Notice of Proposed Rule Amendments and Request for Comments - Alpha Exchange Inc.
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Alpha ATS LP: Notice of Proposed Changes
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Trading Notice - Proposed Public Interest Rule Amendments to NEO’s Trading Policies Adding Anonymous Broker Preferencing in NEO-D - Neo Exchange Inc.
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Notice of Commission Decision – Application for Exemptive Relief – EquiLend LLC.
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Request for Comment – Proposed Rule Amendments Respecting Fully Paid Securities Lending and Financing Arrangements – Canadian Investment Regulatory Organization (CIRO)
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Notice of Commission Approval - Proposed Amendments to the Default Manual of the CDCC Regarding the Auction Tool Used to Organize a Default Auction During a Default Management Period - Canadian Derivatives Clearing Corporation (CDCC)
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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)
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IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project – Investment Industry Regulatory Organization of Canada (IIROC)
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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)
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Request for Comments – Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Revisions to the Definition of “Securities Related Activities” – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records) – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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Amendments to Implement the CSA Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC)
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Extension of Request for Comment – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation – Mutual Fund Dealers Association of Canada (MFDA)
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