Request for Comment – The Proposed IIROC Dealer Member Plain Language Rule Book – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval - IDA Proposed Housekeeping Amendments to Regulations 100.2(d) and 100.13
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IIROC Notice 17-0088 – Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Withdrawal – Proposed Amendments Relating to Personal Financial Dealings with Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0079 – Notice of Withdrawal – Proposed Amendments Relating to Personal Financial Dealings with Clients – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Amendments to Dealer Member Rule 1200 and to Form 1 Relating to the Client Free Credit Cash Usage Limit and Client Free Credit Segregation Requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 17-0068 – Amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval – Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Notice 16-0262 – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval - Housekeeping Amendments to IDA Regulations 100.2(d) and 100.13
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Notice of Approval - Application to Vary and Restate the Exemption Order of Natural Gas Exchange Inc.
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OSC Notice and Request for Comment - Application to Amend Exemption Order - Natural Gas Exchange Inc.
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Notice of Commission Approval – Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests – Investment Industry Regulatory Organization of Canada (IIROC)
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Appendix 1 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC)
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Appendix 2 – Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Commission Approval: Surrender of Investment Dealers Association of Canada (IDA) and Market Regulation Services (RS) Recognition Orders
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Amended and Restated Recognition Order of IDA
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IDA By-law No. 18.8 – Definition of “Non-Retail Clients” – Withdrawal of Proposed Rule Amendment
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IDA Regulation 200.1(c) – Requirement to Send Quarterly Statements to Clients – Withdrawal of Proposed Rule Amendment
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Extension of Comment Period for Proposed IDA Rules to Implement the Core Principles of the Client Relationship Model
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