Notice of Commission Approval – Amendments Respecting Third-Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Amendments Respecting Third Party Electronic Access to Marketplaces – Investment Industry Regulatory Organization of Canada (IIROC)
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IIROC Rules Notice 13-0174 – Request for Comment – Proposed Plain Language Rule Sections 2210 and 2211 – Suspension and Termination of a Dealer Member – Investment Industry Regulatory Organization of Canada (IIROC)
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Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendments to MFDA By-Law No. 1 Sections 3.3 (Election and Term), 3.6.1 (Governance Committee) and 4.7 (Quorum) – Mutual Fund Dealers Association of Canada (MFDA)
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Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons) – Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Commission Approval – Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) – Mutual Fund Dealers Association of Canada (MFDA)
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Joint Notice and Request for Comment of Certain Recognizing Regulators of the MFDA – Application to Amend Recognition Orders – Mutual Fund Dealers Association of Canada (MFDA)
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Joint Notice and Request for Comment – MFDA 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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Notice of Commission Order – Application to Amend the Recognition Order of the Mutual Fund Dealers Association of Canada (MFDA)
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Notice of Approval – Amendment and Restatement of Recognition Order and Summary of Public Comments – Mutual Fund Dealers Association of Canada (MFDA)
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Application for Amendment and Restatement of Terms and Conditions or Order Recognizing Self-regulatory Organization – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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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)
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Recognition Order
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Overview of the Public Comments on Application for Recognition and the MFDA Response – Mutual Fund Dealers Association of Canada (MFDA)
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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)
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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)
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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)
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IIROC Notice 14-0077 – Rules Notice – Request for Comments – Proposed Amendments to the Definition of Basis Order – Investment Industry Regulatory Organization of Canada (IIROC)
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