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Investment Industry Regulatory Organization of Canada
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521	Microsoft Word - CSA Enforcement Report-April 1, 2006 to September 30, 2006… Add to Reading List Source URL: www.securities-administrators.ca Language: English - Date: 2011-09-29 13:23:01 Canadian law Canadian securities regulation Canadian Securities Administrators British Columbia Securities Commission Investment Industry Regulatory Organization of Canada Securities Commission of New Zealand Securities regulation in the United States Ontario Securities Commission Insider trading Financial regulation Financial system Canada
522	Microsoft Word - Report on Enforcement Activities[removed]to[removed]Fi… Add to Reading List Source URL: www.securities-administrators.ca Language: English - Date: 2011-09-29 13:23:01 Canadian securities regulation Financial system Economics Canadian Securities Administrators British Columbia Securities Commission Ontario Securities Commission Investment Industry Regulatory Organization of Canada Investor education Securities Commission of New Zealand Financial regulation Canada Canadian law
523	Rules Notice Concept Paper Request for Comments Dealer Member Rules Please distribute internally to: Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-04 17:39:08 Self-regulatory organizations United States securities law Financial regulation Financial services Exempt market dealer Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Financial economics Finance Business
524	Microsoft Word - Report on Enforcement Activities[removed]to[removed] - … Add to Reading List Source URL: www.securities-administrators.ca Language: English - Date: 2011-09-29 13:23:01 Canadian law Canadian securities regulation Canadian Securities Administrators Securities Investment Industry Regulatory Organization of Canada Securities Commission of New Zealand Insider trading Financial system Financial regulation Financial economics
525	Microsoft Word - CSA Enforcement Report-April[removed]to September[removed]d… Add to Reading List Source URL: www.securities-administrators.ca Language: English - Date: 2011-09-29 13:23:01 Canadian law Canadian securities regulation Canadian Securities Administrators British Columbia Securities Commission Ontario Securities Commission Investment Industry Regulatory Organization of Canada Securities Commission of New Zealand Securities regulation in the United States Securities Commission Financial regulation Financial system Canada
526	Microsoft Word - FI[removed] Review Report.doc Add to Reading List Source URL: foipop.ns.ca Language: English - Date: 2013-05-29 13:32:43 Ethics Freedom of Information Act Right to Information Act Public records Privacy Act Investment Industry Regulatory Organization of Canada Freedom of information legislation Law Privacy
527	Microsoft Word - Report on Enforcement Activities[removed]to[removed]fi. Add to Reading List Source URL: www.securities-administrators.ca Language: English - Date: 2011-09-29 13:23:01 Canadian securities regulation Financial system Investment Industry Regulatory Organization of Canada Canadian Securities Administrators British Columbia Securities Commission Government Ontario Securities Commission Securities regulation in the United States Securities Commission of New Zealand Financial regulation Canada Canadian law
528	CSA Staff Notice[removed]Follow-up to Broker Dealer Registration in the Exempt Market Dealer Category February 7, 2013 Introduction On September 2, 2011, the Canadian Securities Administrators (CSA or we) published CSA Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-04 17:39:25 Business Investment Exempt market dealer Securities United States securities law Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Broker-dealer Financial economics Self-regulatory organizations Finance
529	The HOT Study Phases I and II of IIROC’s Study of High Frequency Trading Activity on Canadian Equity Marketplaces Trading Review and Analysis – Analytics Group Investment Industry Regulatory Organization of Canada Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-12-12 13:50:05 Investment High-frequency trading Algorithmic trading Direct market access Trading strategy Dark liquidity Electronic trading platform Investment Industry Regulatory Organization of Canada Electronic trading Financial markets Financial economics Finance
530	DELEGATION OF REGISTRATION AUTHORITY BY THE SUPERINTENDENT OF SECURITIES OF NEWFOUNDLAND AND LABRADOR TO THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA ("IIROC") On October 1, 2007, in order to simplify the r Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-11 15:27:23 Securities Financial system Finance United States securities law Securities Act Newfoundland and Labrador Canadian Investment Manager Financial economics Financial regulation Investment Industry Regulatory Organization of Canada

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