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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
11	Rules Notice Technical UMIR Please distribute internally to: Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-07-08 09:26:08 Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Stock market Economy Universal Market Integrity Rules Security Business
12	Enforcement Notice HearingFor further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-07-13 09:31:04 Financial regulation Investment Industry Regulatory Organization of Canada Business Economy
13	Rule Notice Technical Please distribute internally to: Operations Regulatory Accounting Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-07-04 16:01:03 Economy Business Contract law Financial regulation Investment Industry Regulatory Organization of Canada Law Due diligence Franchising
14	OSC Bulletin: July 28, 2016 Volume 39, Issue 30 Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2016-07-28 15:31:45 Financial regulation Economy 73rd United States Congress U.S. Securities and Exchange Commission Ontario Securities Commission Securities regulation in the United States Securities Act Security Investment Industry Regulatory Organization of Canada
15	Enforcement Notice DecisionFor further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-07-13 14:31:06 Financial regulation Investment Industry Regulatory Organization of Canada Economy Business Franchising
16	Enforcement Notice HearingFor further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-07-08 10:11:04 Financial regulation Investment Industry Regulatory Organization of Canada
17	Amendments to facilitate the investment industry’s move from a T+3 to T+2 settlement cycle Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-07-28 14:56:02 Financial markets Self-regulatory organizations Financial regulation Central Securities Depositories Systemic risk Investment Industry Regulatory Organization of Canada Depository Trust & Clearing Corporation T+3 Futures contract Clearing Securities lending Settlement
18	The Ontario Securities Commission PROPOSED AMENDMENTS TO NIAND ITS POLICY, NIAND OSC RULEINCLUDING RELATED FORMS) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2016-07-07 10:47:31 Exempt market dealer Investment 73rd United States Congress U.S. Securities and Exchange Commission Canadian securities regulation Securities Act Canadian Securities Administrators Mutual Fund Dealers Association Investment Industry Regulatory Organization of Canada Prospectus Non-reporting issuer Ombudsman for Banking Services and Investments
19	Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-06-23 15:16:02 Financial markets Financial regulation Investment Industry Regulatory Organization of Canada Canadian Securities Administrators Toronto Stock Exchange Trading room NASDAQ Algorithmic trading Security
20	Enforcement Notice HearingFor further information, please contact: Enforcement Contact: Claudyne Bienvenu Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-08-04 11:01:03 Financial regulation Investment Industry Regulatory Organization of Canada