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Exempt market dealer
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361	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: www.iiroc.ca Language: English - Date: 2013-09-04 10:00:09 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
362	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: www.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
363	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-09-25 14:55:06 Finance Business Securities Financial regulation Investment Industry Regulatory Organization of Canada Canadian securities regulation Exempt market dealer Late-2000s financial crisis Non-reporting issuer Financial economics Economics Investment
364	Microsoft Word - IIROC Strategic Plan - Jan[removed]As Approved by Board.doc Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-31 08:00:30 Investment Industry Regulatory Organization of Canada Securities Exempt market dealer Business Regulatory compliance Financial system Canadian securities regulation Financial economics Financial regulation Self-regulatory organizations
365	Rules Notice Request for Comments Dealer Member Rules Please distribute internally to: Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-03-27 12:51:04 Business Investment Financial services Exempt market dealer Short Canadian securities regulation Margin Broker-dealer Net capital rule Finance Financial economics Financial markets
366	IIROC Strategic Plan[removed] Updated May, 2014 IIROC[removed]Strategic Plan Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-06-02 12:56:05 Finance Business Investment Industry Regulatory Organization of Canada Securities Canadian Investor Protection Fund Exempt market dealer International Organization of Securities Commissions Canadian securities regulation Financial regulation Financial economics Investment
367	Microsoft Word - PAPERDOCS-#[removed]v2-08_22-502_Adoption_BCI_Registration_by_IIROC.DOC Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-06-18 15:05:21 Finance Financial system Investment 73rd United States Congress Securities Act United States Securities and Exchange Commission Investment Industry Regulatory Organization of Canada Exempt market dealer Investment Advisers Act Financial economics United States securities law Financial regulation
368	Frequently Asked Questions - NI[removed]Registration Requirements and Exemptions and Related Instruments Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:10:17 Stock market Exempt market dealer United States Securities and Exchange Commission Securities Accredited investor Securities Act Hedge fund Prospectus Security Financial economics Investment Finance
369	REPORT FROM THE PRESIDENT AND CEO This Annual Report outlines the steps we have taken over the past year to protect investors, foster fair, efficient, competitive capital markets and promote compliance Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-08-30 15:19:06 Business Self-regulatory organizations Investment Canadian law Canadian securities regulation Investment Industry Regulatory Organization of Canada Exempt market dealer International Organization of Securities Commissions High-frequency trading Financial economics Financial regulation Finance
370	Rule Notice Guidance Note Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-12-12 11:36:03 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

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