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Dealer Request for Comments



Release DateTitle
2/26/2015Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1
12/18/2014Proposed amendments to Dealer Member Rules 100 and 1200 and to Form 1 relating to the client free credit cash usage limit, client free credit segregation requirements, and securities concentration test
12/18/2014Guidance Respecting Underwriting Due Diligence – Notice of issuance of final guidance note and summary response to comments received
11/13/2014Revised Requirement to Disclose Membership in IIROC as a Dealer Member Comments Received
11/6/2014Proposed amendments to Dealer Member Rule section 6.6 and corollary amendments to section 1.1 and subsection 16.2(iv) relating to the cross-guarantee requirement Comments Received
9/18/2014Client Relationship Model – Phase 2 Performance reporting and fee / charge disclosure amendments to Dealer Member Rule 200 and to Form 1 that are scheduled to become effective on either July 15, 2015 or July 15, 2016 Comments Received
6/26/2014Disclosure to clients of Dealer Members’ financial position
6/11/2014Margin requirements for debt security obligations of supranational entities
4/24/2014Re-Publication of Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces
4/24/2014Re-Publication of Proposed Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces Comments Received
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