Notice of Commission Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval – Universal Market Integrity Rules (UMIR) Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review Membership & Registration 2010 – Investment Industry Regulatory Organization of Canada (IIROC)
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Oversight Review 2009 – Investment Industry Regulatory Organization of Canada (IIROC)
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MFDA Rule 2.2 (Client Accounts) – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Policy No. 2 – Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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MFDA Rule 5.3 (Client Reporting) – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
Marchés, OAR et agences de compensation
Summary of Public Comments – Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA)
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IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments – Investment Industry Regulatory Organization of Canada (IIROC)
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Summary of Public Comments – Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses – Mutual Fund Dealers Association of Canada (MFDA)
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Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice – Request for Comments – Trading in Securities of U.S. OTC Issuers – Proposed Amendments to Dealer Member Rule 1300.1 – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC)
Marchés, OAR et agences de compensation
