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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
631	Microsoft Word - PAPERDOCS-#[removed]v2-08_22-502_Adoption_BCI_Registration_by_IIROC.DOC Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-11 15:26:39 Finance Financial system Investment 73rd United States Congress Securities Act United States Securities and Exchange Commission Investment Industry Regulatory Organization of Canada Exempt market dealer Investment Advisers Act Financial economics United States securities law Financial regulation
632	An Investor’s Guide to Making a Complaint Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada. Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-03-08 15:17:18 Legal documents Marketing Ombudsman for Banking Services and Investments Self-regulatory organizations Mediation Investment Industry Regulatory Organization of Canada Arbitration Autorité des marchés financiers Ombudsman Legal terms Law Dispute resolution
633	enforcement_process_chart.indd Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-04-15 11:51:04 Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
634	Rules Notice Request for Comments UMIR and Dealer Member Rules Please distribute internally to: Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-04-24 09:56:05 Economy of Canada Universal Market Integrity Rules Securities Investment Industry Regulatory Organization of Canada Electronic trading Financial economics Investment Financial system
635	Education Notice Contact: Adrian Carter Director, Educational Services[removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-12-19 10:41:04 Regulatory compliance Webcast Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
636	TRENDS IN TRADING ACTIVITY, SHORT SALES AND FAILED TRADES For the period May 1, 2007 to April 30, 2010 Market Regulation Policy, Investment Industry Regulatory Organization of Canada, Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-22 15:33:06 Financial regulation Financial markets Short selling Stock market Naked short selling Short Exchange-traded fund Universal Market Integrity Rules Algorithmic trading Financial economics Finance Investment
637	How We Work IIROC’s regional roots run deep and its district Councils and policy RAISING THE BAR Vancouver Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-02-01 15:12:51 Investment Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian Investor Protection Fund Exempt market dealer Canadian securities regulation MF Global Financial economics Business Finance
638	Rules Notice Request for Comments UMIR and Dealer Member Rules Please distribute internally to: Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-04-24 09:56:04 Economy of Canada Universal Market Integrity Rules Securities Investment Industry Regulatory Organization of Canada Electronic trading Financial economics Investment Financial system
639	Microsoft Word - 303915F3.doc Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-06-18 15:05:19 Business Financial system Investment Industry Regulatory Organization of Canada Securities Finance Investment Canadian securities regulation Securities Commission Canadian Securities Administrators Financial regulation Financial economics Self-regulatory organizations
640	ANNUAL REPORT 2009–2010 Focusing on our Stakeholders IIROC – Key Facts Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-02-01 15:12:57 Financial economics Finance Investment Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Universal Market Integrity Rules Financial Industry Regulatory Authority International Organization of Securities Commissions Business Self-regulatory organizations Financial regulation

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