Investment Industry Regulatory Organization of Canada - PDFSEARCH.IO - Document Search Engine

Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
601	Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-07-09 09:25:03 Financial economics Investment Industry Regulatory Organization of Canada Stock market TSX Venture Exchange Economy of Canada Canada CNSX
602	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-10 16:26:08 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
603	Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-01-09 10:41:03 Investment Industry Regulatory Organization of Canada Securities Stock market TSX Venture Exchange Canadian securities regulation Financial economics Economy of Canada Canada Financial regulation
604	FACT SHEET November 2013 IIROC Financial Literacy and Investor Education Initiatives Mandate • Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-11-01 10:20:03 Financial economics Economics Investor education Social and Enterprise Development Innovations Business Investment Canadian Investment Manager Financial regulation Investment Industry Regulatory Organization of Canada Securities
605	Microsoft Word[removed]v1 - IIROC DELEGATION OF REGISTRATION ORDER - FINA… Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-06-18 15:05:21 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
606	Director Gerry J. O’Mahoney Category Biography Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-09-11 09:53:53 Investment Industry Regulatory Organization of Canada Canada Investment Economy of Canada TD Waterhouse Toronto-Dominion Bank
607	Rules Notice Technical UMIR Contact: Kevin McCoy Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-04-01 14:30:04 Economy of the United States New York Stock Exchange Business Universal Market Integrity Rules Dow Jones Industrial Average Trading halt Circuit breaker Investment Industry Regulatory Organization of Canada Trading curb Stock market Financial economics Investment
608	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (“IIROC”) CORPORATE GOVERNANCE COMMITTEE CHARTER Mandate The Corporate Governance Committee (the “Committee”) is appointed by the Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-05-13 16:33:17 Management Corporate governance Private law Structure Board of directors Governance Office of Congressional Ethics Audit committee Corporations law Committees Business
609	IN THE MATTER OF THE SECURITIES ACT, S.N.B. 2004, c. S-5.5 AS AMENDED (the ACT) AND IN THE MATTER OF INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-11 15:28:28 Investment Industry Regulatory Organization of Canada Securities Financial system Finance United States securities law Autorité des marchés financiers Securities Commission Securities Act Self-regulatory organizations Financial economics Financial regulation
610	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-03-21 15:30:03 Financial economics Financial system Business Finance Investment Financial regulation Investment Industry Regulatory Organization of Canada Securities

UPDATE