IIROC Notice 17-0102 – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Appendix A – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Appendix B – Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Appendix 2 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC)
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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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IIROC Notice 16-0233 – Re-Publication of Proposed Provisions Respecting Best Execution – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments Respecting Market Transparency in Trading of Domestic Debt Securities – Investment Industry Regulatory Organization of Canada (IIROC)
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IDA Amendments To Regulations 100.2, 100.20, 400.4 And Form 1 – Margin Requirements For Precious Metals
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IDA Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities
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Notice of Amendment Approval - Provisions Respecting Impeding or Obstructing a Market Regulator
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Notice of Amendment Approval - Provisions Respecting Impeding or Obstructing a Market Regulator
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Notice of Amendment Approval - Provisions Respecting Trading During Certain Securities Transactions
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Notice of Commission Approval - Amendments Respecting Trading During Certain Securities Transactions
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Notice of Commission Approval - Provisions Respecting Practice and Procedure
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Notice of Amendment Approval - Provisions Respecting Practice and Procedure
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Notice of Commission Approval - Amendment to Universal Market Integrity Rule - Amendment to Rule 1.1 and 3.1(2)
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