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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
611	REPORT FROM THE PRESIDENT AND CEO This Annual Report outlines the steps we have taken over the past year to protect investors, foster fair, efficient, competitive capital markets and promote compliance Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-08-30 15:19:06 Business Self-regulatory organizations Investment Canadian law Canadian securities regulation Investment Industry Regulatory Organization of Canada Exempt market dealer International Organization of Securities Commissions High-frequency trading Financial economics Financial regulation Finance
612	IIROC_Report_Final_V26_ForWeb Add to Reading List Source URL: www.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
613	INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA MANAGEMENT DISCUSSION AND ANALYSIS Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-08-30 15:18:38 Financial services Securities Funds Economy of Canada Universal Market Integrity Rules Fee Investment Industry Regulatory Organization of Canada Net asset value Financial economics Investment Finance
614	SWJ Keynote Address – IIROC’s Regulatory Agenda Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-09-18 12:20:04 Economics Business Late-2000s financial crisis Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Financial adviser Flash Crash Financial economics Investment Finance
615	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: www.iiroc.ca Language: English - Date: 2014-03-26 16:48:40 Economy of Canada Universal Market Integrity Rules
616	ROSEMARY CHAN SENIOR VICE-PRESIDENT, MEMBER COMPLIANCE, GENERAL COUNSEL & CORPORATE SECRETARY KEITH PERSAUD SENIOR VICE-PRESIDENT, Add to Reading List Source URL: www.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
617	RÈGLEMENT N° 1 Règlement général de l’ORGANISME CANADIEN DE RÉGLEMENTATIONDU COMMERCE DES VALEURS MOBILIÈRES/INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (la Société) TABLE DES MATIÈRES Add to Reading List Source URL: www.ocrcvm.ca Language: French - Date: 2012-06-12 11:48:15
618	ANNOTATED UNIVERSAL MARKET INTEGRITY RULES Important Disclaimer The following annotated version of the Universal Market Integrity Rules (“UMIR”) has been prepared as an informal reference document by the Market Regu Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-03-05 11:48:19 Integrity Business Economy of Canada Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada
619	Rule Notice Guidance Note Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-12-12 11:36:03 Securities Universal Market Integrity Rules Canadian securities regulation Canada Regulatory compliance Regulatory risk differentiation Business Exempt market dealer Financial economics Financial regulation Investment Industry Regulatory Organization of Canada
620	IIROC Strategic Plan[removed] IIROC[removed]Strategic Plan January 2011 IIROC Mandate Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:28:23 Business Investment Finance Investment Industry Regulatory Organization of Canada Securities Financial Industry Regulatory Authority Exempt market dealer Regulatory compliance Canadian securities regulation Self-regulatory organizations Financial economics Financial regulation

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