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Investment Industry Regulatory Organization of Canada (IIROC) - Rule Review

 

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2019

November 21, 2019 Request for Comment - Notice of Proposed Derivatives Rule Modernization, Stage 1
November 21, 2019 IIROC Notice 19-0200 - Proposed Derivatives Rule Modernization, Stage 1
November 14, 2019 Notice of Commission Approval -  Amendments Respecting Mandatory Reporting of Cybersecurity Incidents
November 14, 2019 IIROC Notice 19-0194 - Amendments Respecting Mandatory Reporting of Cybersecurity Incidents
October 17, 2019 Request for Comment - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC
October 17, 2019 IIROC Notice 19-0181 - Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC
October 17, 2019 Notice of Commission Deemed Approval - Housekeeping Amendments to Form 1 for use in, and consistency with, the Plain Language Dealer Member Rules Rule Book
October 17, 2019 IIROC Notice 19-0180 - Housekeeping amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book
October 17, 2019 Notice of Commission Approval - Amendments Respecting Client Identifiers for Reportable Debt Transactions
October 17, 2019 IIROC Notice 19-0179 - Amendments Respecting Client Identifiers for Reportable Debt Transactions
October 17, 2019 IIROC Notice 19-0118 - Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions
September 5, 2019 IIROC Notice 19-0157 - Proposed Amendments Respecting Non-Clients
August 29, 2019 Request for Comment - Proposed Amendments re Free Credit Cash Segregated in Trust for Clients
August 29, 2019 IIROC Notice 19-0155 - Proposed Amendments re Free Credit Cash Segregated in Trust for Clients
August 29, 2019 Request for Comment - Republication of Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations
August 29, 2019 IIROC Notice 19-0154  - Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations
August 22, 2019 Notice of Commission Approval - Dealer Member Plain Language Rule Book
August 22, 2019 IIROC Notice 19-0144 - Dealer Member Plain Language Rule Book
August 22, 2019 Notice of Commission Approval - Amendments to Client Identification and Verification Requirements
August 22, 2019 IIROC Notice 19-0145 - Amendments to Client Identification and Verification Requirements
August 22, 2019 Notice of Commission Approval - Amendments to Form 1 for use in, and Consistency with, the Dealer Member Plain Language Rule Book
August 22, 2019 IIROC Notice 19-0146 - Amendments to Form 1 for use in, and Consistency with, the Dealer Member Plain Language Rule Book
August 22, 2019 Notice of Commission - Amendments to Forms and Guidance Respecting Investment in a Dealer Member
August 22, 2019 IIROC Notice 19-0147 - Amendments to Forms and Guidance Respecting Investment in a Dealer Member
August 8, 2019 Notice of Commission Approval - Amendments Respecting Provision of Price Improvement by a Dark Order
August 8, 2019 IIROC Notice 19-0134 - Amendments Respecting Provision of Price Improvement by a Dark Order
June 11, 2019 Notice of Commission Approval - Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits
June 11, 2019 IIROC Notice 19-0060 - Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits
June 11, 2019 Request for Comment – Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions
June 11, 2019 IIROC Notice 19-0118 - Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions
June 11, 2019 Request for Comment – Proposed Amendments to Continuing Education Requirements
June 11, 2019 IIROC Notice 18-0019 - Proposed Amendments to Continuing Education Requirements
June 11, 2019 IIROC Notice 19-0117 - Proposed Amendments to Continuing Education Requirements
June 6, 2019 Notice of Commission Approval - Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers - Investment Industry Regulatory Organization of Canada (IIROC)
June 6, 2019 IIROC Notice 19-0101 - Amendments to Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers
April 25, 2019 Request for Comment - Minor Contravention Program and Early Resolution Offers
April 25, 2019 IIROC Notice 19-0076 - Minor Contravention Program and Early Resolution Offers
April 18, 2019 Notice of Commission Approval - Amendments Respecting Client Identifiers
April 18, 2019 IIROC Notice 19-0071 - Amendments Respecting Client Identifiers
April 4, 2019 Request for Comment - Proposed Amendments to IIROC By-Law No. 1, s. 5.3(2) (Director Term Limits) - IIROC
April 4, 2019 IIROC Notice 19-0060 - Proposed Amendment to IIROC By-law No. 1 Regarding Director Term Limits
March 28, 2019 Notice of Commission Approval - Amendments to Transaction Reporting for Debt Securities
March 28, 2019 IIROC Notice 18-0052 - Proposed Amendments to Transaction Reporting for Debt Securities
March 28, 2019 IIROC Notice 19-0052 - Amendments to Transaction Reporting for Debt Securities
March 5, 2019 Notice of Commission Deemed Approval - Housekeeping Amendment to Schedule 7A of Form 1
March 5, 2019 IIROC Notice 19-0035 - Housekeeping Amendment to Schedule 7A of Form 1
March 5, 2019 Notice of Commission Deemed Approval - Housekeeping Amendments to Form 1 to Adopt IFRS for Leases - lIIROC
March 5, 2019 IIROC Notice 19-0036 - Housekeeping amendments to Form 1 to adopt IFRS reporting requirements for leases
February 21, 2019 Request for Comment - Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements
February 21, 2019 IIROC Notice 19-0027 - Proposed Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements

2018

December 13, 2018 Request for Comment - Proposed Amendments Respecting the Provision of Price Improvement by a Dark Order - IIROC
December 13, 2018 IIROC Notice 18-0231 - Proposed Amendments Respecting Provision of Price Improvement by a Dark Order
December 13, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to Sample Auditor’s Reports in Form 1 - IIROC
December 13, 2018 IIROC Notice 18-0230 - Housekeeping amendments to Form 1 to adopt new auditor reporting standards for the audits of regulatory financial statements
September 13, 2018 Notice of Withdrawal - Proposed Amendments to Dealer Member Rules to Permit Partial Swap Strategies
September 13, 2018 IIROC Notice 18-0177 - Withdrawal of proposed amendments to Dealer Member Rules to permit partial swap offset strategies
August 9, 2018 Notice of Commission Approval - Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities
August 9, 2018 IIROC Notice 18-0154 - Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities
August 9, 2018 Request for Comment - Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations
August 9, 2018 IIROC Notice 18-0153 - Proposed Amendments to Dealer Member Rules and Form 1 Regarding the Securities Concentration Test and Designated Rating Organizations
July 26, 2018 Request for Comment - Proposed Amendments Respecting Order Execution Only Service Eligibility and Adviser Identifiers.
July 26, 2018 IIROC Notice 18-0141 - Proposed Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers
June 28, 2018 Request for Comment - Proposed Amendments Respecting Client Identifiers
June 28, 2018 IIROC Notice 18-0122 - Proposed Amendments Respecting Client Identifiers
June 21, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to UMIR Policy 7.1.
June 21, 2018 IIROC Notice 18-0118 - Housekeeping amendments to the provisions respecting Trading Supervision Obligations
April 12, 2018 Request for Comment - Republication of Proposed Amendments to Client Identification and Verification Requirements
April 12, 2018 IIROC Notice 18-0079 - Republication of Proposed Amendments to Client Identification and Verification Requirements
April 5, 2018 Request for Comment - Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents
April 5, 2018 IIROC Notice 18-0070 - Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents
March 28, 2018 Notice of Commission Approval - IIROC Notice 17-024 - Amendments to the Minimum Dealer Regulation Fee Component
March 8, 2018 Request for Comment - Proposed Amendments to Transaction Reporting for Debt Securities
February 15, 2018 Request for Comment - Proposed Amendments to Form 1 for Use in, and Consistency, with the Plain Language Dealer Member Rules Rule Book
February 15, 2018 IIROC Notice 18-0043 - Proposed Amendments to Form 1 for use in, and consistency, with the Plain Language
January 25, 2018 Request for Comment - Proposed Amendments to IIROC Continuing Education Rules
January 25, 2018 IIROC Notice 18-0019 - Continuing Education Rules - proposed amendments
January 18, 2018 Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book
January 18, 2018 IIROC Notice 18-0014 - Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book

2017

December 21, 2017 IIROC – Proposed Amendments to the Minimum Dealer Regulation Fee Component of the Dealer Member Fee Model - Request for Comment
December 5, 2017 IIROC Notice 17-0228 - CSA and IIROC Joint Staff Notice 23-319 Internalization in the Canadian Market
November 30, 2017 Notice of Commission Approval - Continuing Education Requirements for Approved Persons
November 30, 2017 IIROC Notice 17-0223 - Notice of Commission Approval - Continuing Education Requirements for Approved Persons
November 30, 2017 Notice of Commission Deemed Approval - Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules
November 30, 2017 IIROC Notice 17-0224 - Notice of Commission Deemed Approval - Housekeeping Amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules
September 28, 2017 Notice of Commission Approval - Amendments Respecting Trading Supervision Obligations
September 28, 2017 Notice of Commission Approval - Amendments to Dealer Member Rule 200.2(l)(x)(B) on Trade-Confirmation Suppression Requirements
September 28, 2017 IIROC Notice 17-0188 - Notice of Approval - Amendments to trade-confirmation suppression requirements
July 27, 2017 Notice of Withdrawal - Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades
July 27, 2017 IIROC Notice 17-0159 - Notice of Withdrawal - Proposed Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades
July 13, 2017 Notice of Withdrawal - Proposed Amendments Relating to the New Methodology for Margining Equity Securities
July 13, 2017 IIROC Notice 17-0144 - Notice of Withdrawal - Proposed Amendments Relating to the New Methodology for Margining Equity Securities
July 13, 2017 Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits
July 13, 2017 IIROC Notice 17-0143 - Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits
July 13, 2017 Notice of Withdrawal - Proposed Amendments to Simplify the Equity Margin Project
July 13, 2017 IIROC Notice 17-0145 - Proposed Amendments to Simplify the Equity Margin Project
July 13, 2017 Notice of Withdrawal - Proposed Dark Rules Anti-Avoidance Provision
July 13, 2017 IIROC Notice 17-0146 - Notice of Withdrawal - Proposed Dark Rules Anti-Avoidance Provision
July 6, 2017 Notice of Commission Approval - Amendments Respecting Best Execution
July 6, 2017 IIROC Notice 17-0137- Amendments Respecting Best Execution
July 6, 2017 Request for Comment - Proposed Amendments Relating to Client Identification and Verification Requirements
July 6, 2017 IIROC Notice 17-0139 - Proposed Amendments to Client Identification and Verification Requirements
June 29, 2017 Notice of Commission Approval - Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement
June 29, 2017 IIROC Notice 17-0133 - Notice of Commission Approval - IIROC - Rule Amendments to Facilitate the Investment Industry’s Move to T+2 Settlement
May 25, 2017 Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities
May 25, 2017 IIROC Notice 17-0111 - Re-Publication of Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities
May 18, 2017 Request for Comment - Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime
May 18, 2017 IIROC Notice 17-0110 - Request for Comment - Amendments to Dealer Member Rules and Form 1 Relating to the Futures Market Segregation and Portability Customer-Protection Regime
May 4, 2017 OSC Staff Notice of Commission - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1
May 4, 2017 IIROC Notice 17-0102 - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1
May 4, 2017 Appendix A - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1
May 4, 2017 Appendix B - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1
May 4, 2017 Appendix C - Housekeeping Amendments to Remove Statement G of the Form 1 and Corollary Amendments to the Form 1
April 20, 2017 Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression
April 20, 2017 IIROC Notice 17-0088 - Proposed Amendments to Dealer Member Rule 200.2(L)(X)(B) on Trade-Confirmation Suppression
April 6, 2017 Notice of Withdrawal - IIROC - Proposed Amendments Relating to Personal Financial Dealings with Clients
April 6, 2017 IIROC Notice 17-0079: Notice of Withdrawal - Proposed Amendments Relating to Personal Financial Dealings with Clients
March 30, 2017 Notice of Commission Approval - Amendments to Dealer Member Rule 1200 and to Form 1 Relating to the Client Free Credit Cash Usage Limit and Client Free Credit Segregation Requirements
March 30, 2017 IIROC Notice 17-0068: Amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements
March 30, 2017 Notice of Commission Approval - Non-Material Amendments to Schedule 12 of Form 1 and its Notes and Instructions Relating to Margin on Futures Concentrations and Deposits
March 30, 2017 IIROC Notice 17-0069: Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions
March 9, 2017 Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book
March 9, 2017 IIROC Notice 17-0054: Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book
March 9, 2017 Request for Comment - Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member
March 9, 2017 IIROC Notice 17-0055: Request for Comment - Proposed Changes to Forms and Guidance Relating to Investment in a Dealer Member
February 16, 2017 Notice of Commission Approval - Universal Market Integrity Rules - Amendments Respecting Designations and Identifiers
February 16, 2017 IIROC Notice 17-0039: Amendments Respecting Designations and Identifiers


2016

December 8, 2016 Notice of Request for Comment - IIROC - Proposed Provisions Respecting Trading Supervision Obligations
December 8, 2016 IIROC Notice 16-0287: Proposed Amendments Respecting Trading Supervision
December 8, 2016 IIROC Notice 16-0288: Proposed Guidance on Trading Supervision Obligations
December 1, 2016 Request for Comment - Proposed Fee Model for the Information Processor for Corporate Debt Securities
December 1, 2016 IIROC Notice 16-0277: New Debt Information Processor Fee Model
November 10, 2016

Notice of Commission Approval - IIROC - Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests
November 10, 2016 IIROC Notice 16-0262: Amendments Respecting Audit Requirement to Send Second Positive Confirmation Requests
October 13, 2016

Request for Comment - Re-publication of Proposed Provisions Respecting Best Execution
October 13, 2016

IIROC Notice 16-0233: Re-Publication of Proposed Provisions Respecting Best Execution
September 29, 2016

Notice of Commission Approval - IIROC - Amendments Respecting Market Transparency in Trading of Domestic Debt Securities
July 28, 2016 Notice of Request for Comment - Proposed Material Amendments to UMIR, Dealer Member Rules and Form 1 to Facilitate the Investment Industry’s Move to T+2 Settlement
July 28, 2016 IIROC Notice 16-0177: Amendments to facilitate the investment industry's move to T+2 settlement
June 23, 2016 Notice of Request for Comments - Proposed Non-Material Amendments to Schedule 12 of Form 1 - Margin on Futures Concentrations and Deposits and its Notes and Instructions
June 23, 2016 IIROC Notice 16-0142: Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions
June 23, 2016 Notice of Request for Comments - Proposed Material Amendments to Schedule 12 of Form 1 - Margin on Futures Concentrations and Deposits and its Notes and Instructions
June 23, 2016 IIROC Notice 16-0141: Material amendments to the Notes and Instructions to Schedule 12 of Form 1
June 16, 2016 Notice of Commission Approval - Amendments Requiring Disclosure of Membership in IIROC
June 16, 2016 IIROC Notice 16-0133: Amendments Requiring Disclosure of Membership in IIROC
June 9, 2016 OSC Notice and Request for Comment - Proposed Universal Market Integrity Rules Amendments Respecting Designations and Identifiers
June 9, 2016 Notice of Commission Approval - Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
June 9, 2016 IIROC Notice 16-0122: Implementation of the consolidated IIROC Enforcement, Examination and Approval Rules
June 9, 2016 Appendix 1 - Consolidated Rules and UMIR, Dealer Member Rule, Rule of Practice and Procedure, Transition Rule and General By-law Equivalents
June 9, 2016 Appendix 2 - Consolidated Rules and UMIR, Dealer Member Rule,Rule of Practice and Procedure, Transition Rule and General By-law Equivalents
June 9, 2016 Appendix 3 To Rules Notice 16-0122 - Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1
June 9, 2016 Appendix 4 To Rules Notice 16-0122 - Consequential amendments to the Dealer Member Rules, UMIR, and Transition Rule No. 1
June 9, 2016 Appendix 5 To Rules Notice 16-0122
June 2, 2016 Request for Comment – Proposed Amendments to IIROC's Dealer Member Rules Respecting Market Transparency in Trading of Domestic Debt Securities
June 2, 2016 IIROC Notice 16-0117: Proposed Amendments Respecting Market Transparency in Trading of Domestic Debt Securities
June 2, 2016 Notice of Commission Approval - Amendments to Research Report Quiet Periods
June 2, 2016 IIROC Notice 15-0216: Amendments to Research Report Quiet Periods
June 2, 2016 IIROC Notice 15-0217: Request for Comments - Research Report Quiet Periods
April 28, 2016 IIROC – Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements – OSC Staff Notice of Request for Comment
April 28, 2016 IIROC Notice 16-0090: Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements
April 21, 2016 Request for comment - Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities
April 21, 2016 IIROC Notice 16-0082: Proposed Amendments Respecting the Reporting of Certain Trades on Acceptable Foreign Trade Reporting Facilities
March 10, 2016 Request for Comment - The Proposed IIROC Dealer Member Plain Language Rule Book
March 10, 2016 IIROC Notice 16-0052: Re-Publication of Proposed IIROC Dealer Member Plain Language Rule Book
February 25, 2016 Request for Comment - Proposed Amendments Respecting the Audit Requirement to Send Second Positive Confirmation Requests
February 25, 2016 IIROC Notice 16-0038: Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests
February 11, 2016 Notice of Commission Approval - Amendment to “Short Marking Exempt Order” Definitions
February 11, 2016 IIROC Notice 16-0028: Amendment to the Short-marking Exempt Order Definition

2015

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
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
July 16, 2015

IIROC – Proposed Amendment to Universal Market Integrity Rules Respecting the Definition of Short-Marking Exempt Order
July 16, 2015

IIROC Notice 15-0155: Proposed Updated Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations
July 16, 2015

IIROC Notice 15-0156: Proposed Amendment to the Short-marking Exempt Order Definition
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

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2014

December 18, 2014 OSC Staff Notice of Request for Comment - Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test
December 18, 2014 IIROC Notice 14-0298: Rules Notice - Request for Comment: Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration
November 13, 2014 Notice of Request for Comment: IIROC – Revised Proposed Amendments Relating to the Requirement to Disclose Membership in IIROC as a Dealer Member
November 13, 2014 Notice of Commission Approval: IIROC - Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2
November 13, 2014 IIROC Notice 14-0263: Rules Notice - Request for Comment: Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
November 06, 2014 Notice of Request for Comment: IIROC - Proposed Amendments Relating to the Cross-Guarantee
November 06, 2014 IIROC Notice 14-0257: Rules Notice - Request for Comment: 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
October 30, 2014 Notice of Commission Approval: Dealer Member Rule 2800C Transaction Reporting for Debt Securities
September 18, 2014 Notice of Request for Comments: Republication of Performance Reporting and Fee/Charge Disclosure Amendments to Dealer Member Rule 200 and to Form 1
September 18, 2014 IIROC Notice 14-0214: Client Relationship Model – Phase 2 Performance reporting and fee / charge disclosure amendments to Dealer Member Rule 200 and to Form 1 that are scheduled to become effective on either July 15, 2015 or July 15, 2016
July 10, 2014 Notice of Commission Approval: Proposed Continuance under Canada Not-for-Profit Corporations Act
June 26, 2014 OSC Staff Notice of Request for Comment: IIROC - Disclosure to Clients of Dealer Members’ Financial Position - Amendments to Dealer Member Rule 1400
June 26, 2014 IIROC Notice 14-0157: Rules Notice - Request for Comments: Disclosure to clients of Dealer Members’ financial position
June 12, 2014 OSC Staff Notice of Request for Comment - IIROC - Margin requirements for debt security obligations of supranational entities - Amendments to Dealer Member Rule 100.2(a)(ii)
June 12, 2014 IIROC Notice 14-0148: Rules Notice - Request for Comments: Margin requirements for debt security obligations of supranational entities
May 29, 2014 Notice of Commission Approval: Amendments to IIROC Dealer Member Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014
May 29, 2014 IIROC Notice 14-0133: Rules Notice - Notice of Approval/Implementation: Client Relationship Model - Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1
May 15, 2014 OSC Staff Notice of Request for Comment: Proposed Amendments to Universal Market Integrity Rules Regarding Order Protection
May 15, 2014 IIROC Notice 14-0124: Rules Notice - Request for Comments: Proposed Provisions Respecting the Order Protection Rule
April 24, 2014 OSC Staff Notice of Request for Comment: IIROC - Proposed Personal Financial Dealing Amendments
April 24, 2014 IIROC Notice 14-0103: Rules Notice - Request for Comments: Proposed Personal Financial Dealing amendments
April 24, 2014 OSC Staff Notice of Request for Comment: IIROC - Amendments to Dealer Member Rules 1, 2500, 2700, 3200 and Universal Market Integrity Rule 6.2
April 24, 2014 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
March 27, 2014 OSC Staff Notice of Request for Comment: Amendments to Universal Market Integrity Rule 1.1 - Definition of Basis Order
March 27, 2014 IIROC Notice 14-0077: Rules Notice - Request for Comments: Proposed Amendments to the Definition of Basis Order
March 13, 2014 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
March 13, 2014 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
February 20, 2014 OSC Staff Notice of Withdrawal: Amendments Respecting Trading in US OTC Issuers
February 20, 2014 IIROC Notice 14-0049: Rules Notice - Notice of Withdrawal: Withdrawal of Proposed Amendments to Dealer Member Rule 1300.1 relating to Trading in Securities of U.S. OTC Issuers
February 20, 2014 OSC Staff Notice of Withdrawal: Proposed Financial Planning Rule
February 20, 2014 IIROC Notice 14-0048: Rules Notice - Notice of Withdrawal: Withdrawal of Proposed Financial Planning Rule
February 20, 2014 OSC Staff Notice of Withdrawal: Revisions to the Definition of Securities Related Activities
February 20, 2014 IIROC Notice 14-0047: Rules Notice - Notice of Withdrawal: Withdrawal of Revisions to the Definition of Securities Related Activities
February 20, 2014 OSC Staff Notice of Request for Comment: Proposed Plain Language Rule 9600- Compliance Fees
February 20, 2014 IIROC Notice 14-0046: Rules Notice - Request for Comment: Proposed Plain Language Rule 9600- Compliance Fees
January 16, 2014 OSC Staff Notice of Request for Comment: The Investment Industry Regulatory Organization of Canada (IIROC) Proposed Requirements for Debt Securities Transaction Reporting
January 9, 2014 IIROC Notice 14-0004: Proposed Requirements for Debt Securities Transaction Reporting

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2013

December 12, 2013 OSC Staff Notice of Request for Comment: Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1
December 12, 2013 IIROC Notice 13-0300: Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1
November 14, 2013 OSC Staff Notice of Request for Comment: Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
November 14, 2013 IIROC Notice 13-0275: Rules Notice - Request for Comments: Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
October 31, 2013 OSC Staff Notice of Request for Comment: Proposed Continuance Under Canada Not-For-Profit Corporations Act
October 31, 2013 IIROC Notice 13-0261: Administrative Notice - Request for Comments: Proposed Continuance under Not-for-profit Corporations Act
October 24, 2013 OSC Staff Notice and Request for Comment: IIROC - Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
October 24, 2013 IIROC Notice 13-0255: Request for Comments: Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
August 29, 2013 IIROC - Notice of Commission Approval - Amendments Respecting Disclosure Requirements for Research Reports
August 29, 2013 IIROC Notice: Notice of Approval / Implementation - Disclosure Requirements for Research Reports
July 4, 2013 Notice of Commission Approval: IIROC - Amendments Respecting Third-Party Electronic Access to Marketplaces
July 4, 2013 IIROC Amendments Respecting Third Party Electronic Access to Marketplaces
June 27, 2013 Request for Comment: IIROC Rules Notice 13-0174 - Proposed Plain Language Rule Sections 2210 and 2211 - Suspension and Termination of a Dealer Member
June 27, 2013 Notice of Commission Approval: Investment Industry Regulatory Organization of Canada - Amendments to IFRS version of Form 1
June 13, 2013 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
March 7, 2013 Request for Comments: IIROC Rule Notice 13-0058 - Proposed Requirements for Debt Securities Transaction
February 7, 2013 Request for Comment: IIROC Rules Notice - Amendments to IFRS Version of Form 1
January 17, 2013 OSC Staff Notice of Commission Approval: IIROC Housekeeping Amendments to IFRS version of Form 1

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2012

December 20, 2012 Request for Comment: IIROC Rules Notice 12-0385 - Dealer Member Rules - Disclosure Requirements for Research Reports
December 13, 2012 OSC Staff Notice of Approval: Amendments to the Universal Market Integrity Rules Respecting Electronic Trading
December 13, 2012 OSC Staff Notice of Approval: IIROC Rules Notice 12-0363 - Notice of Approval - UMIR - Provisions Respecting Electronic Trading
December 7, 2012 IIROC Amendments to the Universal Market Integrity Rules Respecting Electronic Trading
December 7, 2012 Notice of Commission Approval: Amendments to the Universal Market Integrity Rules Respecting Electronic Trading
December 6, 2012 IIROC - Notice of Commission Approval: Dealer Member Rules 800.49 and 200.1(h) - Trade Confirmation and Matching Requirements
October 25, 2012 IIROC Notice 12-0315: Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces
October 25, 2012 Request for Comment: IIROC Rules Notice - Proposed Amendments Respecting Third-Party Electronic Access to Marketplaces
September 6, 2012 Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings
June 28, 2012 Request for Comment: IIROC Rules Notice - Universal Market Integrity Rules (UMIR) - Provisions Respecting Electronic Trading
April 20, 2012 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
April 13, 2012 IIROC Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity
April 13, 2012 OSC Staff Notice of Approval: Amendments to the Universal Market Integrity Rules Respecting Dark Liquidity
April 13, 2012 Guidance Note: IIROC Rules Notice - Know your Client and Suitability
April 13, 2012 Guidance Note: IIROC Rules Notice - Client Relationship Model
April 13, 2012 Notice of Approval: IIROC Rules Notice - Client Relationship Model - Implementation
April 13, 2012 Notice of Commission Approval: Amendments to IIROC's proposals to implement the core principles of the Client Relationship Model and related guidance notes
April 13, 2012 Request for Comments: Provisions Respecting the Execution and Reporting of Certain "Off-Marketplace" Trades
March 30, 2012 Notice - Request for Comment: IIROC Rules Notice - Plain Language Rule Re-write Project: Clean Up Amendment
March 30, 2012 Request for Comment: IIROC Rules Notice - Plain Language Rule Re-write Project: Clean Up Amendment
March 23, 2012 Request for Comments: Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
March 23, 2012 Notice - Request for Comment: Proposed Amendments to Dealer Member Rules and Universal Market Integrity Rules (UMIR) - Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules
March 2, 2012 Notice of Commission Approval: IIROC Rules Notice - UMIR - Provisions Respecting Short Sales and Failed Trades
February 17, 2012 Notice - Request for Comment: IIROC Rules Notice - Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies
February 17, 2012 Request for Comment: IIROC Rules Notice - Proposed Amendments to Dealer Member Rules to Permit Partial Swap Offset Strategies
February 10, 2012 Notice of Commission Approval: IIROC Proposal for an Integrated Fee Model
February 2, 2012 Notice of Commission Approval: Investment Industry Regulatory Organization of Canada (IIROC) Proposal for an Integrated Fee Model
February 2, 2012 Notice: Plain language rule re-write project - Dealer Member Margin Rules, Rules 5100 through 5800
February 2, 2012 Request for Comment: IIROC Rules Notice - Plain Language Rule Re-write Project - Dealer Member Margin Rules, Rules 5100 through 5800
January 27, 2012 Request for Comment: IIROC Rules Notice - Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread
January 20, 2012 Request for Comment: IIROC Rules Notice - Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1
January 6, 2012 Request for Comment: IIROC Rules Notice - Plain language rule re-write project - Interpretation and standards; Proposed Rules 1100 through 1400

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2011

December 2, 2011 Request for Comment: IIROC Rules Notice - Requirement to Disclose Membership in IIROC as Dealer Member
August 26, 2011 Notice of Commission Approval: IIROC Over-the-Counter Fair Pricing Rule and Confirmation Disclosure
August 26, 2011 Notice of Commission Approval: IIROC UMIR Amendments Relating to Market Maker, Odd Lot and Other
July 29, 2011 Request for Comments: IIROC Rules Notice - Provisions Respecting Dark Liquidity
July 15, 2011 Notice of Commission Approval: Amendments to IIROC By-Law No. 1 Regarding Director Election and Term
June 3, 2011 Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD)
May 27, 2011 Request for Comments: IIROC Rules Notice - Dealer Member Rules - Plain language rule re-write project - Dept Markets and Inter-Dealer Bond Brokers
April 22, 2011 Notice of Agreement among certain provincial securities regulators and the Investment Industry Regulatory Organization of Canada (IIROC) with respect to the administration and application of surplus funds generated by the operation of the National Registration Database (NRD)
March 4, 2011 OSC Staff Notice of Commission Approval: Amendments to IIROC Form 1
February 25, 2011 OSC Staff Notice of Approval: IIROC Housekeeping Amendments to Form 1 to Adopt CAS for the Audits of Regulatory Financial Statements
February 25, 2011 IIROC Rules Notice: Request for Comments - Provisions Respecting Regulation of Short Sales and Failed Trades
February 11, 2011 Plain language rule re-write project - Dealer Member Organization and Registration Rules - Proposed Rules 2100 - 2700
February 4, 2011 IIROC Rules Notice: Request for Comments - Proposed Amendment of Sections 5.4 and 5.7 of IIROC By-law No. 1 - Director Election and Term - Filling Vacancies
January 28, 2011 IIROC Provisions Respecting the Implementation of the Order Protection Rule
January 28, 2011 Notice of Commission Approval: IIROC UMIR Amendments Relating to Order Protection Rule
January 7, 2011 IIROC Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300
January 7, 2011 IIROC Rules Notice: Request for Comments – Republication - Dealer Member Rules - Proposals to Implement the Core Principles of the Client Relationship Model

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2010

December 3, 2010 IIROC Rules Notice: Notice of Withdrawal - Proposed Amendments to Continuing Jurisdiction Provisions
November 26, 2010 IIROC Rules Notice: Request for Comments - Limitation on IIROC Enforcement Proceedings
November 12, 2010 Notice of Commission Approval: Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies
October 8, 2010 IIROC Rules Notice - Request for Comments: Plain language rule re-write project - Financial and Operational Rules, Rules 4100 through 4900
October 8, 2010 IIROC Rules Notice - Request for Comments: Dealer Member Rules - Plain language rule re-write project - Dealing with clients, Proposed Rules 3400-3900
August 27, 2010 IIROC Notice: Amendments to Form 1 to adopt IFRS for regulatory reporting purposes
June 4, 2010 IIROC Rules Notice - Request for Comments: Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements
May 28, 2010 IIROC Rules Notice - Request for Comments: Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14
April 23, 2010 Proposed Amendments - Request for Comments: Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations
April 9, 2010 IIROC Rules Notice - Request for Comment: Dealer Member Rules
March 26, 2010 IIROC Rules Notice - Request for Comments: Proposed Plain Language Rules: 3100 - Business Conduct and 3200 - Client Accounts
February 19, 2010 Investment Industry Regulatory Organization of Canada Amendments to Correct Registration Reform Related Amendments
February 19, 2010 Notice of Commission Approval: IIROC Amendments to Investment Industry Regulatory Organization of Canada (IIROC) Dealer Member Rule 2900
January 15, 2010 Notice of Correction -- IIROC Rules Notice -- Notice of Approval -- UMIR -- Provisions Respecting Trading During Certain Securities Transactions
January 8, 2010 IIROC Rules Notice: Notice of Approval - UMIR - Provisions Respecting Trading During Certain Securities Transactions
January 8, 2010 Notice of Commission Approval: IIROC - UMIR Amendments - Provisions Respecting Trading During Certain Securities Transactions

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2009

December 25, 2009 Notice of Commission Approval: IIROC Amendments to Dealer Member Rules 19, 37 and 2500 Relating to Client Complaint Handling
December 18, 2009 Notice of Commission Approval - Amendments to IIROC Rule 19, 37 and 2500 - Relating to Client Complaint Handling
November 13, 2009 IIROC Rules Notice -- Request for Comments -- UMIR -- Provisions Respecting Implementation of the Order Protection Rule
October 9, 2009 IIROC Rules (blacklined) -- Amendments to Implement the Registration Reform Project
October 9, 2009 Comments Received in Response to Request for Comments -- IIROC Amendments to Implement the Registration Reform Project
October 9, 2009 IIROC Rules Notice -- Notice of Approval -- IIROC Dealer Member Rule Amendments to Implement the CSA's Registration Reform Project
October 2, 2009 Assignment of Powers and Duties of the Director to IIROC
September 28, 2009 Assignment of Powers and Duties of the Director to the Investment Industry Regulatory Organization of Canada
July 31, 2009 IIROC Form No. 2 and Dealer Member Rules 1300.2, 2500, 2700 and 3200 – Know Your Client Information
July 31, 2009 IIROC Dealer Member Rules 100.11 and 1900.1 – Over-the-Counter Options and Definition of Option – Withdrawal of Proposed Rule Amendments
June 26, 2009 Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols
June 26, 2009 Notice of Commission Approval – Proposed Amendments to Universal Market Integrity Rules (UMIR) 10.15 Relating to Provisions Respecting the Assignment of Identifiers and Symbols
May 22, 2009 IIROC Rules Notice – Request for Comments – Trading in Securities of U.S. OTC Issuers – Proposed Amendments to Dealer Member Rule 1300.1
May 22, 2009 Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals
May 22, 2009 Notice of Commission Approval – Proposed Amendments to IIROC Rules 100.2, 100.20, and 400.4 and Form 1 Relating to the Margin Requirements for Precious Metals
May 1, 2009 IIROC Rules Notice – Request for Comments – Proposed Amendments to Simplify the Equity Margin Project
April 24, 2009 IIROC Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300
April 24, 2009 IIROC Rules Notice – Request for Comments – Client Relationship Model
April 24, 2009 IIROC Rules Notice – Request for Comments – Revisions to the Definition of “Securities Related Activities”
April 17, 2009 IIROC Rules Notice – Request for Comments – Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements
April 17, 2009 IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation
April 17, 2009 IIROC Rules Notice – Notice of Approval – UMIR – Provisions Respecting the “Best Price” Obligation
February 13, 2009 IIROC Rules Notice – Request for Comments – Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies
February 13, 2009 IIROC Response to Comments on Client Complaint Handling Rule and Guidance Note and Amendments to IIROC Dealer Member Rules 19, 37 and 2500
February 13, 2009 IIROC Rules Notice – Request for Comments – Amendments to Complaint Handling Requirements - Client Complaint Handling Rule and Guidance Note and Amendments to Dealer Member Rules 19, 37 and 2500
February 13, 2009 IIROC Rules Notice – Request for Comments – Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps
January 2, 2009 Investment Industry Regulatory Organization of Canada (IIROC) - Amendments to the Notes and Instructions to Schedule 5 of Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers
January 2, 2009 Notice of Commission Approval – Housekeeping Amendments to the Notes and Instructions to Schedule 5 of IIROC’s Form 1 of the Dealer Member Rules Relating to Approved Inter-Dealer Bond Brokers

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2008

November 28, 2008 IIROC Rule 100.4E – Offsets Between Strip Coupon Positions and / or Residual Debt Positions
November 28, 2008 Notice of Commission Approval – IIROC Amendments to Rule 100.4E – Offsets Between Strip Coupon Positions and/or Residual Debt Positions
November 21, 2008 Amendments to IIROC Rule 20 Corporation Hearing Processes to Eliminate IIROC’s Appeal Panels and Response to Public Comment
November 21, 2008 Notice of Commission Approval – Amend-ments to IIROC Rule 20 Corporation Hearing Processes – To Eliminate IIROC’s Appeal Panels
November 7, 2008 Notice of Publication of IIROC Proposed Amendments and Concept Proposal
October 31, 2008 Extension of Request for Comment – IIROC Proposed Amendments to Implement the CSA Registration Reform Project
October 24, 2008 IIROC Rules Notice – Notice of Approval - UMIR – Provisions Respecting Short Sales and Failed Trades
October 24, 2008 Notice - IIROC Rules Notice – Notice of Approval - UMIR – Provisions Respecting Short Sales and Failed Trades
September 26, 2008 IIROC Amendments to Implement the CSA Registration Reform Project
September 19, 2008 Extension of Request for Comment – IIROC Proposed Financial Planning Rule
August 15, 2008 IIROC Amendments to Rules 100.2(j) and 100.2(k) Relating to Swap Arrangements Involving Regulated Entities
August 8, 2008 IIROC Proposed Financial Planning Rule
August 8, 2008 Investment Industry Regulatory Organization of Canada - Rule No. 41 and Form 1 Amendments to Reflect Changes to CIPF Oversight Role
August 8, 2008 Notice of Commission Approval – IIROC – Rule No. 41 and Amendments to Form 1 regarding Canadian Investor Protection Fund
August 1, 2008 IIROC - Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1
August 1, 2008 Notice of Commission Approval – IIROC - Amendments to the Definitions of Acceptable Clearing Corporations and Acceptable Securities Locations in Form 1
July 25, 2008 Notice of Commission Approval – IIROC Amendments to Schedule 9 of Form 1 Relating to the Calculation of a Securities Concentration Charge for Positions in Broad Based Index Securities
July 18, 2008 IIROC Rules Notice – Notice of Approval – Provisions Respecting Best Execution