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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
361	Microsoft Word - PAPERDOCS-#[removed]v2-08_22-502_Adoption_BCI_Registration_by_IIROC.DOC Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:26:39 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
362	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-13 16:06:04 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
363	Summary of Comments Received on Proposed Guidance Respecting the Expansion of Single-Stock Circuit Breakers Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-10 10:56:04 Investment Mathematical finance Financial regulation Stock market Universal Market Integrity Rules Trading halt Investment Industry Regulatory Organization of Canada Exchange-traded fund Short Financial economics Financial markets Finance
364	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-31 16:56:05 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
365	Administrative General Please distribute internally to: Institutional Legal and Compliance Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-12-09 15:41:04 United States Securities and Exchange Commission Business Securities Financial system Canadian securities regulation Investment Industry Regulatory Organization of Canada Universal Market Integrity Rules Securities Act Exempt market dealer Financial economics Canadian Investment Manager Professional certification in finance
366	ROSEMARY CHAN SENIOR VICE-PRESIDENT, MEMBER COMPLIANCE, GENERAL COUNSEL & CORPORATE SECRETARY KEITH PERSAUD SENIOR VICE-PRESIDENT, Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-08-30 15:15:41 Financial markets Mathematical finance Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Financial adviser High-frequency trading Algorithmic trading Flash Crash Financial economics Finance Investment
367	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-07 12:51:06 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Finance Investment Self-regulatory organizations Securities Financial regulation
368	IIROC_Report_Final_V26_ForWeb Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-03-28 17:05:05 Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Securities Business Canadian securities regulation Financial adviser Securities regulation in the United States Financial economics Finance Investment
369	Guidance Respecting the Expansion of Single-Stock Circuit Breakers Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-25 10:21:07 Internet privacy Financial regulation Aviation Oneworld Universal Market Integrity Rules Secure communication Investment Industry Regulatory Organization of Canada Mail Computing Email Internet Electronic documents
370	INVESTMENT INDUSTRY REGULATORY Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-05-08 12:08:23 Corporate governance Management Investment Industry Regulatory Organization of Canada Canadian securities regulation Internal control Finance Private law Auditing Corporations law Business

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