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List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (12-03-10)
List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (12-03-10)
In the matter of Carolann Steinhoff - Discipline
In the matter of David Martin – Settlement
In the matter of Ian Douglas Sauder – Discipline
More...
In the matter of Antonio Cornacchia – Settlement
In the matter of David Martin – Settlement
In the matter of Kianosh Rahmani – Leave to Appeal Dismissed
In the matter of Ian Douglas Sauder – Discipline
In the matter of Carolann Steinhoff - Discipline
In the matter of Tony D'Ugo - Penalty
Click here to register for: Forum to Discuss Consultation Paper 23-404 Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
March 2010 Webcast: IIROC Consolidated Compliance Report 2009 (English and French)
In the matter of Robert Bardsley – Settlement
In the matter of Patrick Larkin Belland - Settlement
CSA urges Canadians to “take the next step” to protect themselves from investment fraud
IIROC website survey
In the matter of Erica Fearn– Discipline
In the matter of Alan Ferguson Hackett – Discipline
IIROC Announces Implementation of New Complaint Handling Standards
Review of IIROC Arbitration Program
New Investor Brochure “Why IIROC Matters to you, the Investor” now available on IIROC Investors Website
Issued
Issue Name
Juris.
Expiry Date
Status
2010/02/12
Axiotron Corp.
ON
2010/02/27
Issued
2010/02/11
Roador Industries Ltd.
BC
None
Issued
2010/02/11
Alert B&C Corporation
QC
2010/02/26
Issued
2010/02/10
Roador Industries Ltd.
ON
2010/02/25
Issued
2010/02/09
CPLC MANAGEMENT GROUP LTD.
BC
None
Issued
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