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Investment Industry Regulatory Organization of Canada
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#	Item
571	For further information, please contact: Jeff Kehoe Vice President, Enforcement[removed]removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:28:51 Investment Industry Regulatory Organization of Canada Securities Business MF Global Finance Financial economics Self-regulatory organizations Financial regulation
572	Education Notice Contact: Adrian Carter Director, Member Education Services[removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-06-04 10:56:03 Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities Electronic trading Trading room Financial economics Finance Financial markets
573	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-09-25 14:55:06 Finance Business Securities Financial regulation Investment Industry Regulatory Organization of Canada Canadian securities regulation Exempt market dealer Late-2000s financial crisis Non-reporting issuer Financial economics Economics Investment
574	Rules Notice Notice of Approval/Implementation Please distribute internally to: Internal Audit Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-05-29 11:01:05 Canadian securities regulation Constitutional amendment Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
575	Microsoft Word[removed]v1 - IIROC DELEGATION OF REGISTRATION ORDER - FINA… Add to Reading List Source URL: www.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
576	Universal Market Integrity Rules Rules & Policies PART 9 – TRADING HALTS, DELAYS AND SUSPENSIONS 9.1 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-09-04 11:54:05 Financial markets Finance Mathematical finance Trading halt Algorithmic trading Futures exchange Alternative Trading Systems Investment Industry Regulatory Organization of Canada Financial economics Stock market Investment
577	Microsoft Word - IIROC Strategic Plan - Jan[removed]As Approved by Board.doc Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-31 08:00:30 Investment Industry Regulatory Organization of Canada Securities Exempt market dealer Business Regulatory compliance Financial system Canadian securities regulation Financial economics Financial regulation Self-regulatory organizations
578	Re-publication of Proposed Guidance Respecting OES Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-06-23 10:46:08 Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Financial economics Financial system Finance Investment Financial regulation Securities Economy of Canada
579	Microsoft Word - IIROC Suspends Evergreen Capital Partners Inc membership.doc Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-31 07:58:14 Securities Financial economics Financial system Business Finance Investment Universal Market Integrity Rules Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
580	Investment Certifications and IIROC’s Glossary of Financial Certifications If an advisor represents that she or he has special expertise, a certification or a financial designation, you should make sure you understand Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-10-30 09:32:16 Financial economics Professional certification in finance Investment Industry Regulatory Organization of Canada Public key certificate Finance Canadian Investment Manager Financial adviser Standards Business Professional certification

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