Industry

Mutual Fund Dealers Association (MFDA) - Rule Review


2020 | 2019 | 2018 |2017 | 2016 | 2015 |2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003

2020

May 7, 2020 Notice of Commission Approval - Amendments to MFDA By-law No. 1 (Investigatory Powers)
April 9, 2020 Extension of Request for Comment – Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons
March 26, 2020 Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements
March 26, 2020 Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements
January 30, 2020 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) 
January 30, 2020 Request for Comment - Proposed Amendments to MFDA Rule 1.1.2 (Compliance by Approved Persons)

2019

December 12, 2019 Notice of Commission Approval - Amendment to MFDA By-Law No. 1 Section 24.A (Ombudservice) – MFDA
October 24, 2019 Request for Comment - Proposed Amendments to MFDA Rule 1.1.1(a) (Business Structures - Members)
September 26, 2019 Notice of Commission Approval – Continuing Education Requirements for MFDA Members and their Approved Persons
April 4, 2019 Request for Comment - Proposed Amendments to MFDA Rule 2.3.1(b) (Discretionary Trading) - MFDA
April 4, 2019 Notice- Proposed Amendments to MFDA Rule 2.3.1(B)
March 28, 2019 Request for Comment - Proposed Amendments to MFDA By-law No. 1 (Ombudservice)
March 28, 2019 Notice - Proposed Amendments to MFDA By-law No. 1 (Ombudservice)
March 21, 2019 Request for Comment - Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers)
March 21, 2019 Notice - Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers)
March 14, 2019 Request for Comment – Proposed Amendments to MFDA By-law No. 1 (Governance)
March 14, 2019 Notice – Proposed Amendments to MFDA By-law No. 1 (Governance)

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2018

December 27, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to Sample Auditor’s Reports in MFDA Form 1
April 12, 2018 Notice of Commission Approval - Requirements Relating to the Disclosure of MFDA Membership
March 22, 2018 Proposed Continuing Education Requirements for MFDA Members and their Approved Persons
January 4, 2018 Notice of Commission Deemed Approval - Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
January 4, 2018 Notice - Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)

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2017

October 19, 2017 Notice of Withdrawal - Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
October 19, 2017 Notice - Withdrawal of Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
July 20, 2017 OSC Staff Notice of Commission Approval - New MFDA Policy No. 8 (Proficiency Standard for Approved Persons Selling ETFs)
June 29, 2017 Request for Comment - Revised Proposed Requirements Relating to the Disclosure of MFDA Membership
June 29, 2017 Notice - Request for Comment - Revised Proposed Requirements Relating to the Disclosure of MFDA Membership
January 19, 2017 Notice of Approval - Amendments to MFDA Rule 2.3
January 19, 2017 Summary of Public Comments on Proposed Amendments to MFDA Rule 2.3.1
January 19, 2017 Proposed Amendments to MFDA Rule 2.3
January 12, 2017 Mutual Fund Dealers Association of Canada/Association Canadienne des Courtiers de Fonds Mutuels – s. 147

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2016

October 27, 2016 OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) - MFDA
October 27, 2016 MFDA Notice: Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited)
June 30, 2016 OSC Staff Notice of Request for Comment- Proficiency Standard for Approved Persons Selling Exchange Traded Funds (ETFs) - MFDA
March 17, 2016 OSC Staff Notice of Commission Approval - Amendments to MFDA Rule 1.2 (Individual Qualifications) - MFDA
March 17, 2016 Summary of Public Comments on Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications)
March 10, 2016 OSC Staff Notice of Request for Comment - Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) - MFDA
March 10, 2016 Corporate Resolution - Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading)
March 10, 2016 Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authority/Discretionary Trading) - MFDA

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2015

June 25, 2015 MFDA – Client Relationship Model – Phase 2 – Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
June 25, 2015 Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting)
June 25, 2015 Corporate Resolution - RE: Proposed Housekeeping amendments re: CRM2
June 18, 2015 OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement)
June 18, 2015 Mutual Fund Dealers Association of Canada - Proposed Amendments to MFD A Rule 5.3.2 (Content of Account Statement)
June 18, 2015 Proposed amendments to MFDA Rule 5.3.2 (Content of Account Statement) - Resolution Certificate
June 18, 2015 OSC Staff Notice of Request for Comment - Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications)
June 18, 2015 Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications)
June 18, 2015 Proposed amendments to MFDA Rule 1.2 (Individual Qualifications) - Resolution Certificate
March 19, 2015 OSC Staff Notice of Commission Approval – Mutual Fund Dealers Association of Canada – Housekeeping Amendments to Rule 2.4.2 (Referral Arrangements)
March 19, 2015 MFDA Notice - Housekeeping Amendments to MFDA rule 2.4.2 (Referral Arrangements)
March 19, 2015 MFDA - Corporate Resolution - Re: Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements)

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2014

December 18, 2014 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
July 3, 2014 OSC Staff Notice of Approval - MFDA Amendments to MFDA By-law No.1 and Articles of Continuance
July 3, 2014 By-Law No. 1 (as amended by By-laws Nos. 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 17 and 18)
June 12, 2014 OSC Staff Notice of Request for Comment - MFDA Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations)
June 12, 2014 Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations)
May 29, 2014 Notice of Commission Approval: Amendments to MFDA Rules to harmonize with Client Relationship Model Phase 2 provisions effective July 15, 2014

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2013

October 10, 2013 OSC Staff Notice of Request for Comment: MFDA Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations – Automatic Payment Plans)
October 10, 2013 Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations - Automatic Payment Plans)
September 12, 2013 OSC Staff Notice of Commission Approval: MFDA - Proposed Amendments to Section 1 (Definitions) of MFDA By-law No. 1, MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 Regarding Minimum Standards for Account Supervision -- Notice of Commission Approval
July 25, 2013 OSC Staff Notice of Request for Comment: MFDA – Proposed Amendments to MFDA By-Law No. 1
July 25, 2013 Proposed Amendments to MFDA By-Law No.1
July 18, 2013 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”)
February 7, 2013 OSC Staff Notice of Commission Approval: MFDA Amendments to MFDA Rule 2.2.1 and Policy No. 2
January 31, 2013 OSC Staff Notice of Approval: MFDA Housekeeping Amendments to Form 1 - Financial Questionnaire and Report (IFRS)
January 4, 2013 Proposed Amendments to MFDA By-Law No. 1 (Definitions), MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 – Minimum Standards for Account Supervision

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2012

December 13, 2012 OSC Staff Notice: Notice of Revocation of the 2008 Commission Approval to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1
October 25, 2012 OSC Staff Notice of Approval: MFDA Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
April 13, 2012 OSC Staff Notice of Approval: MFDA amendments to MFDA Rule 3.3.2 and Internal Control Policy Statement 4
March 2, 2012 OSC Staff Notice of Commission Approval: MFDA Proposed Amendments to MFDA Rule 5.3 (Client Reporting)

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2011

November 4, 2011 MFDA: Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
October 28, 2011 MFDA: Proposed Amendments to MFDA Rule 5.3 (Client Reporting)
September 30, 2011 OSC Staff Notice of Commission Approval: MFDA Proposed Amendments to Financial Questionnaire and Report (Form 1) to include the “Definition of Market Value”
July 8, 2011 Proposed Amendments: MFDA Rule 2.2.1 (“Know-Your-Client”) and MFDA Policy No. 2 Minimum Standards For Account Supervision
July 8, 2011 Notice of Rescission of Commission Approval: Amendments to MFDA Rule 1.2.1(d)(vii)(A) – Dual Occupations
March 25, 2011 OSC Staff Notice of Commission Approval: MFDA Housekeeping Amendments to Form 1 – Financial Questionnaire and Report (IFRS) and Form 1 - Financial Questionnaire and Report (CGAAP)
March 18, 2011 MFDA - Proposed Amendments to Form 1 - Definition of Market Value
February 18, 2011 Notice of Commission Approval: MFDA Rule 2.4.4 and Amendments to MFDA Rule 5.1 Regarding Transaction Fees or Charges and Requirement for Records
January 21, 2011 Notice of Commission Approval – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report

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2010

October 29, 2010 Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA
October 29, 2010 Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions
October 29, 2010 Notice of Commission Approval of Amendments to MFDA Rules and Policy No. 6 Resulting from NI 31-103 Registration Requirements and Exemptions
August 13, 2010 Proposed Amendments to MFDA Rule 3.1.1 (Capital - Minimum Levels) and MFDA Form 1 - Financial Questionnaire and Report
July 16, 2010 Notice of Commission Approval: Amendments to MFDA Rule 2.2 Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting)
July 16, 2010 Notice of Commission Approval: Amended MFDA Rules of Procedure
July 16, 2010 MFDA Rule 2.2 (Client Accounts)
July 16, 2010 MFDA Policy No. 2 – Minimum Standards for Account Supervision
July 16, 2010 MFDA Rule 5.3 (Client Reporting)
July 16, 2010 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision
July 16, 2010 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications)
July 16, 2010 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Accounts) and Responses of the MFDA
June 25, 2010 Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)
June 25, 2010 Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash)
April 30, 2010 Notice of Rescission of Commission Approval: Amendments to MFDA Rule 1.1.7 – Business Names, Styles, Etc.
March 26, 2010 Amendments to MFDA Rule 2.4.1 – Payment of Commissions to Unregistered Corporation
March 26, 2010 Notice of Commission Approval: Amendments to MFDA Rule 2.4.1 - Payment of Commissions to Unregistered Corporation
February 19, 2010 Summary of Public Comments Respecting Proposed Amendments to Section 35 (No Actions Against the Corporation) of MFDA By-law No. 1 and Responses of the MFDA
February 19, 2010 Amendments to Section 35 of MFDA By-law No. 1 . MFDA IPC
February 19, 2010 Notice of Commission Approval: Amendments to Section 35 of MFDA By-law No. 1 -- MFDA IPC

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2009

December 25, 2009 Proposed Conforming Amendments to MFDA Rules Resulting from National Instrument 31-103 Registration Requirements And Exemptions
December 25, 2009 Notice of Commission Approval: Amendments to MFDA Policy 3 - Complaint Handling, Supervisory Investigations and Internal Discipline
December 18, 2009 Notice of Commission Approval - Amendments to MFDA Policy 3 - Relating to Client Complaint Handling
August 28, 2009 Second Publication for Comment of Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
August 21, 2009 Notice and Request for Comment – Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
July 31, 2009 Proposed Amendments to MFDA Rules of Procedure
June 26, 2009 Proposed Amendments to Section 35 (No actions against the Corporation) of MFDA By-Law No. 1
June 19, 2009 Proposed Amendments to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation)
May 8, 2009 Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting)
May 8, 2009 Second Publication for Comment of Proposed Amendments to Implement Core Principles of the Client Relationship Model – correction
April 24, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications)
April 24, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision
April 24, 2009 Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting)
April 24, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 1.2.1(d)
April 24, 2009 Notice of Commission Approval - Amendments to MFDA Rule 1.2.1(d) Regarding Financial Planning Services as a Dual Occupation
March 13, 2009 Summary of Public Comments Respecting Proposed Amendments to MFDA Policy No. 3 Handling Client Complaints and Responses of the MFDA
March 13, 2009 Proposed Amendments to MFDA Policy No. 3 Handling Client Complaints

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2008

December 12, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 2.3 - Power of Attorney/Limited Trading Authorization
December 12, 2008 Housekeeping Amendments to MFDA Rule 2.3 (Power of Attorney/Limited Trading Authorization)
November 21, 2008 Notice of Commission Approval – Amend-ments to MFDA Rule 1.1.6 – Introducing and Carrying Arrangement
October 3, 2008 Proposed Amendments to MFDA Rule 2.6 Borrowing for Securities Purchases
September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 1.1.7 - Business Names, Styles, Etc.
September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 4 - Insurance
September 26, 2008 Notice of Commission Approval - Amendments to Section 11 of MFDA By-law No. 1 - Member Approval Process
September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Policy No. 1 - New Registrant Training and Supervision
September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 3 - Financial and Operations Requirements
September 26, 2008 Notice of Commission Approval - Housekeeping Amendments to MFDA Policy No. 4 - Internal Control Policy Statements and MFDA Financial Questionnaire and Report - Form 1
September 26, 2008 Housekeeping Amendments to MFDA Rule 1.1.7 - Business Names, Styles, Etc.
September 26, 2008 Housekeeping Amendments to MFDA Rule 4 - Insurance
September 26, 2008 Housekeeping Amendments to MFDA Rule 2.3 - Power of Attorney / Limited Trading Authorization
September 26, 2008 Notice of Commission Approval -- Housekeeping Amendments to MFDA Rule 2.3 -- Power of Attorney / Limited Trading Authorization
September 26, 2008 Approved Amendments to Section 11 of MFDA By-law No. 1 - Member Approval Process
September 26, 2008 Housekeeping Amendments to MFDA Policy No. 1 - New Registrant Training and Supervision
September 26, 2008 Housekeeping Amendments to MFDA Rule 3 - Financial and Operations Requirements
September 26, 2008 Housekeeping Amendments to MFDA Policy No. 4 - Internal Control Policy Statements and MFDA Financial Questionnaire and Report - Form 1
August 1, 2008 Notice of Commission Approval - Amendments to Section 24.3 of MFDA By-law No. 1 - Suspensions in Certain Circumstances
August 1, 2008 Amendments to s. 24.3 - Suspensions in Certain Circumstances and Related Provision of MFDA By-law No. 1
July 18, 2008 The Mutual Fund Dealers Association of Canada - Notice of Consent
July 18, 2008 Consent - Mutual Fund Dealers Association of Canada
June 27, 2008 Proposed Amendments to MFDA Rule 1.2.1(d) (Salespersons - Dual Occupations)
June 13, 2008 Proposed Amendments to MFDA Rule 2.2 (Client Accounts) and MFDA Policy No. 2 Minimum Standards for Account Supervision
June 13, 2008 Proposed Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Rule 2.8 (Client Communications)
June 13, 2008 Proposed Amendments to MFDA By-law No. 1, s. 25.4 (Other Instruments)
May 30, 2008 MFDA - Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement)
May 23, 2008 Joint Notice and Request for Comment - Mutual Fund Dealers Association of Canada Application for Amendment and Restatement of Its Recognition Orders and Application to Amend the Definition of "Public Director" in its By-law No. 1

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2007

September 21, 2007 MFDA Proposed Amendments to Policy 6 Distributions - Amendments to Section 11 of MFDA By-law No. 1 (Member Approval Process)
September 7, 2007 Notice of Commission Approval - Housekeeping Amendments to MFDA Form 1, Financial Questionnaire
September 7, 2007 Report and MFDA Housekeeping Amendments to Form 1 - Financial Questionnaire and Report
July 20, 2007 Summary of Public Comments respecting Proposed Amendments to Section 19.9 of MFDA By-law No. 1 (Hearing Panels) and Response of the MFDA
July 20, 2007 Notice of Commission Approval -- Amendments to Section 19.9 of MFDA By-law No. 1 -- Hearing Panels
July 13, 2007 MFDA Proposed Amendments to Policy 3 (Handling Client Complaints)
June 8, 2007 Notice of Commission Approval - MFDA Policy No. 6, Amendments to MFDA Rule 1.2.5 and Consequential Amendments
June 8, 2007 Summary of Public Comments Respecting Proposed MFDA Policy No. 6 - Information Reporting Requirements, Notification of Change in Registration Information (Rule 1.2.5) and Consequential Amendments and Response of the MFDA
June 8, 2007 MFDA Information Reporting Requirements (Policy No. 6)

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2006

December 22, 2006 Notice of Commission Approval - Housekeeping Amendment to MFDA By-law No. 1, Section 1 Regarding the Definition of "Control"
December 22, 2006 Notice of Commission Approval - Housekeeping Amendments to MFDA By-Law No. 1, Section 1 (Definitions - "Control")
December 22, 2006 Notice of Commission Approval - Housekeeping Amendments to MFDA By-law No. 1, Section 1 Regarding the Preamble to the Definitions and MFDA Notice - Housekeeping Amendment to MFDA By-law No. 1, Section 1 (Definitions)
December 22, 2006 Notice of Commission Approval - Housekeeping Amendments to MFDA Rule 1.2.4 Regarding the Currency of Courses
December 22, 2006 MFDA Notice - Housekeeping Amendment to MFDA By-law No. 1, Section 1 (Definitions)
December 22, 2006 MFDA Notice - Housekeeping Amendments to MFDA Rule 1.2.4 (Currency of Courses)
December 1, 2006 Notice of Commission Approval - Amendments to MFDA Rule 3.2 and MFDA Financial Questionnaire and Report
December 1, 2006 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 3.2 and MFDA Financial Questionnaire and Report and Response of the MFDA
December 1, 2006 MFDA - Calculation of Risk Adjusted Capital (Rule 3.2.2, 3.2.5 and Form 1)
October 27, 2006 MFDA Notice and Request for Comments - Hearing Panels (Section 19.9 of By-law No.1)
October 27, 2006 MFDA Notice and Request for Comments - Suspensions in Certain Circumstances (Section 24.3 of By-law No.1) and Related Provisions of By-law No. 1
October 27, 2006 MFDA Proposed Policy 6 - Information Reporting Requirements, Notification of Change in Registration Information (Rule 1.2.5) and Consequential Amendments
September 1, 2006 Notice of Commission Order - Application to Vary Approval Order of MFDA Investor Protection Corporation
July 28, 2006 MFDA - Calculation of Risk Adjusted Capital (Rules 3.2.2, 3.2.5 and Form 1)
July 21, 2006 Notice of Commission Approval - MFDA Policy 5 - Branch Review Requirements
July 21, 2006 MFDA Policy 5 - Branch Review Requirements
February 24, 2006 Notice of Commission Approval - Proposed Amendments to MFDA Rule 2.1.4 - Conflicts of Interest
February 24, 2006 Summary of Public Comments Respecting Proposed Amendments to MFDA Rule 2.1.4 and Response of the MFDA

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2005

December 2, 2005 Notice of Commission Approval - Housekeeping Amendments to MFDA By-Law No. 1, Section 23, Regarding Co-operation with Other Authorities
December 2, 2005 Housekeeping Amendments to MFDA By-Law No. 1, Section 23, Regarding Co-operation with Other Authorities
November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Internal Control Policy Statements
November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Financial Questionnaire
November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client" Requirements
November 18, 2005 Notice of Commission Approval - Housekeeping Amendment to MFDA Rule 2.2.1 Regarding "Know-Your-Client"
November 18, 2005 Housekeeping Amendment to MFDA Internal Control Policy Statements
November 18, 2005 Report and Housekeeping Amendment to MFDA Financial Questionnaire and Report
September 23, 2005 Request for Comments - MFDA Policy 5 Regarding Branch Review Requirements
September 23, 2005 MFDA - Conflicts of Interest (Rule 2.1.4)
May 20, 2005 MFDA Consent to Enter into a Co-operative Agreement in Quebec
May 20, 2005 MFDA Investor Protection Corporation - Notice of Approval and MFDA Investor Protection Corporation - Summary of Public Comments
February 25, 2005 MFDA IPC Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation/Corporation de Protection des investisseurs de l'ACFM, Pursuant to Section 110 of Reg. 1015 Made Under the Securities Act
February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation/Corporation de Protection des investisseurs de l'ACFM, Pursuant to Section 110 of Reg. 1015 Made Under the Securities Act and MFDA Proposed Amendment
February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit B - Blacklined
February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit C - Blacklined
February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit D - Blacklined
February 25, 2005 Notice and Request for Comment - Revised Application for Approval of MFDA Investor Protection Corporation - Exhibit E - Blacklined
January 14, 2005 Notice of Commission Approval - Housekeeping Amendments to MFDA By-law No. 1, Section 8 - For the Protection of Directors, Officers and Others
January 14, 2005 Housekeeping Amendments to MFDA By-law No. 1, Section 8 - For the Protection of Directors Officers and Others
January 7, 2005 Notice of Commission Approval - Amendments to MFDA By-law No. 1, Regarding the Enforcement Process

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2004

November 19, 2004 Notice of Commission Approval - MFDA Amendments to MFDA Rule 1.1.7 Regarding Business Names, Styles, Etc.
October 1, 2004 Notice of Commission Approval - Housekeeping Amendment to MFDA By-law No. 1, Section 18.2.2, Regarding Regional Councils - Ex Officio Members
September 17, 2004 Notice of Commission Approval - Housekeeping Amendments to MFDA By-law No. 1, Sections 1, 11.6.1, 13.8, 20.5, 20.7, 24.3.3 and 37
September 10, 2004 Notice of Commission Approval - Housekeeping Amendement to MFDA Rule 3.5.1 Regarding Filing Requirements
August 20, 2004 Notice of Commission Approval - Housekeeping Amendment to MFDA Rule 3.4.4 Regarding Early Warning Duration
August 20, 2004 Housekeeping Amendment to MFDA Rule 3.4.4 Regarding Early Warning Duration
July 9, 2004 MFDA Rule 1.1.7 - Business Names, Styles, etc.
March 5, 2004 Notice of Commission Approval - Proposed Extension of the Suspension Period for MFDA Rule 2.4.1 Regarding Payments of Commissions
February 13, 2004 Notice of Commission Approval - MFDA Rule 1.2.6 - Notification of Termination of Approved Persons
January 23, 2004 Notice of Commission Approval - Amendments to MFDA Policy No. 3 - Handling Client Complaints
January 23, 2004 Notice of Notice of Commission Approval - Amendments to MFDA Policy No. 3 - Handling Client Complaints
January 23, 2004 Notice of Commission Approval - Amendments to MFDA Rule 5.3.1 - Delivery of Account Statement
January 23, 2004 Notice of Notice of Commission Approval - Amendments to MFDA Rule 5.3.1 - Delivery of Account Statement
January 9, 2004 Notice of Commission Approval - Proposed Amendments to MFDA Rule 1.1.1(a) Regarding Business Structures

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2003

December 5, 2003 Notice of Commission Approval - Proposed MFDA By-laws No. 5 and No.6 Regarding Corporate Governance
December 5, 2003 Notice of Commission Approval MFDA By-law No.8 - Disciplinary and Enforcement Amendments
December 5, 2003 Notice of Commission Approval - MFDA By-law No. 7 Miscellaneous Administrative Amendments
November 21, 2003 Notice of Commission Approval - Amendments to MFDA Rule 2.2.1 - "Know- Your-Client" and Text of Amendments to MFDA Rule 2.2.1 - "Know- Your-Client"
November 14, 2003 Notice of Commission Approval - Proposed Amendments to MFDA Rule 1.1.6(b) Regarding Introducing and Carrying Arrangements
November 7, 2003 Notice of Commission Approval - Proposed Amendments to MFDA Rule 2.3.1 - Power of Attorney/Limited Trading Authorization
October 24, 2003 Notice of Commission Approval - Amendments to MFDA Rule 2.12 - Transfers of Account
October 24, 2003 Notice of Commission Approval - Amendment to MFDA Rule 2.8.3 - Rates of Return
October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.1.6(a)(vi) Regarding Introducing and Carrying Arrangement
October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 3.4.2(b)(vi) - Early Warning
October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.1.7(d) - Business Names, Styles, Etc
October 10, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.1.3 - Service Arrangements
September 19, 2003 Notice of Commission Approval - Amendments to MFDA Financial Questionnaire and Report
August 15, 2003 Notice of Commission Approval - Amendment to MFDA Rule 1.2.2(a) - Branch Managers
August 15, 2003 Notice of Commission Approval - Amendment to MFDA Rule 2.2.3 - New Account Approval
August 15, 2003 Notice of Commission Approval - Amendment to MFDA Rule 3.2.1 - Client Lending and Margin
August 15, 2003 Text of Amendment to MFDA Rule 2.2.3 - New Account Approval

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