le 14 novembre 2013 Market Regulation Document Type IIROC rule review IIROC Notice 13-0275 – Rules Notice – Request for Comments – Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 6 décembre 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – Dealer Member Rules 800.49 and 200.1(h) – Trade Confirmation and Matching Requirements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 octobre 2012 Market Regulation Document Type IIROC rule review IIROC Notice 12-0315 – Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 janvier 2014 Market Regulation Document Type IIROC rule review IIROC Notice 14-0004 – Proposed Requirements for Debt Securities Transaction Reporting – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 avril 2018 Market Regulation Document Type MFDA recognition and other orders Notice of Commission Approval – Variation and Restatement of Recognition Order – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 12 décembre 2013 Market Regulation Document Type IIROC rule review OSC Staff Notice of Request for Comment – Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 décembre 2013 Market Regulation Document Type IIROC rule review IIROC Notice 13-0300 – Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 novembre 2014 Market Regulation Document Type MFDA recognition and other orders Notice of Commission Approval – Variation and Restatement of Recognition Order – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 décembre 2008 Market Regulation Document Type MFDA recognition and other orders Joint Notice of Approval of Certain Recognizing Regulators of the Mutual Fund Dealers Association of Canada Application to Amend Recognition Order – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type MFDA recognition and other orders Summary of Public Comments and Responses Respecting Proposed Amendments to MFDA Recognition Order and MFDA By-law No. 1 (Definition of "Public Director") – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 novembre 2008 Market Regulation Document Type MFDA recognition and other orders Notice of Commission Approval – Amendments to MFDA Recognition Order and to MFDA By-law No. 1 Regarding the Definition of "Public Director" – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 4 janvier 2018 Market Regulation Document Type MFDA rule review Notice – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 octobre 2017 Market Regulation Document Type MFDA rule review Notice of Withdrawal – Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 19 octobre 2017 Market Regulation Document Type MFDA rule review Notice – Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 16 avril 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0085 – Requirement to Pay IIROC Membership Fees – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 février 2015 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 – Proposed 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 26 février 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0053 – Margin requirements for certain cash and security borrowing and lending arrangements – Proposed 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 12 février 2015 Market Regulation Document Type IIROC rule review Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 12 février 2015 Market Regulation Document Type IIROC rule review IIROC Notice 15-0045 – Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 29 janvier 2015 Market Regulation Document Type IIROC rule review Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
