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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
401	IN THE MATTER OF THE SECURITIES ACT (S.Y[removed]c.16 as amended) - and Relief from Certain Client Relationship Model – Phase 2 (CRM2) Requirements, Prescribed by National Instrument[removed]Registration Requirements, Exe Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:47:43 73rd United States Congress United States Securities and Exchange Commission United States securities law Finance Investment Industry Regulatory Organization of Canada Securities Securities Act Constitutional amendment Financial economics Financial regulation Financial system
402	Understanding financial certifications - How do you know if your advisor has the right skills to meet your investment needs? The Investment Industry Regulatory Organization of Canada (IIROC) is issuing this Investor Bull Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-11-28 16:16:05 Finance Economics Financial adviser Financial services Canadian securities regulation Professional certification in finance Investment Industry Regulatory Organization of Canada Investor education Professional certification Financial economics Investment Business
403	SECURITIES ACT (YUKON) SUPERINTENDENT’S ORDER[removed]Y.S.A. AND Transitional Relief from the Requirement to Provide Relationship Disclosure Information Prescribed by Section[removed]of NI[removed]for IIROC Member Firms Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-08 15:11:15 Financial economics Financial system Business Finance Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities
404	Moving Toward the Canadian Securities Regulatory Authority IIROC’s Financial Administrators Section Conference June 10, [removed]Victoria Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-05-08 14:54:02 Financial system Securities Self-regulatory organizations Financial economics Investment Industry Regulatory Organization of Canada Finance Capital market Regulation Securities Commission Financial regulation Canadian law Canadian securities regulation
405	Why IIROC Matters to You, the Investor The Investment Industry Regulatory Organization of Canada (IIROC) regulates all investment dealers in Canada. We set high quality regulatory and investment industry standards to pr Add to Reading List Source URL: iiroc.ca Language: English - Date: 2011-12-22 12:51:30 Economy of Canada Business Investment Industry Regulatory Organization of Canada Finance Ombudsman for Banking Services and Investments Canadian securities regulation Financial services Canadian Investment Manager Financial economics Banking in Canada Canadian Investor Protection Fund
406	IN THE MATTER OF THE SECURITIES ACT (S.Y[removed]c.16 as amended) - and Transitional Relief from the requirement to Provide Relationship Disclosure Information Prescribed by Section[removed]of NI[removed]for IIROC Member Fi Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:47:48 Financial regulation Investment Industry Regulatory Organization of Canada Securities Financial system Securities Act Franchising Business Financial economics United States securities law
407	Microsoft Word - MFDADOCS-#[removed]v1-MSN-0029_-_Joint_Regulatory_Notice.doc Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-03-04 15:38:35 Securities Financial economics Financial system Self-regulatory organization Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Finance Financial regulation Mutual Fund Dealers Association Economy of Canada
408	Moving Toward the Canadian Securities Regulatory Authority IIROC’s Financial Administrators Section Conference June 10, [removed]Victoria Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-08 13:58:51 Financial system Securities Self-regulatory organizations Financial economics Investment Industry Regulatory Organization of Canada Finance Capital market Regulation Securities Commission Financial regulation Canadian law Canadian securities regulation
409	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F2 Change or Surrender of Individual Categories Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:49:45 United States securities law Self-regulatory organizations Financial economics Ontario Securities Commission Autorité des marchés financiers British Columbia Securities Commission Regulation D Securities Commission Investment Industry Regulatory Organization of Canada Financial regulation United States Securities and Exchange Commission Financial system
410	June 1, 2008 INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA TRANSITION RULE NO. 1 MADE PURSUANT TO BY-LAW 13.1 OF THE CORPORATION 1.1 Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-03-26 16:48:40 Economy of Canada Universal Market Integrity Rules

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