le 12 décembre 2003 Market Regulation Document Type MFDA recognition and other orders Notice of Request for Comment – Application for Amendment and Restatement of Its Recognition Order and Application for Consent to Enter into a Co-Operative Agreement in Québec – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 6 février 2001 Market Regulation Document Type MFDA recognition and other orders Recognition Order Marchés, OAR et agences de compensation
le 15 décembre 2000 Market Regulation Document Type MFDA recognition and other orders Overview of the Public Comments on Application for Recognition and the MFDA Response – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 24 avril 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 24 avril 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0101 – Rules Notice – Request for Comments – Re-Publication of Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 mars 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Amendments to Universal Market Integrity Rule 1.1 – Definition of Basis Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 mars 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0077 – Rules Notice – Request for Comments – Proposed Amendments to the Definition of Basis Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mars 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Margin requirements for certain cash and security borrowing and lending arrangements – Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 mars 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0066 – Rules Notice – Request for Comments – Margin requirements for certain cash and security borrowing and lending arrangements – Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Withdrawal – Amendments Respecting Trading in US OTC Issuers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0049 – Rules Notice – Notice of Withdrawal – Proposed Amendments to Dealer Member Rule 1300.1 relating to Trading in Securities of U.S. OTC Issuers – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Withdrawal – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0048 – Rules Notice – Notice of Withdrawal – Proposed Financial Planning Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Withdrawal – Revisions to the Definition of Securities Related Activities – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2014 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Proposed Plain Language Rule 9600 – Compliance Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 juin 2013 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Dealer Member Rule 43 Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 Registered Representatives and Investment Representatives – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 février 2013 Market Regulation Document Type IIROC rule review Request for Comments – IIROC Rule Notice 13-0058 – Proposed Requirements for Debt Securities Transaction – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 février 2013 Market Regulation Document Type IIROC rule review IIROC Rules Notice 13-0041 – Request for Comment – Amendments to IFRS Version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 janvier 2013 Market Regulation Document Type IIROC rule review OSC Staff Notice of Commission Approval – IIROC Housekeeping Amendments to IFRS version of Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 20 décembre 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 12-0385 – Dealer Member Rules – Disclosure Requirements for Research Reports – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
