Proposed Amendments to MFDA Rule 1.2.1(d) (Salespersons – Dual Occupations) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision – Mutual Fund Dealers Association of Canada (MFDA)
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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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Proposed Amendments to MFDA By-law No. 1, s. 25.4 (Other Instruments) – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement) – Mutual Fund Dealers Association of Canada (MFDA)
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Joint Notice and Request for Comment – Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1 – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to Policy 6 Distributions – Amendments to Section 11 of MFDA By-law No. 1 (Member Approval Process) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Housekeeping Amendments to MFDA Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Report and Housekeeping Amendments to Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA)
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Summary of Public Comments – Proposed Amendments to Section 19.9 of MFDA By-law No. 1 (Hearing Panels) and Response of the MFDA – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to Section 19.9 of MFDA By-law No. 1 – Hearing Panels – Mutual Fund Dealers Association of Canada (MFDA)
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Proposed Amendments to Policy 3 (Handling Client Complaints) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC)
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Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC)
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Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Amendments to Complaint Handling Requirements – Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500 – Investment Industry Regulatory Organization of Canada (IIROC)
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Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps – Investment Industry Regulatory Organization of Canada (IIROC)
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Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers – Investment Industry Regulatory Organization of Canada (IIROC)
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