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Industry Notices

Rules

Release Date	Title
6/13/2013	Disclosure and approval of outside business activities
6/13/2013	Personal financial dealing and outside business activities
6/10/2013	List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
6/3/2013	Custodial Agreements
5/28/2013	List of Securities Eligible for Reduced Margin
5/21/2013	List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts
5/10/2013	List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities
5/8/2013	List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products
5/1/2013	Custodial Agreements
4/25/2013	List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars

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Member

Release Date	Title
6/18/2013	Sora Group Wealth Advisors Inc.
5/24/2013	McLean & Partners Wealth Management Ltd.
5/3/2013	Fraser Mackenzie Limited
4/29/2013	optionsXpress Canada Corp.
4/25/2013	Jory Capital Inc.
4/1/2013	GHS Securities Canada Ltd.
4/1/2013	Versant Partners Inc.
4/1/2013	Castleton Commodities Canada Securities LP
4/1/2013	MBT Global Trading, LP
3/12/2013	Merlin Canada Ltd.

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Marketplace

Release Date	Title
4/8/2013	Market Share Report for the First Quarter of 2013
2/5/2013	CX2 Canada ATS Launch
1/15/2013	Market Share Report for the Fourth Quarter of 2012
9/28/2012	Order Types Available to Participants for Entry on Liquidnet Canada Inc.
7/17/2012	Market Share Report for the Second Quarter of 2012
4/27/2012	SIGMA X Canada to Cease Operations as a Marketplace
4/18/2012	Market Share Report for the First Quarter of 2012
3/21/2012	Launch Date for Trading on Alpha Exchange Inc.
1/16/2012	Market Share Report for the Fourth Quarter of 2011
10/17/2011	Launch Date for Trading Listed Securities on Sigma X Canada

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Enforcement

Release Date	Title
6/18/2013	In the Matter of Craig Hodge – Discipline decision – Liability and Penalty	Related Documents
6/18/2013	In the Matter of Scotia Capital Inc. – Settlement Accepted	Related Documents
6/17/2013	In the Matter of Roger Michael Biduk – Penalty Hearing	Related Documents
6/17/2013	In the Matter of Traian Moldovan and Robert Bruce Holmes – Appearance to set a hearing date	Related Documents
6/14/2013	In the Matter of Guylaine Raby – Settlement Accepted	Related Documents
6/12/2013	In the Matter of Charles B. Floyd and James Gordon McDonald – Penalty Decision	Related Documents
6/12/2013	In the Matter of Roger Michael Biduk– Adjournment	Related Documents
6/7/2013	In the Matter of David Guy Schayes – Adjournment	Related Documents
6/7/2013	In the Matter of John Winston Lang – Settlement Accepted	Related Documents
6/7/2013	In the Matter of Yufeng Zhang – Settlement Accepted	Related Documents

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Education

Release Date	Title
6/13/2013	New Webcast: The Use of Business Titles and Financial Designations by Retail Advisors
2/25/2013	2013 Québec Breakfast Seminar Saint James Club of Montréal (Seminar in French)
1/10/2013	January 2013 Webcast: Recording of the Live Tips for Traders, Montreal – November 29, 2012
12/5/2012	Webcast: Third Party Electronic Access - Proposed IIROC Rules Information Session
11/22/2012	2012-2013 Québec Breakfast Seminars Saint James Club of Montréal – 7:30 a.m. to 9:00 a.m. (Seminar in French)
11/21/2012	Annual Compliance & Legal Section (CLS) Compliance Conference
11/7/2012	‘Tips for Traders’ Montreal – November 29, 2012
10/25/2012	Direct Electronic Access - Proposed IIROC Rules Information Sessions
10/4/2012	New Webcasts: Client Relationship Model Implementation
9/20/2012	Tips for Traders Vancouver – October 11, 2012

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Admin

Release Date	Title
6/4/2013	Exemptions Granted by IIROC for the Calendar Year 2012
5/2/2013	IIROC Study of High Frequency Trading – Phase III – Request for Assistance
4/4/2013	District Annual General Meetings
1/10/2013	IIROC review of CDOR supervisory practices
12/14/2012	Regulatory Filing Deadlines
12/12/2012	IIROC Study of High Frequency Trading – Request for Assistance	Comments
12/12/2012	The HOT Study: Phases I and II of IIROC’s Study of High Frequency Trading Activity on Canadian Equity Marketplaces
12/5/2012	Merrill Lynch Canada Inc. and its affiliate withdraw from Canadian Dealer Offered Rate (CDOR) setting process
11/30/2012	IIROC NOMINATION TO THE BOARD OF CIPF
9/24/2012	Industry testing of business continuity plans

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