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Investment Industry Regulatory Organization of Canada
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#	Item
291	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
292	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
293	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-01 15:21:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
294	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-28 13:16:03 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
295	Microsoft Word - Final MOU May[removed]_clean_.DOC Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:28:50 Securities Commission of New Zealand Financial system Financial economics Government Canadian law Canadian securities regulation Investment Industry Regulatory Organization of Canada
296	Microsoft Word[removed]v1 - IIROC DELEGATION OF REGISTRATION ORDER - FINA… Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:28:06 Investment Industry Regulatory Organization of Canada Securities Finance United States Securities and Exchange Commission United States securities law Self-regulatory organization Securities Act Financial regulation Financial economics Financial system
297	Table of Contents Enforcement REPORT Protecting Investors and Fostering Fair, Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-04-15 10:26:04 Self-regulatory organizations Business Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Universal Market Integrity Rules Financial adviser Securities Commission of New Zealand Financial economics Investment Finance
298	IIROC Oversight Review Report 2009 Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:27:46 Business continuity planning Business Finance Culture Financial regulation Investment Industry Regulatory Organization of Canada Securities
299	Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-01-15 12:50:03 CNSX Financial economics Investment Industry Regulatory Organization of Canada TSX Venture Exchange Stock exchange Economy of Canada Canada Stock market
300	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

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