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Exempt market dealer
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#	Item
141	Notice of Hearing[removed]Re: Blair Stonewall Jackson Roche Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2014-07-24 15:12:54 Mutual Fund Dealers Association Business Economics Finance Investment Exempt market dealer
142	Rules Notice Guidance Note Please distribute internally to: Institutional Legal and Compliance Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-07-04 11:15:04 Finance Universal Market Integrity Rules Direct market access Economics Financial markets Investment Exempt market dealer
143	Rules Notice Notice of Approval Please distribute internally to: Institutional Legal and Compliance Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-07-04 11:15:07 Business Stock market Self-regulatory organizations Investment Universal Market Integrity Rules Exempt market dealer Canadian securities regulation Electronic trading Direct market access Financial economics Financial markets Finance
144	CSA Notice Amendments to National Instrument[removed]Registration Requirements, Exemptions and Ongoing Registrant Obligations and to 31-103CP (Cost Disclosure, Performance Reporting and Client Statements) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-03-28 11:02:47 Business Securities Exempt market dealer SEC filings Prospectus Regulation S-K Registered Investment Advisor Financial economics Finance Investment
145	Policy Bulletin #0532-P - Proposed Amendments to NI[removed]Cost Disclosure, Performance Reporting and Client Statements) – Second Publication for Comment Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2012-06-15 14:31:28 Public comment Canadian Securities Administrators Investment Politics Law Exempt market dealer Canadian law Canadian securities regulation Government
146	SENT via email Monday June 24th, 2013 ATTENTION: The Ombudsman for Banking Services and Investments, Mr. T. Fleming, Director, Stakeholder Relations and Communications Add to Reading List Source URL: www.obsi.ca Language: English - Date: 2013-07-02 15:54:10 Financial economics Law Finance Investment Government officials Exempt market dealer Ombudsman Financial Ombudsman Service Investment Industry Regulatory Organization of Canada Dispute resolution Legal professions Conflict
147	CSA Staff Notice: 31-334 – CSA Review of Relationship Disclosure Practices Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-07-18 09:49:31 Money Financial economics Exempt market dealer Investment Policy Statement Soft dollar Conflict of interest Franchising Finance Business Investment
148	Table of Contents \| MDA \| Financials \| Security Insert ANNUAL REPORT 2012 – 2013 PROTECTING INVESTORS AND FOSTERING FAIR, EFFICIENT AND COMPETITIVE CAPITAL MARKETS ACROSS CANADA Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-09-04 10:25:04 Business Investment Self-regulatory organizations Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Exempt market dealer High-frequency trading International Organization of Securities Commissions Financial economics Finance Financial regulation
149	Rule Notice Guidance Note Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-12-09 17:36:04 Securities Universal Market Integrity Rules Canadian securities regulation Canada Regulatory compliance Regulatory risk differentiation Business Exempt market dealer Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
150	Microsoft Word - Review of Director Decision _Sawh and Trkulja_ - FINAL _01Aug12_ _redacted_.doc Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 18:04:47 Canadian securities regulation Business Financial adviser Mutual Fund Dealers Association Economics Finance Investment Exempt market dealer

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