le 21 août 2009 Market Regulation Document Type MFDA rule review Notice and Request for Comment – Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 31 juillet 2009 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rules of Procedure – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 juin 2009 Market Regulation Document Type MFDA rule review Proposed Amendments to Section 35 (No actions against the Corporation) of MFDA By-Law No. 1 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 juin 2009 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 mai 2009 Market Regulation Document Type MFDA rule review 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 Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 8 mai 2009 Market Regulation Document Type MFDA rule review Second Publication for Comment of Proposed Amendments to Implement Core Principles of the Client Relationship Model – Correction – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 24 avril 2009 Market Regulation Document Type MFDA rule review Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 juin 2009 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
le 22 mai 2009 Market Regulation Document Type IIROC rule review 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) Marchés, OAR et agences de compensation
le 22 mai 2009 Market Regulation Document Type IIROC rule review 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
le 22 mai 2009 Market Regulation Document Type IIROC rule review 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
le 1 mai 2009 Market Regulation Document Type IIROC rule review 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
le 24 avril 2009 Market Regulation Document Type IIROC rule review Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2009 Market Regulation Document Type IIROC rule review Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2009 Market Regulation Document Type IIROC rule review Request for Comments – Revisions to the Definition of “Securities Related Activities” – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 avril 2018 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 4 juillet 2017 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 3 mars 2016 Market Regulation Document Type IIROC oversight review Oversight Review Report of the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 29 octobre 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
