le 29 mai 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0133 – Rules Notice – Notice of Approval/Implementation – Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2016 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendment to “Short Marking Exempt Order” Definitions – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2016 Market Regulation Document Type IIROC rule review IIROC Notice 16-0028 – Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 décembre 2015 Market Regulation Document Type IIROC rule review Request for Comment – Proposed Provisions Respecting Best Execution – 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 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
le 30 juillet 2015 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Amendments to Universal Market Integrity Rule 6.6 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review Notice of Request for Comments – Proposed Amendments to Rule 100.10(k) – Optional Use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0157 – Proposed amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review Proposed Amendment to Universal Market Integrity Rules Respecting the Definition of “Short-Marking Exempt Order” – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0155 – Proposed Updated Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 16 juillet 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0156 – Proposed Amendment to the Short-marking Exempt Order Definition – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
