extension of Comment Period for Proposed IDA Rules to Implement the Core Principles of the Client Relationship Model
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Notice of Commission Approval – Housekeeping Amendments to IDA Regulations 100.2(j) and 100.2(k)
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IDA Swap Arrangements Involving Regulated Entities – IDA Regulations 100.2(j) and 100.2(k)
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IDA Regulation 100.4E - Offsets Between Strip Coupon Positions and / or Residual Debt Positions
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IDA Amendments to Complaint Handling Requirements - Client Complaint Handling Rule and Guidance Note and Amendments to By-laws 19 and 37 and Policy No. 2
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Notice of Commission Approval - Proposed Amendments to IDA Policy 6, Part III - Continuing Education Program
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Notice of Commission Approval - Proposed Amendments to IDA By-Law 38 and Policy 6, Part I - Chief Compliance Officer Qualifying Examination
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IDA Regulation 200.1(h) - Confirmation for Externally Managed Account Transactions - Withdrawal of Proposed Rule Amendment
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Notice of Commission Approval - Amendments to IDA By-laws 10.1 and 10.4 - Board of Directors, National Advisory Committee
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Notice of Commission Approval - IDA Amendments to Regulations 100.9 and 100.10 to Recognize Three Complex Option Offset Strategies and to Expand the List of Available Option Spreads Involving Individual Equities
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Meetings and Investment Dealers Association - Amendments to IDA By-laws 10.1 and 10.4 - Board of Directors, National Advisory Committee and Meetings
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IDA Amendments to Regulations 100.9 and 100.10 to Recognize Three Complex Option Offset Strategies and to Expand the List of Available Option Spreads Involving Individual Equities
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IDA Amendments to By-law 20 - Elimination of the IDA Appeal Panel and Changes to Continuing Jurisdiction Provisions
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IDA - Proposed Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1
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IDA - Membership Application Proces - Amendments to By-law Nos. 2 and 20
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Notice of Commission Approval - IDA Amendments to Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K - Extending Debt Offsets to Customer Positions
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