| December 10, 2015 |
Request for Comment - Proposed Provisions Respecting Best Execution |
| December 10, 2015 |
IIROC Notice 15-0277: Proposed Provisions Respecting Best Execution |
| November 26, 2015 |
OSC Staff Notice of Withdrawal: IIROC - Amendments to Dealer Member Rule 100.2(a)(ii) - Margin requirements for debt security obligations of supranational entities |
| November 26, 2015 |
IIROC Notice: 15-0262 - Withdrawal of proposed amendments to Dealer Member Rule 100.2(a)(ii) relating to the margin requirements for debt security obligations of supranational entities |
| November 26, 2015 |
Notice of Withdrawal: IIROC – Proposed Amendments Relating to the Cross-Guarantee Requirement |
| November 26, 2015 |
IIROC Notice 15-0261: Withdrawal of proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement |
| November 5, 2015 |
OSC Staff Notice of Request for Comment – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member |
| November 5, 2015 |
IIROC Notice 15-0248: Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member |
| November 5, 2015 |
OSC Staff Notice of Approval – Amendments Relating to Rule 100.10K – Optional Use of TIMS or SPAN |
| November 5, 2015 |
IIROC Notice 15-0249: Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN |
| October 29, 2015 |
OSC Staff Notice of Commission Approval - Proposed Amendments to Dealer Member Rule 1400 relating to the Disclosure to Clients of Dealer Members’ Financial Position |
| October 29, 2015 |
Notice of Commission Approval - Debt Market Regulation Fee Model |
| October 29, 2015 |
IIROC Notice 15-0243: Approval of Debt Market Regulation Fee |
| October 1, 2015 |
OSC Staff Notice of Commission Approval - Amendments to the Universal Market Integrity Rules (UMIR) Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1 |
| September 24, 2015 |
Notice of Commission Approval - Amendments to Research Report Quiet Periods - Immediate Implementation of Amendments to Rule 3400, Requirement 14 |
| September 24, 2015 |
IIROC Notice 15-0217: Request for Comments - Research Report Quiet Periods |
| September 24, 2015 |
IIROC Notice 15-0216: Amendments to Research Report Quiet Periods |
| September 18, 2015 |
IIROC - Notice of Commission Approval - Amendments to the Universal Market Integrity Rules Respecting Unprotected Transparent Marketplaces and the Order Protection Rule and Exemption under UMIR 11.1
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| September 17, 2015 |
OSC Staff Notice 31-715, IIROC Notice Number 15-0210 and MFDA Bulletin Number 0658-C – Mystery Shopping for Investment Advice: Insights into advisory practices and the investor experience in Ontario |
| September 3, 2015 |
IIROC – Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread – Notice of Commission Approval |
| September 3, 2015 |
IIROC – Proposed Amendments to Dealer Member Rules 8.7 and Corollary Amendments to Dealer Member Rule 8.3A Relating to the Requirement to Pay IIROC Membership Fees – Notice of Commission Approval |
| September 3, 2015 |
IIROC Notice 15-0196: Requirement to Pay IIROC Membership Fees |
| August 27, 2015 |
IIROC - Margin Requirements for Certain Cash and Security Borrowing and Lending Arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 |
| August 27, 2015 |
IIROC Notice 15-005 : Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 |
| July 30, 2015 |
IIROC – Amendments to Universal Market Integrity Rule 6.6 – Notice of Commission Approval |
| July 16, 2015 |
IIROC – Notice of Request for Comments – Proposed Amendments to Rule 100.10(k) – Optional Use of TIMS or SPAN |
| July 16, 2015 |
IIROC Notice 15-0157: Proposed amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN
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| July 16, 2015 |
IIROC – Proposed Amendment to Universal Market Integrity Rules Respecting the Definition of Short-Marking Exempt Order
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| July 16, 2015 |
IIROC Notice 15-0155: Proposed Updated Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations
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| July 16, 2015 |
IIROC Notice 15-0156: Proposed Amendment to the Short-marking Exempt Order Definition
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| June 18, 2015 |
Notice - IIROC - Proposed Amendments to UMIR Respecting Unprotected Transparent Marketplaces and the Order Protection Rule |
| June 16, 2015 |
IIROC – Proposed Amendments to UMIR Respecting Unprotected Transparent Marketplaces and the Order Protection Rule |
| June 12, 2015 |
IIROC Notice 15-0129 - Request for Comments - Proposed Amendments Respecting Unprotected Transparent Marketplaces and the Order Protection Rule |
| June 11, 2015 |
OSC Staff Notice of Commission Approval - Client Relationship Model – Phase 2 Housekeeping Changes to Dealer Member Rule 200 and Changes to Effective Dates for Amendments to Dealer Member Rule 200 and to Dealer Member Form 1 Relating to the Implementation of CRM2 |
| June 11, 2015 |
IIROC Notice 15-0128: Client Relationship Model - Phase 2 - Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2 |
| April 30, 2015 |
IIROC – Amendment to Universal Market Integrity Rule 1.1 – Notice of Commission Approval |
| April 16, 2015 |
IIROC - OSC Staff Notice of Request for Comment - Proposed amendments to Dealer Member Rules 8.7 and corollary amendments to Dealer Member Rule 8.3A relating to the Requirement to Pay IIROC Membership Fees |
| April 16, 2015 |
IIROC Notice 15-0085: Requirement to Pay IIROC Membership Fees |
| February 26, 2015 |
OSC Staff Notice of Request for Comment: IIROC - Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 |
| February 26, 2015 |
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 |
| February 12, 2015 |
IIROC – Proposed Amendments Respecting Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order |
| February 12, 2015 |
IIROC Notice 15-0045: Dark Order Price Improvement Obligations When Trading Against an Odd-Lot Order |
| January 29, 2015 |
IIROC - Notice of Re-Publication of Proposed Dark Rules Anti-Avoidance Provision |
| January 29, 2015 |
IIROC Notice 15-0023: Re-Publication of Proposed Dark Rules Anti-Avoidance Provision |
| January 22, 2015 |
IIROC Notice - Amendments to IIROC Rules to Harmonize with Client Relationship Model Phase 2 Provisions Effective July 15, 2015 and July 15, 2016 |
| January 22, 2015 |
IIROC Notice 15-0013: Client Relationship Model - Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1 |
