le 12 juin 2014 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 25 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – Client Relationship Model – Phase 2 – 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 20 avril 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice – Proposed Amendments to Universal Market Integrity Rules (UMIR) – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review IIROC Notice 12-0130 – Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 mars 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Rules Notice 12-0078 – UMIR – Provisions Respecting Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 février 2012 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 17 février 2012 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 10 février 2012 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Proposal for an Integrated Fee Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 avril 2012 Market Regulation Document Type IIROC rule review Request for Comments – Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 30 mars 2012 Market Regulation Document Type IIROC rule review Notice and Request for Comment – IIROC Rules Notice – Plain Language Rule Re-write Project – Clean Up Amendment – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juin 2015 Market Regulation Document Type MFDA rule review OSC Staff Notice of Request for Comment – Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 26 août 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 19 mars 2015 Market Regulation Document Type MFDA rule review Corporate Resolution – Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 18 décembre 2014 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2015 and July 15, 2016 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 juin 2012 Market Regulation Document Type IIROC rule review Request for Comment – IIROC Rules Notice 12-0200 – Universal Market Integrity Rules (UMIR) – Provisions Respecting Electronic Trading – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 18 juillet 2013 Market Regulation Document Type MFDA rule review OSC Staff Notice of Commission Approval – MFDA Investor Protection Corporation (“MFDA IPC”) – Amendments to Agreement between MFDA IPC and the Mutual Fund Dealers Association of Canada (“MFDA”) (“The Services Agreement”) Marchés, OAR et agences de compensation
le 29 mai 2014 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014 – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 15 avril 2011 Market Regulation Document Type Alpha Exchange Inc. recognition orders Notice and Request for Comment - Application for Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange Marchés, OAR et agences de compensation
le 15 avril 2011 Market Regulation Document Type Alpha Exchange Inc. recognition orders Notice - Application for Recognition of Alpha Trading Systems Limited Partnership and Alpha Exchange Inc. as an Exchange Marchés, OAR et agences de compensation
le 4 juillet 2019 Market Regulation Document Type Alpha Exchange Inc. rule review and notices Notice of Housekeeping Rule Amendment - Housekeeping Amendment to the Rules of Alpha Exchange Inc. Marchés, OAR et agences de compensation
