Date | Notice |
2/10/2014 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
2/7/2014 | List of Securities Eligible for Reduced Margin |
2/5/2014 | Custodial Agreements |
1/13/2014 | Clearing arrangements - Notice of issuance of final guidance note and summary response to comments received
|
1/13/2014 | Outsourcing arrangements - Notice of issuance of final guidance note and summary response to comments received
|
1/13/2014 | Outsourcing arrangements |
1/13/2014 | Clearing arrangements |
1/9/2014 | Proposed Requirements for Debt Securities Transaction Reporting |
1/9/2014 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
12/12/2013 | 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 |
12/11/2013 | Proposed Guidance Respecting the Expansion of Single-Stock Circuit Breakers |
12/11/2013 | Personal Financial Dealing |
12/10/2013 | Variation and Cancellation of Odd Lot Trades |
12/9/2013 | Amendments to the French version of UMIR |
12/9/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
12/9/2013 | 2013-2014 Annual Consolidated Compliance Report |
12/9/2013 | 2013-2014 Annual Consolidated Compliance Report |
12/3/2013 | Gatekeeper and Notice Requirements For Direct Electronic Access and Routing Arrangements |
11/25/2013 | Guidance on Marketplace and Average Price Disclosure for Trade Confirmations |
11/25/2013 | Summary of Comments Received on Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure |
11/25/2013 | Guidance on Marketplace and Average Price Disclosure for Trade Confirmations |
11/25/2013 | Summary of Comments Received on Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure |
11/18/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
11/14/2013 | Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules |
11/14/2013 | Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules |
11/12/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
11/8/2013 | List of Securities Eligible for Reduced Margin |
11/6/2013 | Request for Comment on Revised Sanction Guidelines and related Staff Policy Statements |
11/1/2013 | Custodial Agreements |
10/25/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
10/15/2013 | Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces |
10/15/2013 | Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces |
10/15/2013 | Proposed Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces |
10/15/2013 | Proposed Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces |
10/4/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
10/1/2013 | Custodial Agreements |
9/25/2013 | Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure |
9/25/2013 | Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure |
9/6/2013 | Trade Confirmation and Matching Requirements |
9/6/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
9/6/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
9/3/2013 | Custodial Agreements |
8/29/2013 | Disclosure Requirements for Research Reports |
8/29/2013 | Acceptable Institutions and Acceptable Counterparties Database |
8/20/2013 | List of Securities Eligible for Reduced Margin (Supplement) |
8/12/2013 | List of Securities Eligible for Reduced Margin |
8/1/2013 | Custodial Agreements |
7/16/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
7/11/2013 | Summary of Comments Received On Proposed Guidance Respecting the Management of Stop Loss Orders |
7/11/2013 | Guidance Respecting the Management of Stop Loss Orders |
7/4/2013 | Guidance Respecting Third-Party Electronic Access to Marketplaces |
7/4/2013 | Provisions Respecting Third-Party Electronic Access to Marketplaces |
7/4/2013 | Provisions Respecting Third-Party Electronic Access to Marketplaces |
7/4/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
7/2/2013 | Custodial Agreements |
6/27/2013 | Proposed Plain Language Rule Sections 2210 and 2211- Suspension and Termination of a Dealer Member |
6/27/2013 | Amendments to IFRS version of Form 1 |
6/24/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
6/13/2013 | Disclosure and approval of outside business activities |
6/13/2013 | Personal financial dealing and outside business activities |
6/10/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
6/7/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
6/3/2013 | Custodial Agreements |
5/21/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
5/10/2013 | List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities |
5/8/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
5/1/2013 | Custodial Agreements |
4/25/2013 | List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars |
4/12/2013 | Proposed Guidance Respecting the Management of Stop Loss Orders |
4/9/2013 | Update Respecting the Implementation of the “Trade-for-Trade” Extended Failed Trades Reporting |
4/9/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
4/3/2013 | Adjustments to the Consolidated Short Position Report |
3/7/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
3/4/2013 | Custodial Agreements |
3/1/2013 | Update to Annotated Universal Market Integrity Rules |
2/28/2013 | CSA/IIROC Joint Notice 23-315
Summary of Comments on CSA/IIROC Joint Notice 23-312 — Request for Comments — Transparency of Short Selling and Failed Trades |
2/28/2013 | Requirements to Notify IIROC under the Electronic Trading Rule Amendments |
2/28/2013 | IIROC Statement on Trades in Orbite Aluminae Inc. on February 14, 2013 |
2/26/2013 | List of Securities Eligible for Reduced Margin |
2/21/2013 | Guidance on Market-wide Circuit Breakers |
2/20/2013 | Proposed Requirements for Debt Securities Transaction Reporting |
2/14/2013 | Guidance on Certain Manipulative and Deceptive Trading Practices |
2/7/2013 | Amendments to IFRS version of Form 1 |
2/7/2013 | IIROC Concept Proposal Restricted Dealer Member Proposal - Summary of Comments |
2/7/2013 | Requirements for Secure Electronic Regulatory Communication |
2/7/2013 | Requirements to Notify IIROC under the Electronic Trading Rule Amendments |
2/7/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
2/6/2013 | Recommendations and best practices for distribution of non-arm’s length investment products |
2/6/2013 | Summary of comments received on draft guidance note “Requirements and best practices for distribution of non-arm’s length investment products” |
2/4/2013 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
1/21/2013 | Issuance of Initial Short Sale Trading Summary Report |
1/14/2013 | Implementation Date for Reporting “Trade-for-Trade” Extended Failed Trades |
1/11/2013 | Amendments to IFRS version of Form 1 |
1/10/2013 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
1/8/2013 | Use of Business Titles and Financial Designations |
1/2/2013 | Custodial Agreements |
12/20/2012 | Disclosure Requirements for Research Reports |
12/18/2012 | Sale of principal protected notes by Approved Persons of IIROC Dealer Members |
12/17/2012 | The Role of Compliance and Supervision |
12/11/2012 | “Date of the offering” within the meaning of Dealer Member Rule 3400 |
12/11/2012 | Summary of comments received on the draft Guidance Note ““Date of the offering” within the meaning of Dealer Member Rule 3400” |
12/10/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
12/7/2012 | Summary of Comments Received on Proposed Guidance Respecting Electronic Trading |
12/7/2012 | Guidance Respecting Electronic Trading |
12/7/2012 | Provisions Respecting Electronic Trading |
12/4/2012 | Annual Consolidated Compliance Report |
12/4/2012 | Custodial Agreements |
11/8/2012 | List of Securities Eligible for Reduced Margin |
11/5/2012 | Custodial Agreements |
10/25/2012 | Proposed Guidance Respecting Third-Party Electronic Access to Marketplaces |
10/25/2012 | Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces |
10/25/2012 | Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces |
10/22/2012 | Request for comments on draft guidance regarding clearing
arrangements |
10/22/2012 | Request for comments on draft guidance regarding outsourcing
arrangements |
10/19/2012 | List of Basel Accord Countries |
10/11/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
10/11/2012 | Summary of Comments Received Respecting Proposed Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations |
10/9/2012 | Specific Questions Related to Dark Liquidity Rule Amendments |
10/9/2012 | Market Rules Advisory Committee |
10/1/2012 | Custodial Agreements |
9/26/2012 | Proposed Guidance on Market-wide Circuit Breakers |
9/24/2012 | Securities Listed on Foreign Exchanges Eligible for Margin |
9/17/2012 | IIROC Staff Consultation - Concept Paper on the Feasibility of Portfolio Margining |
9/11/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
9/6/2012 | Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings |
9/4/2012 | Custodial Agreements |
8/22/2012 | List of Securities Eligible for Reduced Margin (Supplement) |
8/20/2012 | Summary of Comments Received Respecting Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades |
8/20/2012 | Guidance on Regulatory Intervention for the Variation or Cancellation of Trades |
8/14/2012 | List of Securities Eligible for Reduced Margin |
8/14/2012 | Acceptable Institutions and Acceptable Counterparties Database |
8/14/2012 | Request for comments on draft guidance regarding compensation structures for retail investment accounts |
8/13/2012 | Extension of Comment Period for Marketplace Thresholds |
8/10/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products |
8/2/2012 | Custodial Agreements |
7/27/2012 | Guidance on Marketplace Disclosure for Trade Confirmations |
7/19/2012 | Client Relationship Model – Extension of implementation of the enhanced suitability assessment requirements prescribed by Dealer Member Rule 1300.1 |
7/17/2012 | Proposed Guidance on Certain Manipulative and Deceptive Trading Practices |
7/12/2012 | IIROC Concept Proposal – Restricted Dealer Member Proposal |
7/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
7/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
7/4/2012 | Request for Comments on draft guidance regarding Borrowing for Investment Purposes– Suitability and Supervision |
7/3/2012 | Custodial Agreements |
7/3/2012 | Research reports issued by firms regulated by the Financial Services Authority |
6/28/2012 | Provisions Respecting Electronic Trading |
6/28/2012 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
6/25/2012 | Request for Nominations to the Market Rules Advisory Committee |
6/7/2012 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
6/7/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
6/1/2012 | Custodial Agreements |
5/29/2012 | List of Securities Eligible for Reduced Margin |
5/15/2012 | List of Acceptable Trade Matching Utilities |
5/10/2012 | Request for Comments on Marketplace Thresholds |
5/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
5/8/2012 | Changes to Implementation Date for Provisions Respecting Regulation of Short Sales and Failed Trades and for Provisions Respecting Dark Liquidity |
5/2/2012 | Custodial Agreements |
4/13/2012 | Request for Comments on draft guidance regarding the meaning of “date of the offering” in Requirement 14 of Dealer Member Rule 3400 – Research Restrictions and Disclosure Requirements |
4/13/2012 | Provisions Respecting Dark Liquidity |
4/13/2012 | Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades |
4/10/2012 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
4/10/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
4/2/2012 | Custodial Agreements |
3/30/2012 | Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades |
3/30/2012 | Plain language rule re-write project: Clean up amendments |
3/26/2012 | Client Relationship Model – Guidance |
3/26/2012 | Know your client and suitability - Guidance |
3/26/2012 | Client Relationship Model - Implementation |
3/23/2012 | Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules |
3/23/2012 | Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules |
3/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
3/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
3/2/2012 | Proposed Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations |
3/2/2012 | Effects of Short Sale Circuit Breakers in the United States on the Trading of Inter-listed Securities in Canada |
3/2/2012 | Provisions Respecting Regulation of Short Sales and Failed Trades |
3/2/2012 | Canadian Securities Administrators / Investment Industry Regulatory Organization of Canada Joint Notice 23-312 Transparency of Short Selling and Failed Trades |
3/2/2012 | Custodial Agreements |
2/27/2012 | List of Acceptable Trade Matching Utilities for the purposes of IIROC Dealer Member Rule 800.49 relating to Broker to Broker Trade Matching |
2/27/2012 | List of Securities Eligible for Reduced Margin |
2/24/2012 | Foreign Currency Group Upgrade |
2/23/2012 | List of Recognized Exchanges and Associations (Regulated Entities Purposes) |
2/10/2012 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
2/10/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
2/3/2012 | Plain language rule re-write project – Dealer Member Margin Rules, Rules 5100 through 5800 |
2/2/2012 | Guidance Respecting the Implementation of Single-Stock Circuit Breakers |
2/2/2012 | Summary of Comments Received on Proposed Guidance Respecting the Implementation of Single-Stock Circuit Breakers |
2/1/2012 | Custodial Agreements |
1/27/2012 | Obtaining a Trading Exemption or Rule Interpretation |
1/27/2012 | Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread |
1/27/2012 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
1/9/2012 | Guidance on the Guarantee by a Participant of a Trade Price for a Client Order |
1/9/2012 | Summary of Comments Received Respecting Proposed Guidance on the Guarantee by a Participant of a Trade Price for a Client Order |
1/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
1/9/2012 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
1/9/2012 | Marketplace Disclosure for Trade Confirmations |
1/6/2012 | Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 |
1/3/2012 | Custodial Agreements |
12/15/2011 | Request for comments on draft Guidance Note “The Role of Compliance and Supervision” |
12/13/2011 | Request for Comments on Market-wide Circuit Breakers for the Canadian Marketplace |
12/9/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
12/9/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
12/7/2011 | Summary of comments received on the updated draft Guidance Notice MR0281: “Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence” |
12/7/2011 | Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence |
12/5/2011 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
12/2/2011 | Requirement to Disclose Membership in IIROC as Dealer Member |
12/2/2011 | Custodial Agreements |
11/23/2011 | List of Securities Eligible for Reduced Margin |
11/4/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
11/2/2011 | Annual Consolidated Compliance Report |
11/1/2011 | Custodial Agreements |
10/17/2011 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
10/12/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
10/12/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
10/7/2011 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
10/3/2011 | Custodial Agreements |
9/29/2011 | CSA issues Notice relating to National Instrument 31-103 |
9/23/2011 | List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts |
9/7/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
9/7/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
9/6/2011 | Foreign Exchange (FX) Margin Surcharge |
9/1/2011 | Over-the-counter securities fair pricing rule and confirmation disclosure requirements |
9/1/2011 | Custodial Agreements |
9/1/2011 | Guidance on fair pricing of over-the-counter securities |
8/26/2011 | Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations |
8/23/2011 | Acceptable Institutions and Acceptable Counterparties Database |
8/19/2011 | Foreign Exchange (FX) Margin Surcharge |
8/11/2011 | List of Securities Eligible for Reduced Margin |
8/10/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
8/10/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
8/8/2011 | Foreign Exchange (FX) Margin Surcharge |
8/2/2011 | Custodial Agreements (07-31-11) |
8/2/2011 | Foreign Exchange (FX) Margin Surcharge |
7/29/2011 | Provisions Respecting Dark Liquidity |
7/29/2011 | Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada
Staff Notice 23-311
Regulatory Approach to Dark Liquidity in the Canadian Market |
7/18/2011 | Foreign Exchange (FX) Margin Surcharge |
7/15/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
7/4/2011 | Proposed Guidance on the Guarantee by a Participant of a Trade Price for a Client Order |
7/4/2011 | Custodial Agreements |
6/15/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
6/15/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
6/1/2011 | Custodial Agreements |
5/27/2011 | Plain language rule re-write project - Debt Markets and Inter-Dealer Bond Brokers |
5/24/2011 | List of Securities Eligible for Reduced Margin |
5/19/2011 | Reminder Regarding the Reporting of Extended Failed Trades |
5/13/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
5/13/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
5/11/2011 | Request for comments on draft Guidance Note “Disclosure and approval of outside business activities” |
5/9/2011 | Foreign Exchange (FX) Margin Surcharge |
5/2/2011 | Custodial Agreements |
4/19/2011 | Foreign Exchange (FX) Margin Surcharge |
4/8/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
4/8/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
4/7/2011 | Supplement to the List of Securities Eligible for Reduced Margin |
3/30/2011 | Guidance Respecting the Use of Certain Order Types |
3/30/2011 | Summary of Comments Received on Proposed Guidance Respecting Order Types, Best Execution and Management of Orders |
3/30/2011 | Guidance on Best Execution and Management of Orders |
3/14/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
3/14/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
3/9/2011 | Foreign Exchange (FX) Margin Surcharge |
3/3/2011 | Designation of GMP Junior Oil and Gas Index |
3/1/2011 | Custodial Agreements |
2/28/2011 | Response to comments on proposed amendments to Form 1 to adopt IFRS for regulatory reporting purposes |
2/28/2011 | Amendments to Form 1 to adopt IFRS for regulatory reporting purposes |
2/25/2011 | Proposed Guidance on “Short Sale” and “Short-Marking Exempt” Order Designations |
2/25/2011 | Provisions Respecting Regulation of Short Sales and Failed Trades |
2/25/2011 | Price Movement and Short Sale Activity: The Case of the TSX Venture Exchange |
2/25/2011 | Trends in Trading Activity, Short Sales and Failed Trades |
2/25/2011 | Implementation Date for the Reporting of Extended Failed Trades |
2/25/2011 | Implementation Date for the Reporting of Trade Variations and Cancellations |
2/22/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
2/22/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
2/14/2011 | Amendments to Form 1 to adopt CAS for the audits of regulatory financial statements |
2/11/2011 | Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100 - 2700 |
2/7/2011 | Request for comments on the updated draft Guidance Notice MR0281: “Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence” |
2/3/2011 | List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars |
2/1/2011 | Summary of Comments Received Respecting Proposed Guidance
on “Locked” and “Crossed” Markets |
2/1/2011 | Guidance on “Locked” and “Crossed” Markets |
2/1/2011 | Custodial Agreements |
1/28/2011 | Provisions Respecting the Implementation of the Order Protection Rule |
1/26/2011 | Foreign Exchange (FX) Margin Surcharge |
1/19/2011 | Securities Listed on Foreign Exchanges Eligible for Margin |
1/14/2011 | Increase of Arbitration Award Limit to $500,000, Election on Cost Awards and Summary of Public Comments |
1/14/2011 | Withdrawal of Amendments to Form 1 to adopt CAS for the audits of regulatory financial statements |
1/13/2011 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
1/13/2011 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
1/13/2011 | Extension of Request for Comment - Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades |
1/7/2011 | Proposals to implement the core principles of the Client Relationship Model |
1/4/2011 | Custodial Agreements |
12/15/2010 | Proposed Guidance on Regulatory Intervention for the Variation or Cancellation of Trades |
12/14/2010 | Foreign Exchange (FX) Margin Surcharge |
12/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
12/3/2010 | Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies |
12/3/2010 | Withdrawal of Proposed Amendments to Continuing Jurisdiction Provisions |
12/1/2010 | Custodial Agreements |
11/30/2010 | Proposed Guidance Respecting Order Types, Best Execution and Management of Orders |
11/19/2010 | Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada, Position Paper 23-405, Dark Liquidity in the Canadian Market |
11/19/2010 | List of Securities Eligible for Reduced Margin |
11/19/2010 | List of Recognized Exchanges and Associations (Regulated Entities Purposes) |
11/18/2010 | Proposed Guidance Respecting the Implementation of Single- Stock Circuit Breakers |
11/12/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
11/12/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
11/2/2010 | Foreign Exchange (FX) Margin Surcharge |
11/1/2010 | Custodial Agreements |
10/22/2010 | Consolidated Compliance Report: Examination Findings in the 2009/2010 Examination Cycle and the Focus for the Current Examination Cycle |
10/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
10/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
10/8/2010 | Plain language rule re-write project –
Financial and Operational Rules, Rules 4100 through 4900 |
10/1/2010 | Custodial Agreements |
9/17/2010 | Temporary exemption from the requirement to provide relationship disclosure information prescribed by Section 14.2(1) of National Instrument 31-103, Registration Requirements and Exemptions |
9/16/2010 | List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities |
9/13/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
9/13/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
9/1/2010 | Custodial Agreements |
8/31/2010 | Principal Protected Notes Compliance Review: Findings, Requirements and Recommendations |
8/31/2010 | New Product Due Diligence Regulatory Review– Common Deficiencies and Requirements for Written Policies, Procedures and Controls |
8/27/2010 | Amendments to Form 1 to adopt IFRS for regulatory reporting purposes |
8/24/2010 | Summary of Public Comments relating to IIROC Arbitration Program Review and Request for Comments re: Award Limit of $500,000 and Costs Awards |
8/24/2010 | Foreign Exchange (FX) Margin Surcharge |
8/13/2010 | List of Securities Eligible for Reduced Margin |
8/10/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
8/10/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
8/3/2010 | Custodial Agreements |
7/28/2010 | Foreign Exchange (FX) Margin Surcharge |
7/28/2010 | List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities |
7/28/2010 | List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars |
7/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (14-07-10) |
7/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (14-07-10) |
7/6/2010 | Foreign Exchange (FX) Margin Surcharge (July 6, 2010) |
7/2/2010 | Custodial Agreements (30-06-10) |
6/18/2010 | Foreign Exchange (FX) Margin Surcharge (18-06-10) |
6/11/2010 | Request for Nominations to the Market Rules Advisory Committee |
6/11/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products |
6/11/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
6/4/2010 | Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements |
5/28/2010 | Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 - “Dark Pools, Dark Orders and Other Developments in Market Structure in Canada” and Next Steps |
5/28/2010 | Personal Financial Dealing and Outside Business Activities Proposals |
5/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products
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5/14/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
5/13/2010 | Update to Annotated Universal Market Integrity Rules |
5/7/2010 | List of Securities Eligible for Reduced Margin |
5/4/2010 | List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) |
5/3/2010 | Custodial Agreements (April) |
4/28/2010 | Guidance on “Insider” and “Significant Shareholder” Markers |
4/9/2010 | Trade Confirmation and Matching Requirements |
4/9/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (09-04-10) |
4/9/2010 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (09-04-10) |
4/6/2010 | “Principal Market” Determination for 2010 |
4/1/2010 | Custodial Agreements (31-03-10) |
3/26/2010 | Plain language rule re-write project – Proposed Rule 3100, Business Conduct and Proposed Rule 3200, Client Accounts |
3/26/2010 | Proposed Guidance on “Locked” and “Crossed” Markets |
3/22/2010 | Foreign Exchange (FX) Margin Surcharge (19-03-10) |
3/19/2010 | Foreign Currency Group |
3/12/2010 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (12-03-10) |
3/12/2010 | Registration Reform – Frequently Asked Questions |
3/10/2010 | Reporting of Changes to Business Models |
3/5/2010 | Forum to Discuss Consultation Paper 23-404 Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
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3/2/2010 | Custodial Agreements (28-02-10) |
2/22/2010 | List of Securities Eligible for Reduced Margin (22-02-10) |
2/12/2010 | IIROC Registration Reform Rule Amendments - Correction |
2/12/2010 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
2/12/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
2/5/2010 | Request for comments on draft “Requirements and Best Practices for distribution of non-arm’s length investment products” |
2/1/2010 | Custodial Agreements (31-01-10) |
1/19/2010 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
1/19/2010 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
1/8/2010 | Provisions Respecting Trading During Certain Securities Transactions |
1/4/2010 | Custodial Agreements (31-12-09) |
12/22/2009 | Best Practices for Head Office Supervision of Branch Offices |
12/21/2009 | Client Complaint Handling Rule and Guidance Note; and amendments to Dealer Member Rules 19, 37 and 2500 |
12/16/2009 | Review of IIROC Arbitration Program |
12/9/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
12/2/2009 | Custodial Agreements (30-11-09) |
11/25/2009 | List of Securities Eligible for Reduced Margin (25-11-09) |
11/13/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
11/13/2009 | Provisions Respecting Implementation of the Order Protection Rule |
11/13/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
11/2/2009 | Custodial Agreements (31-10-09) |
10/22/2009 | FX Margin Surcharge (21-10-09) |
10/14/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
10/2/2009 | Request for comments on draft Guidance Note: “Know-your-client and Suitability Guidelines” |
10/1/2009 | Custodial Agreements (30-09-09) |
9/30/2009 | Dark Pools, Dark Orders, and Other Developments on Market Structure in Canada |
9/30/2009 | List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) |
9/23/2009 | Change of Arbitration Administrator in Western Canada |
9/21/2009 | Acceptable Institutions and Acceptable Counterparties Database |
9/18/2009 | Bare Trustee Agreements |
9/16/2009 | List of Securities Eligible for Reduced Margin (Supplement) |
9/16/2009 | IIROC Dealer Member Rule Amendments to Implement the CSA’s Registration Reform Project |
9/10/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products |
9/1/2009 | Custodial Agreements (31-08-09) |
8/27/2009 | “Best Execution” and “Best Price” Obligations for Securities Listed on TSX Venture Exchange |
8/25/2009 | Canadian Investor Protection Fund |
8/19/2009 | Amendments to complaint handling requirements – status and implementation update |
8/18/2009 | List of Securities Eligible for Reduced Margin |
8/10/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (August 2009) |
8/10/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (August 2009) |
8/7/2009 | Custodial Agreements (31-07-09) |
7/30/2009 | Procedures for Handling Certain Designated Trades as Principal |
7/23/2009 | List of Entities Considered Suitable to Hold LBMA Gold and Silver Good Delivery Bars |
7/23/2009 | FX Margin Surcharge (23-07-09) |
7/17/2009 | IIROC Dealer Member Rule Amendments to Implement the CSA’s Registration Reform Project |
7/13/2009 | International Financial Reporting Standards (IFRS): Survey Results and Staff Recommendations
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7/10/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (07-10-09) |
7/10/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (07-10-09) |
7/2/2009 | Custodial Agreements (June) |
6/26/2009 | PROVISIONS RESPECTING THE ASSIGNMENT OF IDENTIFIERS AND SYMBOLS |
6/12/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (06-12-09) |
6/12/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (06-12-09) |
6/11/2009 | Best Practices for Credit Risk Management |
6/10/2009 | Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds |
6/8/2009 | FX Margin Surcharge (08-06-09) |
6/1/2009 | Custodial Agreements (01-05-09) |
5/25/2009 | Margin Requirements for Precious Metals – Amendments to IIROC Dealer Member Rules 100.2, 100.20, and 400.4, and Dealer Member Form 1 |
5/22/2009 | Trading in Securities of U.S. OTC Issuers - Proposed Amendments to Dealer Member Rule 1300.1 |
5/15/2009 | List of Securities Eligible for Reduced Margin |
5/6/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (06-05-09) |
5/4/2009 | Custodial Agreements (04-05-09) |
5/4/2009 | FX Margin Surcharge (04-05-09) |
5/1/2009 | Specific questions related to the use of the Bypass Order Marker |
5/1/2009 | Proposed amendments to simplify the Equity Margin Project |
4/24/2009 | Revisions to the definition of “securities related activities” |
4/24/2009 | Client Relationship Model |
4/22/2009 | Reminder of Disclosure Requirements for CDIC Coverage Eligibility for GIC Customer Holdings |
4/17/2009 | Specific Questions related to the “Best Price” Obligation |
4/17/2009 | Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements |
4/9/2009 | Guidance on Aspects of "Locked" and "Crossed" Markets |
4/7/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (07-04-09) |
4/7/2009 | List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (07-04-09) |
4/7/2009 | FX Margin Surcharge (07-04-09) |
4/3/2009 | Maintaining an effective compliance regime during economic and market downturns |
4/2/2009 | Custodial Agreements (31-03-09) |
3/23/2009 | Revised on March 25, 2009: Best practices for product due diligence |
3/20/2009 | Specific questions related to supervision of algorithmic trading |
3/3/2009 | Custodial Agreements (28-02-09) |
2/27/2009 | Acceptable Institutions and Acceptable Counterparties Database |
2/26/2009 | Deferral of implementation date for the reporting of extended failed trades and trade variations and cancellations |
2/23/2009 | IFRS Survey Questionnaire |
2/17/2009 | Response to comments – client complaint handling rule and guidance note and amendments to Dealer Member Rules 19, 37 and 2500 |
2/17/2009 | List of Securities Eligible for Reduced Margin |
2/13/2009 | Amendments to complaint handling requirements - client complaint handling rule and guidance note and amendments to Dealer Member Rules 19, 37 and 2500 |
2/13/2009 | Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps |
2/13/2009 | Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies |
2/9/2009 | FX Margin Surcharge (09-02-09) |
2/5/2009 | List of Approved Inter-Dealer Bond Brokers |
2/5/2009 | Approved inter-dealer bond brokers – Amendments to IIROC Dealer Member Form 1 |
2/4/2009 | List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) |
2/3/2009 | Custodial Agreements (31-01-09) |
2/3/2009 | Designation of Additional Exchange-Traded Funds |
2/3/2009 | Implementation Date for the Marking of Bypass Orders |
1/21/2009 | Important Amendments to Quebec Legislation affecting Margin Accounts |
1/15/2009 | Offsets between strip coupon positions and / or residual debt positions – Amendments to IIROC Dealer Member Rule 100.4E |
1/9/2009 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
1/9/2009 | “Principal Market” Determination for 2009 |
1/6/2009 | Custodial Agreements (31-12-08) |
12/30/2008 | Equity Margin Project - Timelines Delayed |
12/29/2008 | FX Margin Surcharge (12-24-08) |
12/19/2008 | Acceptable Clearing Corporations and Acceptable Securities
Locations – Amendments to IIROC Dealer Member Form 1 |
12/19/2008 | FX Margin Surcharge (19-12-08) |
12/19/2008 | List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) |
12/15/2008 | FX Margin Surcharge (15-12-08) |
12/1/2008 | Custodial Agreements (01-12-08) |
11/24/2008 | Securities Concentration Charge calculation option for Broad Based Index Securities - Amendments to IIROC Dealer Member Form 1 |
11/24/2008 | Elimination of IIROC Appeal Panel
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11/24/2008 | FX Margin Surcharge (24-11-08) |
11/14/2008 | FX Margin Surcharge (14-11-08) |
11/7/2008 | List of Acceptable Trade Matching Utilities for the purposes of IIROC Dealer Member Rule 800.49 relating to Broker to Broker Trade Matching |
11/7/2008 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
11/5/2008 | FX Margin Surcharge (05-11-08) |
11/4/2008 | FX Margin Surcharge (04-11-08) |
11/4/2008 | List of Securities Eligible for Reduced Margin |
10/31/2008 | FX Margin Surcharge (31-10-08) |
10/28/2008 | FX Margin Surcharge |
10/28/2008 | FX Margin Surcharge |
10/27/2008 | INTERIM PROVISIONS RESPECTING TRADE-THROUGH OBLIGATIONS |
10/27/2008 | PROVISIONS RESPECTING IMPLEMENTATION OF TRADE-THROUGH PROTECTION |
10/24/2008 | FX Margin Surcharge |
10/23/2008 | Extension of Request for Comments – Amendments to Implement the CSA Registration Reform Project |
10/20/2008 | FX Margin Surcharge |
10/17/2008 | FX Margin Surcharge |
10/16/2008 | FX Margin Surcharge |
10/15/2008 | FX Margin Surcharge |
10/15/2008 | PROVISIONS RESPECTING SHORT SALES AND FAILED TRADES |
10/10/2008 | FX Margin Surcharge |
10/9/2008 | FX Margin Surcharge |
10/7/2008 | FX Margin Surcharge |
10/7/2008 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
10/6/2008 | EXTENSION OF THE PROHIBITION ON SHORT SALES OF CERTAIN FINANCIAL SECTOR ISSUERS |
10/2/2008 | FX Margin Surcharge |
9/30/2008 | Adoption of International Financial Reporting Standards (IFRS) |
9/25/2008 | Acceptable Institutions and Acceptable Counterparties Database |
9/23/2008 | FX Margin Surcharge |
9/23/2008 | FX Margin Surcharge |
9/23/2008 | RESTATED REMINDER RESPECTING OBLIGATIONS IN THE CONDUCT OF SHORT SALES |
9/22/2008 | Third-Party ABCP Exchanged into MAV and Tracking Notes |
9/22/2008 | REMINDER RESPECTING OBLIGATIONS IN THE CONDUCT OF SHORT SALES |
9/19/2008 | List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities |
9/17/2008 | Extension of Request for Comment - Financial Planning Rule |
9/11/2008 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
9/10/2008 | FX Margin Surcharge |
9/8/2008 | Swap Arrangements involving Regulated Entities |
9/4/2008 | Margining of a Security that is not Covered in Dealer Member Rule 100 or Form 1 |
9/2/2008 | Custodial Agreements |
8/18/2008 | List of Securities Eligible for Reduced Margin |
8/13/2008 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
8/6/2008 | Securities Listed on Foreign Exchanges Eligible for Margin |
8/5/2008 | Custodial Agreements |
7/30/2008 | USER GUIDE FOR THE REGULATORY MARKER CORRECTION FORM |
7/21/2008 | DESIGNATION OF ADDITIONAL EXCHANGE-TRADED FUNDS |
7/18/2008 | PROVISIONS RESPECTING BEST EXECUTION |
7/15/2008 | NEW PROCEDURES FOR ORDER MARKER CORRECTIONS |
7/14/2008 | ENTERING ORDERS ON A PROTECTED MARKETPLACE THAT SUPPORTS HIDDEN ORDER TYPES |
7/11/2008 | ANNOTATED VERSION OF THE UNIVERSAL MARKET INTEGRITY RULES |
7/11/2008 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
7/2/2008 | Custodial Agreements |
6/16/2008 | Equity Margin Project – Timelines and Margin Rate File |
6/12/2008 | List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products |
6/3/2008 | Custodial Agreements |
6/2/2008 | INDUSTRY STANDARD AGREEMENTS |
5/16/2008 | MIN 2008-009 Request for Comments - Provisions Respecting the "Best Price" Obligation May 16, 2008 |
3/21/2008 | MIN 2008-005 - Request for Comments - Provisions Respecting Trading During Certain Securities Transactions, March 21, 2008 |
3/14/2008 | MIN 2008-004 - Request for Comments - Provisions Respecting the Assignment of Identifiers and Symbols, March 14, 2008 |
9/7/2007 | MIN 2007-017 Request for Comments Provisions Respecting Short Sales and Failed Trades, Sept. 7, 2007 |
4/20/2007 | MIN 2007-009 Request for Comments - Provisions Respecting Access to Marketplaces April 20, 2007 |