IIROC Amendments Respecting Third Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 13-0174 – Request for Comment – Proposed Plain Language Rule Sections 2210 and 2211 – Suspension and Termination of a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA By-Law No. 1 Sections 3.3 (Election and Term), 3.6.1 (Governance Committee) and 4.7 (Quorum) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Investment Industry Regulatory Organization of Canada – Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – IIROC Rule Notice 13-0058 – Proposed Requirements for Debt Securities Transaction – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 13-0041 – Request for Comment – Amendments to IFRS Version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Commission Approval – IIROC Housekeeping Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comment – IIROC Rules Notice 12-0385 – Dealer Member Rules – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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OSC Staff Notice of Approval – IIROC Rules Notice 12-0363 – UMIR – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC)
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Overview of the Public Comments on Application for Recognition and the MFDA Response – Mutual Fund Dealers Association of Canada (MFDA)
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Application and Request for Comments – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA By-law No. 1, Section 1 (Definitions) and Section 22 (Investigatory Powers) – Mutual Fund Dealers Association of Canada (MFDA)
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Extension of Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
