Dealer Member Regulatory Resources


Dealer Member Rules (current until December 30, 2021) Alphabetical Index Dealer Member Rule Book full text version Rules Rule 1 - Interpretation and Effect Rule 1 - Interpretation and Effect Rule 1 - Interpretation and Effect - Related Documents Former Rule 1 - Interpretation and Effect (as at August 31, 2016) Rule 2 - Membership Rule 2 - Membership Rule 2 - Membership - Related Documents Rule 3 - Entrance, Annual and Other Fees Rule 3 - Entrance, Annual and Other Fees Rule 3 - Entrance, Annual and Other Fees - Related Documents Rule 4 - Business Locations Rule 4 - Business Locations Rule 4 - Business Locations - Related Documents Rule 5 - Ownership of Dealer Member Securities Rule 5 - Ownership of Dealer Member Securities Rule 5 - Ownership of Dealer Member Securities - Related Documents Rule 6 - Dealer Member Holding Companies, Related Companies and Diversification Rule 6 - Dealer Member Holding Companies, Related Companies and Diversification Rule 6 - Dealer Member Holding Companies, Related Companies and Diversification - Related Documents Rule 7 - Dealer Member Directors and Executives Rule 7 - Dealer Member Directors and Executives Rule 7 - Dealer Member Directors and Executives - Related Documents Rule 8 - Dealer Member Resignations, Amalgamations, etc. Rule 8 - Dealer Member Resignations, Amalgamations, etc. Rule 8 - Dealer Member Resignations, Amalgamations, etc. - Related Documents Rule 9 - District Dealer Members Rule 9 - District Dealer Members Rule 9 - District Dealer Members - Related Documents Rule 10 - National Advisory Committee Rule 10 - National Advisory Committee Rule 10 - National Advisory Committee - Related Documents Rule 11 - District Councils and Meetings Rule 11 - District Councils and Meetings Rule 11 - District Councils and Meetings - Related Documents Rule 12 - Officers and their Duties Rule 13 - Election of District Council Members Rule 14 - Meetings of the Corporation Rule 14 - Meetings of the Corporation Rule 14 - Meetings of the Corporation - Related Documents Rule 15 - Corporation Accounts and Funds and Execution of Instruments Rule 15 - Corporation Accounts and Funds and Execution of Instruments Rule 15 - Corporation Accounts and Funds and Execution of Instruments - Related Documents Rule 16 - Dealer Members' Auditors and Financial Reporting Rule 16 - Dealer Members' Auditors and Financial Reporting Rule 16 - Dealer Members' Auditors and Financial Reporting - Related Documents Rule 17 - Dealer Member Minimum Capital, Conduct of Business and Insurance Rule 17 - Dealer Member Minimum Capital, Conduct of Business and Insurance Rule 17 - Dealer Member Minimum Capital, Conduct of Business and Insurance - Related Documents Rule 18 - Registered Representatives and Investment Representatives Rule 18 - Registered Representatives and Investment Representatives Rule 18 - Registered Representatives and Investment Representatives - Related Documents Rule 19 - Provision of Information Rule 19 - Provision of Information Rule 19 - Provision of Information - Related Documents Former Rule 19 - Examinations and Investigations (as at August 31, 2016) Former Rule 19 - Examinations and Investigations - Related Documents (as at August 31, 2016) Rule 20 - Corporation Hearing Processes Rule 20 - Corporation Hearing Processes Rule 20 - Corporation Hearing Processes - Related Documents Former Rule 20 - Corporation Hearing Processes (as at August 31, 2016) Rule 21 - No Actions Against the Corporation Rule 21 - No Actions Against the Corporation Rule 21 - No Actions Against the Corporation - Related Documents Rule 22 - Use of Name or Logo: Liabilities: Claims Rule 22 - Use of Name or Logo: Liabilities: Claims Rule 22 - Use of Name or Logo: Liabilities: Claims - Related Documents Rule 23 - Notices Rule 24 - Rules and Forms Rule 25 - Indemnification Rule 26 - Sections of the Corporation Rule 26 - Sections of the Corporation Rule 26 - Sections of the Corporation - Related Documents Rule 27 - Dealer Members' Rights Respecting Clients' Indebtedness Rule 28 - Discretionary Fund Rule 28 - Discretionary Fund Rule 28 - Discretionary Fund - Related Documents Rule 29 - Business Conduct Rule 29 - Business Conduct Rule 29 - Business Conduct - Related Documents Former Rule 29 - Business Conduct (as at August 31, 2016) Rule 30 - Early Warning System Rule 30 - Early Warning System Rule 30 - Early Warning System - Related Documents Former Rule 30 - Early Warning System (as at August 31, 2016) Rule 31 - Inactive Status Rule 32 - Rights Offerings Rule 33 - Review by Securities Commissions Rule 33 - Review by Securities Commissions Rule 33 - Review by Securities Commissions - Related Documents Rule 34 - Rulings Rule 35 - Introducing Broker/Carrying Broker Arrangements Rule 35 - Introducing Broker/Carrying Broker Arrangements Rule 35 - Introducing Broker/Carrying Broker Arrangements - Related Documents Former Rule 35 - Introducing Broker/Carrying Broker Arrangements (as at August 31, 2016) Rule 36 - Inter-Dealer Bond Brokerage Systems Rule 37 - Alternative Dispute Resolution Rule 37 - Alternative Dispute Resolution Rule 37 - Alternative Dispute Resolution - Related Documents Rule 38 - Compliance and Supervision Rule 38 - Compliance and Supervision Rule 38 - Compliance and Supervision - Related Documents Rule 39 - Principal and Agent Rule 39 - Principal and Agent Rule 39 - Principal and Agent - Related Documents Rule 40 - Individual Approvals, Notifications and Fees and the National Registration Database Rule 40 - Individual Approvals, Notifications and Fees and the National Registration Database Rule 40 - Individual Approvals, Notifications and Fees and the National Registration Database - Related Documents Rule 41 - Canadian Investor Protection Fund Rule 41 - Canadian Investor Protection Fund Rule 41 - Canadian Investor Protection Fund - Related Documents Rule 42 - Conflicts of Interest Rule 42 - Conflicts of Interest Rule 42 - Conflicts of Interest - Related Documents Rule 43 - Personal Financial Dealings with Clients Rule 43 - Personal Financial Dealings with Clients Rule 43 - Personal Financial Dealings with Clients - Related Documents Rule 100 - Margin Requirements Rule 100 - Margin Requirements Rule 100 - Margin Requirements - Related Documents Rule 200 - Minimum Records Rule 200 - Minimum Records Rule 200 - Minimum Records - Related Documents Rule 300 - Audit Requirements Rule 300 - Audit Requirements Rule 300 - Audit Requirements - Related Documents Rule 400 - Insurance Rule 400 - Insurance Rule 400 - Insurance - Related Documents Rule 500 - Traders Rule 500 - Traders Rule 500 - Traders - Related Documents Rule 600 - Suspended Members Rule 700 - Use of Name or Logo of the Corporation Rule 700 - Use of Name or Logo of the Corporation Rule 700 - Use of Name or Logo of the Corporation - Related Documents Rule 800 - Trading and Delivery Rule 800 - Trading and Delivery Rule 800 - Trading and Delivery - Related Documents Rule 900 - Service Charge on Rights Rule 1000 (Deleted) Rule 1100 - Calculating Price on a Yield Basis Rule 1200 - Clients' Free Credit Balances Rule 1200 - Clients' Free Credit Balances Rule 1200 - Clients' Free Credit Balances - Related Documents Rule 1300 - Supervision of Accounts Rule 1300 - Supervision of Accounts Rule 1300 - Supervision of Accounts - Related Documents Rule 1400 - Disclosure to Clients of Members' Financial Condition and Other Information Rule 1500 - Conduct and Practices Handbook for Securities Industry Professionals Rule 1500 - Conduct and Practices Handbook for Securities Industry Professionals Rule 1500 - Conduct and Practices Handbook for Securities Industry Professionals - Related Documents Rule 1600 - Money Market Operations Rule 1600 - Money Market Operations Rule 1600 - Money Market Operations - Related Documents Rule 1700 - Municipal Debentures - Cost of Borrowing Rule 1800 - Commodity Futures Contracts and Options Rule 1800 - Commodity Futures Contracts and Options Rule 1800 - Commodity Futures Contracts and Options - Related Documents Rule 1900 - Options Rule 1900 - Options Rule 1900 - Options - Related Documents Rule 2000 - Segregation Requirements Rule 2000 - Segregation Requirements Rule 2000 - Segregation Requirements - Related Documents Rule 2100 - Inter-Dealer Bond Brokerage Systems Rule 2100 - Inter-Dealer Bond Brokerage Systems Rule 2100 - Inter-Dealer Bond Brokerage Systems - Related Documents Rule 2200 - Cash and Securities Loan Transactions Rule 2200 - Cash and Securities Loan Transactions Rule 2200 - Cash and Securities Loan Transactions - Related Documents Rule 2300 - Account Transfers Rule 2300 - Account Transfers Rule 2300 - Account Transfers - Related Documents Rule 2400 - Relationships Between Dealer Members and Financial Services Entities: Sharing of Office Premises Rule 2400 - Relationships Between Dealer Members and Financial Services Entities: Sharing of Office Premises Rule 2400 - Relationships Between Dealer Members and Financial Services Entities: Sharing of Office Premises - Related Documents Rule 2500 - Minimum Standards for Retail Customer Account Supervision Rule 2500 - Minimum Standards for Retail Customer Account Supervision Rule 2500 - Minimum Standards for Retail Customer Account Supervision - Related Documents Rule 2500B - Client Complaint Handling Rule 2500B - Client Complaint Handling Rule 2500B - Client Complaint Handling - Related Documents Rule 2600 - Internal Control Policy Statements Rule 2600 - Internal Control Policy Statements Rule 2600 - Internal Control Policy Statements - Related Documents Rule 2700 - Minimum Standards for Institutional Customer Account Opening, Operation and Supervision Rule 2700 - Minimum Standards for Institutional Customer Account Opening, Operation and Supervision Rule 2700 - Minimum Standards for Institutional Customer Account Opening, Operation and Supervision - Related Documents Rule 2800 - Code of Conduct for Corporation Dealer Member Firms Trading in Wholesale Domestic Debt Markets Rule 2800 - Code of Conduct for Corporation Dealer Member Firms Trading in Wholesale Domestic Debt Markets Rule 2800 - Code of Conduct for Corporation Dealer Member Firms Trading in Wholesale Domestic Debt Markets - Related Documents Rule 2800B - Retail Debt Market Trading and Supervision Rule 2800B - Retail Debt Market Trading and Supervision Rule 2800B - Retail Debt Market Trading and Supervision - Related Documents Rule 2800C - Transaction Reporting for Debt Securities Rule 2800C - Transaction Reporting for Debt Securities Rule 2800C - Transaction Reporting for Debt Securities - Related Documents Rule 2900 - Proficiency and Education Rule 2900 - Proficiency and Education Rule 2900 - Proficiency and Education - Related Documents Former Rule 2900 - Proficiency and Education (as at January 1, 2018) Rule 3000 - Code of Conduct for Dealing in Repo Markets Rule 3000 - Code of Conduct for Dealing in Repo Markets Rule 3000 - Code of Conduct for Dealing in Repo Markets - Related Documents Rule 3100 - Reporting and Recordkeeping Requirements Rule 3100 - Reporting and Recordkeeping Requirements Rule 3100 - Reporting and Recordkeeping Requirements - Related Documents Rule 3200 - Minimum Requirements for Dealer Members Seeking Approval Under Rule 1300.1(t) to Offer an Order-Execution Only Service Rule 3200 - Minimum Requirements for Dealer Members Seeking Approval Under Rule 1300.1(t) to Offer an Order-Execution Only Service Rule 3200 - Minimum Requirements for Dealer Members Seeking Approval Under Rule 1300.1(t) to Offer an Order-Execution Only Service - Related Documents Rule 3300 - Best Execution of Client Orders Rule 3300 - Best Execution of Client Orders Rule 3300 - Best Execution of Client Orders - Related Documents Rule 3400 - Research Restrictions and Disclosure Requirements Rule 3400 - Research Restrictions and Disclosure Requirements Rule 3400 - Research Restrictions and Disclosure Requirements - Related Documents Rule 3500 - Relationship Disclosure Rule 3500 - Relationship Disclosure Rule 3500 - Relationship Disclosure - Related Documents Forms Form 1 based on IFRS except for prescribed departures 2 - New Client Applicant Form 2 - New Client Applicant Form 2 - New Client Applicant Form - Related Documents IIROC Rules (effective December 31, 2021) IIROC Rule Book (New design and improved search function) IIROC Rule Book Table of Concordance Form 1 IIROC Notices 2021 21-0009 – Rules Notice – Notice of Withdrawal - UMIR and IIROC Rules – Proposed Amendments and Proposed Guidance Respecting Non-Clients (January 14, 2021) Rules Notice - Technical - Custodial/Bare Trustee Agreements 21-0004 (January 6, 2021) - Custodial Agreements 2020 20-0262 – Rules Notice – Notice of Approval/Implementation - Early adoption of certain IIROC Rules into the Dealer Member Rules (December 10, 2020) 20-0239 - Rules Notice - Client Focused Reforms – Housekeeping Rule Changes (November 19, 2020) 20-0238 - Rules Notice - Client Focused Reforms – Proposed Rule Amendments for Public Comment (November 19, 2020) 20-0203 - Rules Notice - Proposed Amendments - IIROC Exemptions for Bulk Account Movements (October 8, 2020) 20-0179 - Rules Notice - Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 regarding agency tri-party arrangements (August 27, 2020) 20-0162 - Proposed early adoption of certain IIROC Rules into the Dealer Member Rules (July 23, 2020) 20-0154 - Proposed Amendments to swap counterparty margin requirements (July 16, 2020) 20-0129 - Trade confirmation suppression housekeeping amendments to align with CSA jurisdictions’ relief from reporting under National Instrument 24-101 Institutional Trade Matching and Settlements (June 18, 2020) 20-0088 - Rules Notice – Securities listed on Canada and U.S. exchanges eligible for margin (April 28, 2020) 20-0086 - Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds (April 27, 2020) 20-0079 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Revised Implementation Date of the IIROC Dealer Member Plain Language Rule Book and Update on the Client Focused Reforms (April 16, 2020) 20-0033 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Housekeeping changes to Form 2 (February 13, 2020) 20-0007 - Rules Notice – Notice of Approval/Implementation – IIROC Rules – Guidance Review Project – Group 1 (January 13, 2020) Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) 20-0225 (November 3, 2020) - List of Securities Eligible for Reduced Margin (LSERM) 20-0167 (July 28, 2020) - List of Securities Eligible for Reduced Margin (LSERM) and Operational Update 20-0105 (May 27, 2020) - List of Securities Eligible for Reduced Margin (LSERM) and Operational Update 20-0043 (March 4, 2020) - List of Securities Eligible for Reduced Margin (LSERM) and Operational Update Rules Notice - Technical - Custodial/Bare Trustee Agreements 20-0257 (December 2, 2020) - Custodial Agreements 20-0149 (July 6, 2020) - Custodial Agreements 20-0114 (June 3, 2020) - Custodial Agreements 20-0091 (May 5, 2020) - Custodial Agreements 20-0071 (April 6, 2020) - Custodial Agreements 20-0040 (March 3, 2020) - Custodial Agreements 20-0026 (February 5, 2020) - Custodial Agreements 20-0001 (January 3, 2020) - Custodial Agreements Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0196 (September 23, 2020) - List of foreign exchange (FX) spot risk margin rates for Canadian and U.S. base currency accounts 20-0107 (May 27, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0075 (April 13, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0068 (April 3, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0060 (March 27, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0058 (March 25, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0054 (March 24, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 20-0047 (March 13, 2020) - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 2019 19-0222 - Rules Notice – Guidance Note – CE Rules – Guidance on IIROC’s Continuing Education Program (December 19, 2019) 19-0221 - Rules Notice – Technical – Continuing Education Rules – Late Filing Fee for Continuing Education Reporting (December 19, 2019) 19-0220 - Rules Notice – Notice of Approval/Implementation – CE Rules – Continuing Education Rule Amendments (December 19, 2019) 19-0219 - Rules Notice – Notice of Withdrawal – Dealer Member Rules – Withdrawal of amendments to Dealer Member Rules and Form 1 relating to the futures market segregation and portability customer-protection regime (December 19, 2019) 19-0217 - Rules Notice – Guidance Note – Dealer Member Rules – Helping IIROC Dealer Members with Compliance – Role of Guidance (December 17, 2019) 19-0216 - Rules Notice – Guidance Note – Dealer Member Rules – Electronic client complaint record retention (December 17, 2019) 19-0213 - Rules Notice – Guidance Note – Dealer Member Rules – Cash Segregated in Trust for Clients with an Acceptable Institution (December 12, 2019) 19-0212 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Amendments to IIROC Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 regarding free credit cash segregated in trust for clients (December 12, 2019) 19-0201 - Rules Notice – Notice of Implementation – Dealer Member Rules – Anti-Money Laundering Compliance Guidance (November 25, 2019) 19-0200 - Rules Notice – Request for Comments – IIROC Rules – Proposed Derivatives Rule Modernization, Stage 1 (November 21, 2019) 19-0195 - Guidance Note – Notice of Approval/Implementation – Dealer Member Rules [IIROC Rules] – Frequently Asked Questions –Mandatory Cybersecurity Incident Reporting (November 14, 2019) 19-0194 - Rules Notice – Notice of Approval/Implementation – Dealer Member Rules [IIROC Rules] – Amendments Respecting Mandatory Reporting of Cybersecurity Incidents (November 14, 2019) 19-0181 – Rules Notice – Notice and Request for Comments – Dealer Member Rules – Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC (October 17, 2019) 19-0180 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Housekeeping amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book (October 17, 2019) 19-0179 – Rules Notice – Notice of Approval / Implementation – Dealer Member Rules – Amendments Respecting Client Identifiers for Reportable Debt Transactions (October 17, 2019) 19-0177 – Rules Notice – Guidance Note – Dealer Member Rules – Limitation of Liability Clauses (October 10, 2019) 19-0160 – Rules Notice – Technical Notice – UMIR and Dealer Member Rules – Information on the Implementation of Client Identifier Amendments (September 6, 2019) 19-0158 – Rules Notice – Request for Comments – UMIR and the IIROC Rules – Proposed Guidance Respecting Non-Clients (September 5, 2019) 19-0157 – Rules Notice – Request for Comments – UMIR and the IIROC Rules – Proposed Amendments Respecting Non-Clients (September 5, 2019) 19-0155 – Rules Notice – Request for Comments – Dealer Member Rules – Proposed amendments to IIROC Dealer Member Rule 1200.3 and Notes to Statement D of Form 1 regarding free credit cash segregated in trust for clients (August 29, 2019) 19-0154 – Rules Notice – Request for Comments – Dealer Member Rules – Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations (August 29, 2019) 19-0153 – Rules Notice – Guidance Note – Dealer Member Rules – Order Execution Only Dealers and the use of automation in the account opening approval process (August 28, 2019) 19-0147 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Investment in a Dealer Member – Changes to Forms and Guidance (August 22, 2019) 19-0146 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book (August 22, 2019) 19-0145 – Rules Notice – Notice of Approval/Implementation – Dealer Member Rules – Amendments to Client Identification and Verification Requirements (August 22, 2019) 19-0144 - Rules Notice - Notice of Approval/Implementation - IIROC Dealer Member Plain Language Rule Book Implementation (August 22, 2019) 19-0134 - Rules Notice - Notice of Approval / Implementation - Amendments Respecting Provision of Price Improvement by a Dark Order (August 8, 2019) 19-0133 - Rules Notice - Technical - Use of Identifiers and Notification Requirements Respecting Certain Order Execution Only Accounts (August 6, 2019) 19-0117 - Rules Notice - Request for Comments - Continuing Education Rules – proposed amendments (July 11, 2019) 19-0118 - Rules Notice - Request for Comments - Proposed Amendments Respecting Client Identifiers for Reportable Debt Transactions (July 11, 2019) 19-0109 - Rules Notice - Guidance Note - Fully-paid Securities Lending (June 17, 2019) 19-0101 - Rules Notice - Notice of Approval/Implementation - Amendments to Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers (June 6, 2019) 19-0093 - Rules Notice - Technical - Request for Participation on the Crypto-Asset Working Group (May 24, 2019) 19-0092 - Rules Notice - Guidance - Managing Conflicts of Interest arising from Soliciting Dealer Arrangements (May 23, 2019) 19-0089 - Rules Notice - Technical - Changes to the Implementation Date of Amendments to Transaction Reporting for Debt Securities (May 16, 2019) 19-0087 - Rules Notice - Technical - List of acceptable clearing corporations and acceptable securities locations (Depositories and Clearing Agencies) (May 14, 2019) 19-0076 - Rules Notice - Notice of Approval/Implementation - Minor Contravention Program and Early Resolution Offers (April 25, 2019) 19-0052 - Rules Notice - Notice of Approval/Implementation - Amendments to Transaction Reporting for Debt Securities (March 28, 2019) 19-0051 - Rules Notice - Guidance Note - E-Signatures (March 26, 2019) 19-0046 - Rules Notice - Guidance - Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms (March 14, 2019) 19-0045 - Rules Notice - Guidance - Joint CSA/IIROC Consultation Paper 23-406- Internalization within the Canadian Equity Market (March 12, 2019) 19-0036 - Rules Notice - Notice of Approval/Implementation - Housekeeping amendments to Form 1 to adopt IFRS reporting requirements for leases (March 5, 2019) 19-0035 - Rules Notice - Notice of Approval/Implementation - Housekeeping amendment to Schedule 7A of Form 1 (March 5, 2019) 19-0027 - Rules Notice - Request for Comments - Proposed amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 regarding agency tri-party arrangements (February 21, 2019) 19-0025 - Rules Notice - Exemption - Exemption from section A.1(c) of IIROC Dealer Member Rule 3200 (February 19, 2019) 19-0008 - Rules Notice - Guidance Note - IIROC Compliance Priorities (January 15, 2019) Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) 19-0207 (December 6, 2019) 19-0138 (August 12, 2019) 19-0088 (May 14, 2019) 19-0030 (February 21, 2019) Rules Notice - Technical - Custodial/Bare Trustee Agreements 19-0206 (December 3, 2019) 19-0188 (November 4, 2019) 19-0170 (October 3, 2019) 19-0161 (September 6, 2019) 19-0132 (August 2, 2019) 19-0113 (July 2, 2019) 19-0100 (June 4, 2019) 19-0082 (May 2, 2019) 19-0059 (April 1, 2019) 19-0037 (March 5, 2019) 19-0017 (February 4, 2019) 19-0002 (January 3, 2019) Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products 19-0208 (December 6, 2019) 19-0188 (November 4, 2019) 19-0170 (October 3, 2019) 19-0161 (September 6, 2019) 19-0141 (August 14, 2019) 19-0116 (July 9, 2019) 19-0108 (June 17, 2019) 19-0085 (May 8, 2019) 19-0064 (April 10, 2019) 19-0043 (March 8, 2019) 19-0022 (February 11, 2019) 19-0007 (January 11, 2019) Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 19-0080 (April 30, 2019) 2018 18-0242 – Rules Notice – Guidance Note - Service arrangements between Dealer Members and Portfolio Managers (December 20, 2018) 18-0236 – Rules Notice – Guidance Note - IIROC Registration - Proficiency Exemption Requests (December 14, 2018) 18-0231 – Rules Notice – Request for Comments – Proposed Amendments Respecting Provision of Price Improvement by a Dark Order (December 13, 2018) 18-0230 – Rules Notice – Notice of Approval/Implementation – Housekeeping amendments to Form 1 to adopt new auditor reporting standards for the audits of regulatory financial statements (December 13, 2018) 18-0226 – Rules Notice – Technical – Consolidated Short Position Report for the Reporting Period Ending November 30, 2018 (December 6, 2018) 18-0195 – Rules Notice – Technical – Research reports issued by firms regulated by France’s Autorité des Marchés Financiers (October 22, 2018) 18-0189 – Rules Notice – Exemptions –Exemptions to Allow Dealer Members to Accept and Enter Orders on the Montréal Exchange during Extended Trading Hours (October 10, 2018) 18-0177 – Rules Notice – Notice of Withdrawal – Withdrawal of proposed amendments to Dealer Member Rules to permit partial swap offset strategies (September 13, 2018) 18-0164 – Rules Notice – Technical – Acceptable Institutions and Acceptable Counterparties Database (August 22, 2018) 18-0158 – Rules Notice – Guidance Note – Order Execution Only Firms and the Offering of Series A Funds (August 14, 2018) 18-0154 – Rules Notice – Notice of Approval / Implementation – Amendments Respecting the Reporting of Certain Trades to Acceptable Foreign Trade Reporting Facilities (August 9, 2018) 18-0153 – Rules Notice – Request for Comment – Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations (August 9, 2018) 18-0147 – Rules Notice – Exemptions – Exemptions Relating to the Offset of Swap Positions (July 31, 2018) 18-0141 – Rules Notice – Request for Comments – Proposed Provisions Respecting Order Execution Only Service Eligibility and Adviser Identifiers (July 26, 2018) 18-0122 – Rules Notice – Request for Comments – Publication of Proposed Provisions Respecting Client Identifiers (June 28, 2018) 18-0118 – Rules Notice – Notice of Approval/Implementation – Housekeeping amendments to the provisions respecting Trading Supervision Obligations (June 21, 2018) 18-0101 – Rules Notice – Exemption – Exemption from Experience Requirements under IIROC Dealer Member Rule 1300.15(c) (May 9, 2018) 18-0100 – Rules Notice – Exemption – Exemptions Granted by IIROC in 2017 (May 8, 2018) 18-0086 – Rules Notice – Exemption – Exemption Granted by IIROC Board of Directors – Client Account Statements Requirement (April 16, 2018) 18-0080 – Rules Notice – Technical Notice – Exemption applications relating to IIROC Dealer Member rules (April 12, 2018) 18-0079 – Rules Notice – Request for Comments – Republication of Proposed Amendments to Client Identification and Verification Requirements (April 12, 2018)18-0076 – Rules Notice – Guidance Note – Guidance on Order Execution Only Services and Activities (April 9, 2018) 18-0075 – Rules Notice – Notice of Implementation – Guidance on Order Execution Only Services and Activities (April 9, 2018) 18-0070 – Rules Notice – Request for Comments – Proposed Amendments Respecting Mandatory Reporting of Cybersecurity Incidents (April 5, 2018) 18-0063 – Rules Notice – Technical Notice – Reporting of cybersecurity incidents (March 22, 2018) 18-0062 – Rules Notice – Technical Notice – Short Position Calculation and Reporting (March 22, 2018) 18-0052 – Rules Notice – Request for Comments – Proposed Amendments to Transaction Reporting for Debt Securities (March 8, 2018) 18-0045 – Rules Notice – Request for Comments – Request for Comment – Enforcement Alternative Forms of Disciplinary Action (February 22, 2018) 18-0043 – Rules Notice – Request for Comments – Proposed Amendments to Form 1 for use in, and consistency, with the Plain Language Dealer Member Rules Rule Book (February 15, 2018) 18-0023 – Rules Notice – Guidance Note – Guidance on IIROC’s Continuing Education Program (January 26, 2018) 18-0019 - Rules Notice - Request for Comments - Continuing Education Rules – Proposed Amendments (January 25, 2018) 18-0015 - Rules Notice - Guidance Note - IIROC Compliance (January 18, 2018) 18-0014 - Rules Notice - Request for Comments - Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book (January 18, 2018) Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) 18-0229 (December 11, 2018) 18-0173 (September 4, 2018) 18-0108 (May 25, 2018) 18-0035 (February 7, 2018) Rules Notice - Technical - Custodial/Bare Trustee Agreements 18-0221 (December 4, 2018) 18-0203 (November 6, 2018) 18-0184 (October 2, 2018) 18-0174 (September 6, 2018) 18-0148 (August 2, 2018) 18-0128 (July 5, 2018) 18-0111 (June 6, 2018) 18-0095 (May 2, 2018) 18-0068 (April 3, 2018) 18-0049 (March 5, 2018) 18-0036 (February 7, 2018) 18-0006 (January 4, 2018) Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products 18-0232 (December 13, 2018) 18-0205 (November 9, 2018) 18-0191 (October 12, 2018) 18-0178 (September 13, 2018) 18-0156 (August 9, 2018) 18-0131 (July 9, 2018) 18-0114 (June 11, 2018) 18-0098 (May 7, 2018) 18-0074 (April 6, 2018) 18-0057 (March 12, 2018) 18-0039 (February 9, 2018) 18-0010 (January 10, 2018) Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 18-0198 (October 31, 2018) 18-0129 (July 9, 2018) 2017 17-0245 - Rules Notice - Technical - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (December 21, 2017) 17-0241 - Rules Notice - Guidance on Short Position Calculation and Reporting (December 15, 2017) 17-0239 - Rules Notice - Discontinuation of Weekly Statistical Reporting via the Bank of Canada’s Market Trade Reporting System (MTRS) (December 14, 2017) 17-0238 - Rules Notice - Margin Requirements For Cryptocurrency Futures Contracts (December 11, 2017) 17-0237 - Rules Notice - List of floating and tracking error margin rates for qualifying Canadian and U.S. Index products (December 11, 2017) 17-0229 - Rules Notice - Canadian Securities Administrators and the Investment Industry Regulatory Organization of Canada and the Mutual Fund Dealers Association of Canada Joint Notice Complying with requirements regarding the Ombudsman for Banking Services and Investments (December 7, 2017) 17-0224 - Rules Notice - Notice of Approval/Implementation - Housekeeping amendments to the IIROC Consolidated Enforcement, Examination and Approval Rules (November 30, 2017) 17-0223 - Rules Notice - Notice of Approval/Implementation - Implementation of Rule 2650 – Continuing Education Requirements for Approved Persons (November 30, 2017) 17-0218 - Rules Notice - Exemptions - Exemption to Allow Certain Dealing Representatives to Trade in Exempt Market Securities While Mutual Funds Restricted (November 21, 2017) 17-0190 - Rules Notice - Guidance Note - Guidance on Trading Supervision Obligations (September 28, 2017) 17-0189 - Rules Notice - Notice of Approval/Implementation - Amendments Respecting Trading Supervision Obligations (September 28, 2017) 17-0188 - Rules Notice - Notice of Approval/Implementation - Amendments to trade-confirmation suppression requirements (September 28, 2017) 17-0178 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (August 31, 2017) 17-0159 - Rules Notice - Notice of Withdrawal - Withdrawal of Proposed Provisions Respecting the Execution and Reporting of Certain “Off-Marketplace” Trades (July 27, 2017) 17-0152 - Rules Notice - Guidance Note - Regular settlement date to be used for certain foreign exchange hedge trades (July 18, 2017) 17-0151 - Rules Notice - Technical Notice - Guidance on regular settlement date to be used for certain foreign exchange hedge trades (July 18, 2017) 17-0146 - Rules Notice - Notice of Withdrawal - Withdrawal of Proposed Dark Rules Anti-Avoidance Provision (July 13, 2017) 17-0145 - Rules Notice - Notice of Withdrawal - Withdrawal of proposed amendments to simplify the Equity Margin (July 13, 2017) 17-0144 - Rules Notice - Notice of Withdrawal - Withdrawal of the new methodology for margining equity securities - Dealer Member Rule 100 and Form 1 (July 13, 2017) 17-0143 - Rules Notice - Notice of Approval/Implementation - Material amendments to the Notes and Instructions to Schedule 12 of Form 1 (July 13, 2017) 17-0139 - Rules Notice - Request for Comments - Proposed Amendments to Client Identification and Verification Requirements (July 6, 2017) 17-0138 - Rules Notice - Guidance Note - Guidance on Best Execution (July 6, 2017) 17-0137 - Rules Notice - Notice of Approval - Amendments Respecting Best Execution (July 6, 2017) 17-0133 - Rules Notice - Notice of Approval - Amendments to facilitate the investment industry’s move to T+2 settlement (June 29, 2017) 17-0110 - Rules Notice - Request for Comments - Amendments to Dealer Member Rules and Form 1 relating to the futures market segregation and portability customer-protection regime (May 18, 2017) 17-0109 - Rules Notice - Request for Comments - Proposed Provisions Respecting Client Identifiers (May 17, 2017) 17-0102 - Rules Notice - Notice of Approval/Implementation - Housekeeping amendments to remove Statement G of Form 1 and corollary amendments to Form 1 (May 4, 2017) 17-0095 - Rules Notice - Request for Comments - Continuing Education – Consultation on PLR Proposals and Ongoing Review (April 27, 2017) 17-0093 - Rules Notice - Guidance Note - Managing Conflicts in the Best Interest of the Client – Compensation-related Conflicts Review (April 27, 2017) 17-0088 - Rules Notice - Request for Comments - Amendments to trade-confirmation suppression requirements (April 20, 2017) 17-0079 - Rules Notice - Notice of Approval - Implementation - Personal Financial Dealings with Clients (April 6, 2017) 17-0069 - Rules Notice - Notice of Approval - Implementation - Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions (March 30, 2017) 17-0068 - Rules Notice - Notice of Approval - Implementation - Amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements (March 30, 2017) 17-0056 - Rules Notice - Exemptions - Exemptions Granted by IIROC in 2016 (March 9, 2017) 17-0055 - Rules Notice - Request for Comments - Investment in a Dealer Member – Proposed Changes to Forms and Guidance (March 9, 2017) 17-0054 - Rules Notice – Request for Comments – Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book (March 9, 2017) 17-0036 - Rules Notice - Guidance Note - Business Locations - Registration and Compliance approach to work-from-home arrangements (February 10, 2017) 17-0012 - Rules Notice - Technical Notice - Guidance on Order Execution Only Services and Activities - Extension of Comment Period (January 13, 2017) 17-0010 - Rules Notice - Guidance Note - IIROC Compliance Priorities (January 12, 2017) 17-0006 - Rules Notice - Exemption - Client Relationship Model - Phase 2 (CRM2) - Decisions of the Board of Directors - Exemption applications concerning the implementation of requirements to annually report on account performance and fees/charges (January 9, 2017) Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) 17-0215 (November 14, 2017) 17-0174 (August 17, 2017) 17-0114 (May 29, 2017) 17-0053 (March 3, 2017) Rules Notice - Technical - Custodial/Bare Trustee Agreements 17-0230 (November 30, 2017) 17-0209 (November 3, 2017) 17-0192 (October 3, 2017) 17-0179 (September 5, 2017) 17-0166 (August 3, 2017) 17-0142 (July 10, 2017) 17-0119 (June 5, 2017) 17-0100 (May 2, 2017) 17-0081 (April 6, 2017) 17-0050 (March 2, 2017) 17-0032 (February 2, 2017) 17-0003 (January 4, 2017) Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 17-0176 (August 21, 2017) 17-0044 (February 23, 2017) 17-0007 (January 9, 2017) Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products 17-0212 (November 8, 2017) 17-0196 (October 11, 2017) 17-0181 (September 7, 2017) 17-0172 (August 15, 2017) 17-0147 (July 13, 2017) 17-0121 (June 9, 2017) 17-0105 (May 11, 2017) 17-0085 (April 12, 2017) 17-0059 (March 10, 2017) 17-0037 (February 10, 2017) 17-0009 (January 11, 2017) 2016 16-0297 - Rules Notice - Guidance Note - Managing Conflicts in the Best Interest of the Client – Status Update (December 15, 2016) 16-0280 - Rules Notice - Technical - Guidance on Order Execution Only Services and Activities - Extension of Comment Period (December 2, 2016) 16-0272 - Rules Notice - Technical - Disclosure of Membership in IIROC – IIROC Official Brochure (November 24, 2016) 16-0271 - Rules Notice - Technical - Disclosure of Membership in IIROC - Additional versions of the IIROC Logo (November 24, 2016) 16-0262 - Rules Notice - Notice of Approval/Implementation - Amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests (November 10, 2016) 16-0251 - Rules Notice - Request for Comments - Guidance on Order Execution Only Services and Activities (November 3, 2016) 16-0234 - Rules Notice - Request for Comments - Re-Publication of Proposed Guidance Respecting Best Execution (October 13, 2016) 16-0233 - Rules Notice - Request for Comments - Re-Publication of Proposed Provisions Respecting Best Execution (October 13, 2016) 16-0230 - Rules Notice - Response to Comments - IIROC White Paper - The Public Policy Implications of Changes to Rules Regarding Proficiency Upgrade Requirements and Directed Commissions on the IIROC Platform (October 6, 2016) 16-0218 - Rules Notice - Notice of Approval - Amendments Respecting Market Transparency in Trading of Domestic Debt Securities (September 29, 2016) 16-0195 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (August 25, 2016) 16-0177 - Rules Notice - Request for Comments - Amendments to facilitate the investment industry’s move to T+2 settlement (July 28, 2016) 16-0142 - Rules Notice - Request for Comments - Non-material amendments to Schedule 12 of Form 1 and its Notes and Instructions (June 23, 2016) 16-0141 - Rules Notice - Request for Comments - Material amendments to the Notes and Instructions to Schedule 12 of Form 1 (June 23, 2016) 16-0133 - Rules Notice - Notice of Approval/Implementation - Amendments Requiring Disclosure of Membership in IIROC (June 16, 2016) 16-0124 - Rules Notice – Notice of Approval/Implementation - Amendments to Research Report Quiet Periods (June 9, 2016) 16-0122 - Rules Notice – Notice of Approval/Implementation - Implementation of the consolidated IIROC Enforcement, Examination and Approval Rules (June 9, 2016) 16-0118 - Rules Notice – Technical - Proposed IIROC Dealer Member Plain Language Rule Book - Minor Technical Revision (June 2, 2016) 16-0117 - Rules Notice – Request for Comments - Proposed Amendments Respecting Market Transparency in Trading of Domestic Debt Securities (June 2, 2016) 16-0114 - Rules Notice – Guidance Note – Guidance on compliance and supervisory issues when dealing with senior clients (May 31, 2016) 16-0113 - Rules Notice – Technical – Client Relationship Model (“CRM”) - Frequently Asked Questions (May 30, 2016) 16-0100 - Rules Notice – Technical – Personal Financial Dealings with Clients (May 10, 2016) 16-0090 - Rules Notice – Request for Comments – Proposed amendments to Dealer Member Rule 1200 and to Form 1 relating to the client free credit cash usage limit and client free credit segregation requirements (April 28, 2016) 16-0068 - Rules Notice – Guidance Note – Managing Conflicts in the Best Interest of the Client (April 6, 2016) 16-0057 - Rules Notice – Technical – List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars (March 15, 2016) 16-0055 - Administrative Notice – Exemptions Granted by IIROC for the Calendar Year 2015 (March 11, 2016) 16-0052 - Rules Notice – Request for Comments – Re-publication of Proposed IIROC Dealer Member Plain Language Rule Book (March 10, 2016) 16-0050 - Rules Notice - Technical - IIROC White Paper - The Public Policy Implications of Changes to Rules Regarding Proficiency Upgrade Requirements and Directed Commissions on the IIROC Platform - Extension of Comment Period (March 7, 2016) 16-0038 - Rules Notice - Request for Comments - Proposed amendments to Dealer Member Rule 300.2(a)(vii) regarding the audit requirement to send second positive confirmation requests (February 25, 2016) 16-0034 - Rules Notice - Guidance Note - IIROC Compliance Priorities (February 18, 2016) 16-0030 - Rules Notice - Request for Comments - Summary of Comments Received on Concept Paper on Lowering the Minimum Capital Requirement (February 11, 2016) Rules Notice - Technical - List of Basel Accord Countries 16-0255 (November 7, 2016) 16-0167 (July 12, 2016) Rules Notice - Technical - List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) 16-0166 (July 12, 2016) 16-0056 (March 15, 2016) Rules Notice - Technical - List of Securities Eligible for Reduced Margin (LSERM) 16-0270 (November 23, 2016) 16-0191 (August 19, 2016) 16-0108 (May 20, 2016) 16-0039 (February 25, 2016) Rules Notice - Technical - Custodial/Bare Trustee Agreements 16-0286 (December 6, 2016) 16-0254 (November 4, 2016) 16-0226 (October 3, 2016) 16-0205 (September 6, 2016) 16-0179 (August 3, 2016) 16-0159 (July 4, 2016) 16-0120 (June 3, 2016) 16-0097 (May 3, 2016) 16-0067 (April 5, 2016) 16-0043 (March 2, 2016) 16-0021 (February 2, 2016) 16-0004 (January 4, 2016) Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts 16-0264 (November 11, 2016) 16-0227 (October 4, 2016) 16-0186 (August 15, 2016) 16-0165 (July 11, 2016) 16-0157 (July 4, 2016) 16-0080 (April 19, 2016) 16-0060 (March 21, 2016) 16-0048 (March 4, 2016) 16-0035 (February 22, 2016) 16-0032 (February 16, 2016) 16-0025 (February 8, 2016) 16-0013 (January 18, 2016) Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products 16-0292 (December 9, 2016) 16-0265 (November 14, 2016) 16-0231 (October 6, 2016) 16-0208 (September 12, 2016) 16-0187 (August 15, 2016) 16-0172 (July 14, 2016) 16-0131 (June 14, 2016) 16-0102 (May 13, 2016) 16-0074 (April 11, 2016) 16-0058 (March 15, 2016) 16-0033 (February 17, 2016) 16-0009 (January 12, 2016) 2015 15-0288 - Rules Notice - Technical - Client Relationship Model (“CRM”) - Frequently Asked Questions (December 16, 2015) 15-0284 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (December 14, 2015) 15-0278 - Rules Notice - Request for Comment - Proposed Guidance Respecting Best Execution (December 10, 2015) 15-0277 - Rules Notice - Request for Comment - Proposed Provisions Respecting Best Execution (December 10, 2015) 15-0265 - Rules Notice - Technical - Custodial Agreements (December 1, 2015) 15-0264 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (November 30, 2015) 15-0262 - Rules Notice - Notice of Withdrawal - Withdrawal of proposed amendments to Dealer Member Rule 100.2(a)(ii) relating to the margin requirements for debt security obligations of supranational entities (November 26, 2015) 15-0261 - Rules Notice - Notice of Withdrawal - Withdrawal of proposed 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 (November 26, 2015) 15-0260 - Rules Notice - Request for Comment - IIROC White Paper - The Public Policy Implications of Changes to Rules Regarding Proficiency Upgrade Requirements and Directed Commissions on the IIROC Platform (November 25, 2015) 15-0256 - Rules Notice - Technical - Personal Financial Dealings with Clients (November 17, 2015) 15-0255 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (November 17, 2015) 15-0254 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (November 13, 2015) 15-0249 - Rules Notice - Notice of Approval/Implementation - Amendments to Dealer Member Rule 100.10(k) Optional use of TIMS or SPAN (November 6, 2015) 15-0248 - Rules Notice - Request for Comment - Re-Publication of Proposed Amendments of Requirement to Disclose Membership in IIROC as a Dealer Member (November 5, 2015) 15-0245 - Rules Notice - Technical - Custodial Agreements (November 2, 2015) 15-0244 - Rules Notice - Notice of Approval/Implementation - Disclosure to clients of Dealer Members' financial position (October 30, 2015) 15-0229 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (October 8, 2015) 15-0222 - Rules Notice - Technical - Custodial Agreements (October 2, 2015) 15-0217 - Rules Notice - Request for Comment - Research Report Quiet Periods (September 24, 2015) 15-0216 - Rules Notice - Notice of Approval/Implementation - Amendments to Research Report Quiet Periods (September 24, 2015) 15-0209 - Rules Notice - Notice of Approval/Implementation - Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread (September 15, 2015) 15-0206 - Rules Notice - Notice of Approval/Implementation - Margin requirements for certain cash and security borrowing and lending arrangements - Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 (September 14, 2015) 15-0200 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (September 10, 2015) 15-0197 - Rules Notice - Technical - Custodial Agreements (September 4, 2015) 15-0196 - Rules Notice - Notice of Approval/Implementation - Requirement to Pay IIROC Membership Fees (September 3, 2015) 15-0195 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (September 1, 2015) 15-0193 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (August 31, 2015) 15-0184 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (August 20, 2015) 15-0179 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (August 11, 2015) 15-0171 - Rules Notice - Technical - Custodial Agreements (August 4, 2015) 15-0154 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (July 13, 2015) 15-0143 - Rules Notice - Technical - Custodial Agreements (July 2, 2015) 15-0133 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (June 22, 2015) 15-0128 - Rules Notice - Notice of Approval/Implementation - Client Relationship Model - Phase 2 Housekeeping changes to Dealer Member Rule 200 and changes to effective dates for amendments to Dealer Member Rule 200 and to Dealer Member Form 1 relating to the implementation of CRM2 (June 11, 2015) 15-0127 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (June 8, 2015) 15-0122 - Rules Notice - Technical - Custodial Agreements (June 1, 2015) 15-0118 - Rules Notice - Technical - List of Approved Inter-Dealer Bond Brokers (May 19, 2015) 15-0116 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin ("LSERM") (May 15, 2015) 15-0111 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (May 15, 2015) 15-0102 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (May 4, 2015) 15-0099 - Rules Notice - Technical - Custodial Agreements (May 1, 2015) 15-0096 - Rules Notice - Technical - Personal Financial Dealings with Clients - Extension of deadline date for the unwinding of existing trustee, executorship and power of attorney arrangements prescribed by Dealer Member Rule 43.2(5)(i) (April 29, 2015) 15-0087 - Rules Notice - Technical - Use of Client Identifiers and Notification Requirements Respecting Certain Order Execution Only Client Accounts (April 16, 2015) 15-0086 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (Supplement) (April 16, 2015) 15-0085 - Rules Notice - Request for Comment - Requirement to Pay IIROC Membership Fees (April 16, 2015) 15-0082 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (April 9, 2015) 15-0078 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (April 6, 2015) 15-0077 - Rules Notice - Technical - Custodial Agreements (April 1, 2015) 15-0073 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (March 30, 2015) 15-0072 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (March 20, 2015) 15-0068 - Administrative Notice - Exemptions Granted by IIROC for the Calendar Year 2014 (March 16, 2015) 15-0066 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (March 13, 2015) 15-0062 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (March 6, 2015) 15-0061 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (March 6, 2015) 15-0056 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin ("LSERM") (March 3, 2015) 15-0055 - Rules Notice - Technical - Custodial Agreements (March 2, 2015) 15-0053 - Rules Notice - Request for Comment - Margin requirements for certain cash and security borrowing and lending arrangements - Proposed Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 (February 26, 2015) 15-0042 - Rules Notice - Technical - Client Relationship Model ("CRM") - Frequently Asked Questions (February 9, 2015) 15-0037 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (February 5, 2015) 15-0035 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (February 4, 2015) 15-0031 - Rules Notice - Technical - Custodial Agreements (February 2, 2015) 15-0027 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (January 30, 2015) 15-0021 - Rules Notice - Guidance Note - Annual Consolidated Compliance Report (January 27, 2015) 15-0018 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (January 23, 2015) 15-0013 - Rules Notice - Notice of Approval/Implementation - Client Relationship Model - Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rule 200 and to Dealer Member Form 1 (January 19, 2015) 15-0007 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (January 12, 2015) 15-0006 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (January 9, 2015) 15-0002 - Rules Notice - Technical - Voluntary Participation in Continuing Education Update (January 6, 2015) 15-0001 - Rules Notice - Technical - Custodial Agreements (January 6, 2015) 2014 14-0301 - Rules Notice - Technical - Revised Strip Bond Information Statement-Reminder (December 30, 2014) 14-0298 - Rules Notice - Request for Comments - Proposed 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 (December 18, 2014) 14-0288 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (December 8, 2014) 14-0286 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (December 5, 2014) 14-0282 - Rules Notice - Technical - Custodial Agreements (December 2, 2014) 14-0280 - Rules Notice - Guidance Note - Part Time Chief Financial Officers (December 1, 2014) 14-0266 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (November 13, 2014) 14-0265 - Rules Notice - Request for Comments - Revised Requirement to Disclose Membership in IIROC as a Dealer Member (November 13, 2014) 14-0264 - Rules Notice - Guidance Note - Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces (November 13, 2014) 14-0263 - Rules Notice - Notice of Approval/Implementation - Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces (November 13, 2014) 14-0261 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (November 10, 2014) 14-0257 - Rules Notice - Request for Comments - Proposed 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 (November 6, 2014) 14-0253 - Rules Notice - Technical - Custodial Agreements (November 4, 2014) 14-0250 - Rules Notice - Notice of Approval/Implementation - Transaction Reporting for Debt Securities (October 30, 2014) 14-0242 - Rules Notice - Technical - Approval by Québec’s Autorité des marchés financiers of French-language revised strip bond information statement (October 24, 2014) 14-0233 - Rules Notice - Technical - Client Relationship Model ("CRM") - Frequently Asked Questions (October 16, 2014) 14-0229 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (October 8, 2014) 14-0223 - Rules Notice - Technical - Custodial Agreements (October 1, 2014) 14-0214 - Rules Notice - Request for Comments - Client 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 (September 18, 2014) 14-0209 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (September 8, 2014) 14-0206 - Rules Notice - Technical - Custodial Agreements (September 2, 2014) 14-0205 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (August 29, 2014) 14-0199 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (August 13, 2014) 14-0196 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (August 11, 2014) 14-0192 - Rules Notice - Technical - Custodial Agreements (August 1, 2014) 14-0186 - Rules Notice - Technical - Requirements for Secure Electronic Regulatory Communication (July 24, 2014) 14-0167 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (July 7, 2014) 14-0163 - Rules Notice - Technical - Custodial Agreements (July 2, 2014) 14-0158 - Rules Notice - Technical - Revised Strip Bond Information Statement (June 26, 2014) 14-0157 - Rules Notice - Request for Comments - Disclosure to clients of Dealer Members’ financial position (June 26, 2014) 14-0154 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (June 23, 2014) 14-0148 - Rules Notice - Request for Comments - Margin requirements for debt security obligations of supranational entities (June 12, 2014) 14-0142 - Rules Notice - Technical - Custodial Agreements (June 5, 2014) 14-0133 - Rules Notice - Notice of Approval/Implementation - Client Relationship Model - Phase 2 Performance Reporting and Fee / Charge Disclosure amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 (May 29, 2014) 14-0126 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (May 20, 2014) 14-0123 - Rules Notice - Technical - List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars (May 12, 2014) 14-0122 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (May 12, 2014) 14-0109 - Rules Notice - Technical - Custodial Agreements (May 1, 2014) 14-0103 - Rules Notice - Request for Comments - Proposed Personal Financial Dealing amendments (April 24, 2014) 14-0102 - Rules Notice - Request for Comments - Re-Publication of Proposed Guidance Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces (April 24, 2014) 14-0101 - Rules Notice - Request for Comments - Re-Publication of Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces (April 24, 2014) 14-0093 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (April 9, 2014) 14-0088 - Rules Notice - Request for Comments - Part-time Chief Financial Officers (April 2, 2014) 14-0085 - Rules Notice - Technical - Custodial Agreements (April 1, 2014) 14-0082 - Rules Notice - Technical - Best Execution Survey Results (March 28, 2014) 14-0073 - Rules Notice - Guidance Note - Use of Business Titles and Financial Designations (March 24, 2014) 14-0072 - Rules Notice - Request for Comments - Use of Business Titles and Financial Designation Notice of final guidance note and summary of comments (March 24, 2014) 14-0068 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (March 17, 2014) 14-0066 - Rules Notice - Request for Comments - Margin requirements for certain cash and security borrowing and lending arrangements - Amendments to Schedules 1, 7 and 7A of Dealer Member Form 1 (March 13, 2014) 14-0061 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (March 7, 2014) 14-0058 - Rules Notice - Request for Comments - Proposed Guidance Respecting Underwriting Due Diligence (March 6, 2014) 14-0055 - Rules Notice - Technical - Custodial Agreements (March 4, 2014) 14-0049 - Rules Notice - Notice of Withdrawal - Withdrawal of Proposed Amendments to Dealer Member Rule 1300.1 relating to Trading in Securities of U.S. OTC Issuers (February 20, 2014) 14-0048 - Rules Notice - Notice of Withdrawal - Withdrawal of Proposed Financial Planning Rule (February 20, 2014) 14-0047 - Rules Notice - Notice of Withdrawal - Withdrawal of Revisions to the Definition of "Securities Related Activities" (February 20, 2014) 14-0046 - Rules Notice - Request for Comments - Proposed Plain Language Rule 9600- Compliance Fees (February 20, 2014) 14-0044 - Rules Notice - Guidance Note - Borrowing for Investment Purposes – Suitability and Supervision (February 19, 2014) 14-0043 - Rules Notice - Request for Comments - Summary of comments received on the draft guidance regarding Borrowing for Investment Purposes – Suitability and Supervision (February 19, 2014) 14-0036 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (February 10, 2014) 14-0035 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (February 7, 2014) 14-0031 - Rules Notice - Technical - Custodial Agreements (February 5, 2014) 14-0012 - Rules Notice - Guidance Note - Outsourcing arrangements (January 13, 2014) 14-0011 - Rules Notice - Request for Comments - Outsourcing arrangements - Notice of issuance of final guidance note and summary response to comments received (January 13, 2014) 14-0010 - Rules Notice - Guidance Note - Clearing arrangements (January 13, 2014) 14-0009 - Rules Notice - Request for Comments - Clearing arrangements - Notice of issuance of final guidance note and summary response to comments received (January 13, 2014) 14-0005 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (January 9, 2014) 14-0004 - Rules Notice - Request for Comments - Proposed Requirements for Debt Securities Transaction Reporting (January 9, 2014) 14-0001 - Rules Notice - Technical - Custodial Agreements (January 2, 2014) 2013 13-0300 - Rules Notice - Request for Comments - Client Relationship Model – Phase 2 Performance Reporting and Fee / Charge Disclosure Amendments to Dealer Member Rules 29, 200 and 3500 and to Dealer Member Form 1 (December 12, 2013) 13-0299 - Rules Notice - Technical - Personal Financial Dealing (December 11, 2013) 13-0295 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (December 9, 2013) 13-0289 - Rules Notice - Technical - Custodial Agreements (December 2, 2013) 13-0283 - Rules Notice - Guidance Note - Guidance on Marketplace and Average Price Disclosure for Trade Confirmations (November 25, 2013) 13-0282 - Rules Notice - Request for Comments - Summary of Comments Received on Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure (November 25, 2013) 13-0278 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (November 18, 2013) 13-0275 - Rules Notice - Request for Comments - Republication of Proposed Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules (November 14, 2013) 13-0272 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (November 12, 2013) 13-0271 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (November 8, 2013) 13-0259 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (October 25, 2013) 13-0256 - Rules Notice - Request for Comments - Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces (October 15, 2013) 13-0255 - Rules Notice - Request for Comments - Proposed Provisions Respecting Order Execution Services as a Form of Third-Party Electronic Access to Marketplaces (October 15, 2013) 13-0249 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (October 14, 2013) 13-0247 - Rules Notice - Technical - Custodial Agreements (October 1, 2013) 13-0241 - Rules Notice - Request for Comments - Proposed Guidance on Marketplace and Average Price Trade Confirmation Disclosure (September 25, 2013) 13-0233 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (September 6, 2013) 13-0232 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (September 6, 2013) 13-0231 - Rules Notice - Notice of Approval - Trade Confirmation and Matching Requirements (September 6, 2013) 13-0222 - Rules Notice - Technical - Custodial Agreements (September 3, 2013) 13-0221 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (August 29, 2013) 13-0220 - Rules Notice - Notice of Approval/Implementation - Disclosure Requirements for Research Reports (August 29, 2013) 13-0217 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (Supplement) (August 20, 2013) 13-0208 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (August 12, 2013) 13-0207 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (August 12, 2013) 13-0202 - Rules Notice - Technical - Custodial Agreements (August 1, 2013) 13-0193 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (July 16, 2013) 13-0186 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (July 4, 2013) 13-0184 - Rules Notice - Notice of Approval/Implementation - Provisions Respecting Third-Party Electronic Access to Marketplaces (July 4, 2013) 13-0182 - Rules Notice - Technical - Custodial Agreements (July 2, 2013) 13-0175 - Rules Notice - Notice of Approval/Implementation - Amendments to IFRS version of Form 1 (June 27, 2013) 13-0174 - Rules Notice - Request for Comments - Proposed Plain Language Rule Sections 2210 and 2211- Suspension and Termination of a Dealer Member (June 27, 2013) 13-0173 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (June 24, 2013) 13-0163 - Rules Notice - Guidance Note - Disclosure and approval of outside business activities (June 13, 2013) 13-0162 - Rules Notice - Notice of Approval/Implementation - Personal financial dealing and outside business activities (June 13, 2013) 13-0159 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (June 10, 2013) 13-0156 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (June 7, 2013) 13-0148 - Rules Notice - Technical - Custodial Agreements (June 3, 2013) 13-0141 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (May 28, 2013) 13-0136 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (May 21, 2013) 13-0129 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (May 8, 2013) 13-0122 - Rules Notice - Technical - Custodial Agreements (May 1, 2013) 13-0117 - Rules Notice - Technical - List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars (April 25, 2013) 13-0101 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (April 9, 2013) 13-0092 - Rules Notice - Technical - Custodial Agreements (April 1, 2013) 13-0078 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (March 7, 2013) 13-0073 - Rules Notice - Technical - Custodial Agreements (March 4, 2013) 13-0062 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (February 26, 2013) 13-0058 - Rules Notice - Request for Comments - Proposed Requirements for Debt Securities Transaction Reporting (February 20, 2013) 13-0048 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (February 7, 2013) 13-0042 - Rules Notice - Request for Comments - IIROC Concept Proposal Restricted Dealer Member Proposal - Summary of Comments (February 7, 2013) 13-0041 - Rules Notice - Request for Comments - Amendments to IFRS version of Form 1 (February 7, 2013) 13-0040 - Rules Notice - Request for Comments - Summary of comments received on draft guidance note "Requirements and best practices for distribution of non-arm’s length investment products" (February 6, 2013) 13-0039 - Rules Notice - Request for Comments - Recommendations and best practices for distribution of non-arm’s length investment products (February 6, 2013) 13-0033 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (February 4, 2013) 13-0030 - Rules Notice - Technical - Custodial Agreements (February 1, 2013) 13-0011 - Rules Notice - Notice of Approval/Implementation - Amendments to IFRS version of Form 1 (January 11, 2013) 13-0008 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (January 10, 2013) 13-0005 - Rules Notice - Request for Comments - Use of Business Titles and Financial Designations (January 8, 2013) 13-0004 - Rules Notice - Technical - Custodial Agreements (January 2, 2013) 2012 12-0385 - Rules Notice - Request for Comments - Disclosure Requirements for Research Reports (December 20, 2012) 12-0384 - Rules Notice - Guidance Note - Sale of principal protected notes by Approved Persons of IIROC Dealer Members (December 18, 2012) 12-0380 - Rules Notice - Request for Comments - Summary of comments received on the draft Guidance Note "The Role of Compliance and Supervision" (December 17, 2012) 12-0379 - Rules Notice - Guidance Note - The Role of Compliance and Supervision (December 17, 2012) 12-0370 - Rules Notice - Request for Comments - Summary of comments received on the draft Guidance Note "Date of the offering" within the meaning of Dealer Member Rule 3400 (December 12, 2012) 12-0369 - Rules Notice - Guidance Note - "Date of the offering" within the meaning of Dealer Member Rule 3400 (December 11, 2012) 12-0368 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (December 10, 2012) 12-0360 - Rules Notice - Technical - Custodial Agreements (December 4, 2012) 12-0359 - Rules Notice - Guidance Note - Annual Consolidated Compliance Report (December 4, 2012) 12-0331 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (November 8, 2012) 12-0330 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (November 8, 2012) 12-0326 - Rules Notice - Technical - Custodial Agreements (November 5, 2012) 12-0315 - Rules Notice - Request for Comments - Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces (October 25, 2012) 12-0312 - Rules Notice - Request for Comments - Request for comments on draft guidance regarding clearing arrangements (October 22, 2012) 12-0311 - Rules Notice - Request for Comments - Request for comments on draft guidance regarding outsourcing arrangements (October 22, 2012) 12-0307 - Rules Notice - Technical - List of Basel Accord Countries (October 19, 2012) 12-0299 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (October 11, 2012) 12-0284 - Rules Notice - Technical - Custodial Agreements (October 1, 2012) 12-0280 - Rules Notice - Technical - Securities Listed on Foreign Exchanges Eligible for Margin (September 24, 2012) 12-0275 - Rules Notice - Request for Comments - IIROC Staff Consultation - Concept Paper on the Feasibility of Portfolio Margining (September 17, 2012) 12-0272 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (September 11, 2012) 12-0266 - Rules Notice - Notice of Withdrawal - Withdrawal of Proposed Limitation on IIROC Enforcement Proceedings (September 6, 2012) 12-0265 - Rules Notice - Technical - Custodial Agreements (September 4, 2012) 12-0262 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (August 27, 2012) 12-0260 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (Supplement) (August 22, 2012) 12-0251 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (August 14, 2012) 12-0247 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian and U.S. Index Products (August 10, 2012) 12-0246 - Rules Notice - Decision of the Board of Directors - Application concerning the proposed offering of adviceDirect (August 9, 2012) 12-0240 - Rules Notice - Technical - Custodial Agreements (August 2, 2012) 12-0237 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (July 30, 2012) 12-0225 - Rules Notice - Notice of Approval/Implementation - Client Relationship Model – Extension of implementation of the enhanced suitability assessment requirements prescribed by Dealer Member Rule 1300.1 (July 19, 2012) 12-0217 - Rules Notice - Request for Comments - IIROC Concept Proposal – Restricted Dealer Member Proposal (July 12, 2012) 12-0213 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (July 9, 2012) 12-0212 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (July 9, 2012) 12-0208 - Rules Notice - Request for Comments - Request for Comments on draft guidance regarding Borrowing for Investment Purposes– Suitability and Supervision (July 4, 2012) 12-0206 - Rules Notice - Technical - Research reports issued by firms regulated by the Financial Services Authority (July 3, 2012) 12-0205 - Rules Notice - Technical - Custodial Agreements (July 3, 2012) 12-0202 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (June 28, 2012) 12-0187 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (June 7, 2012) 12-0186 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (June 7, 2012) 12-0181 - Rules Notice - Technical - Custodial Agreements (June 1, 2012) 12-0175 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (May 29, 2012) 12-0167 - Rules Notice - Technical - List of Acceptable Trade Matching Utilities (May 15, 2012) 12-0161 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (May 9, 2012) 12-0160 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (May 9, 2012) 12-0153 - Rules Notice - Technical - Custodial Agreements (May 2, 2012) 12-0135 - Rules Notice - Request for Comments - Request for Comments on draft guidance regarding the meaning of "date of the offering" in Requirement 14 of Dealer Member Rule 3400 – Research Restrictions and Disclosure Requirements (April 13, 2012) 12-0129 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (April 10, 2012) 12-0128 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (April 10, 2012) 12-0123 - Rules Notice - Technical - Custodial Agreements (April 2, 2012) 12-0118 - Rules Notice - Technical - List of Acceptable Trade Matching Utilities (April 2, 2012) 12-0111 - Rules Notice - Request for Comments - Plain language rule re-write project: Clean up amendments (March 30, 2012) 12-0109 - Rules Notice - Guidance Note - Know your client and suitability - Guidance (March 26, 2012) 12-0108 - Rules Notice - Guidance Note - Client Relationship Model – Guidance (March 26, 2012) 12-0107 - Rules Notice - Notice of Approval/Implementation - Client Relationship Model - Implementation (March 26, 2012) 12-0104 - Rules Notice - Request for Comments - Consolidation of IIROC Enforcement, Procedural, Examination and Approval Rules (March 23, 2012) 12-0088 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (March 9, 2012) 12-0087 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (March 9, 2012) 12-0083 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (March 5, 2012) 12-0080 - Rules Notice - Technical - Custodial Agreements (March 2, 2012) 12-0073 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (February 27, 2012) 12-0072 - Rules Notice - Technical - List of Acceptable Trade Matching Utilities for the purposes of IIROC Dealer Member Rule 800.49 relating to Broker to Broker Trade Matching (February 27, 2012) 12-0069 - Rules Notice - Technical - Foreign Currency Group Upgrade (February 24, 2012) 12-0066 - Rules Notice - Technical - List of Recognized Exchanges and Associations (Regulated Entities Purposes) (February 23, 2012) 12-0057 - Rules Notice - Request for Comments - Amendments to Dealer Member Rules to permit partial swap offset strategies and the corresponding housekeeping amendments (February 17, 2012) 12-0049 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (February 10, 2012) 12-0048 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (February 10, 2012) 12-0042 - Rules Notice - Request for Comments - Plain language rule re-write project – Dealer Member Margin Rules, Rules 5100 through 5800 (February 3, 2012) 12-0035 - Rules Notice - Technical - Custodial Agreements (February 1, 2012) 12-0030 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (January 27, 2012) 12-0028 - Rules Notice - Request for Comments - Amendment to Dealer Member Rule 100.10(f)(vi) Box Spread (January 27, 2012) 12-0021 - Rules Notice - Request for Comments - Amendments to Schedule 12 of Form 1 and the Notes and Instructions to Schedule 12 of Form 1 (January 20, 2012) 12-0008 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (January 9, 2012) 12-0007 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (January 9, 2012) 12-0005 - Rules Notice - Request for Comments - Plain language rule re-write project – Interpretation and standards; Proposed Rules 1100 through 1400 (January 6, 2012) 12-0003 - Rules Notice - Technical - Custodial Agreements (January 3, 2012) 2011 11-0361 - Rules Notice - Request for Comments - Request for comments on draft Guidance Note "The Role of Compliance and Supervision" (December 15, 2011) 11-0356 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (December 12, 2011) 11-0353 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (December 9, 2011) 11-0352 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (December 9, 2011) 11-0350 - Rules Notice - Request for Comments - Summary of comments received on the updated draft Guidance Notice MR0281: "Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence" (December 7, 2011) 11-0349 - Rules Notice - Guidance Note - Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence (December 7, 2011) 11-0346 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (December 5, 2011) 11-0345 - Rules Notice - Technical - Custodial Agreements (December 2, 2011) 11-0344 - Rules Notice - Request for Comments - Requirement to Disclose Membership in IIROC as Dealer Member (December 2, 2011) 11-0335 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (November 23, 2011) 11-0312 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (November 4, 2011) 11-0311 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (November 4, 2011) 11-0303 - Rules Notice - Technical - Custodial Agreements (November 1, 2011) 11-0290 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (October 17, 2011) 11-0287 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (October 12, 2011) 11-0286 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (October 12, 2011) 11-0285 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (October 7, 2011) 11-0279 - Rules Notice - Technical - Custodial Agreements (October 3, 2011) 11-0276 - Rules Notice - Technical - CSA issues Notice relating to National Instrument 31-103 (September 29, 2011) 11-0274 - Rules Notice - Technical - List of Foreign Exchange (FX) Spot Risk Margin Rates for Canadian and U.S. Base Currency Accounts (September 23, 2011) 11-0263 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (September 7, 2011) 11-0262 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (September 7, 2011) 11-0261 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (September 6, 2011) 11-0257 - Rules Notice - Guidance Note - Guidance on fair pricing of over-the-counter securities (September 1, 2011) 11-0256 - Rules Notice - Notice of Approval/Implementation - Over-the-counter securities fair pricing rule and confirmation disclosure requirements (September 1, 2011) 11-0255 - Rules Notice - Technical - Custodial Agreements (September 1, 2011) 11-0249 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (August 23, 2011) 11-0247 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (August 19, 2011) 11-0244 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (August 15, 2011) 11-0240 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (August 11, 2011) 11-0237 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (August 10, 2011) 11-0236 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (August 10, 2011) 11-0235 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (August 8, 2011) 11-0231 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (August 2, 2011) 11-0230 - Rules Notice - Technical - Custodial Agreements (07-31-11) (August 2, 2011) 11-0214 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (July 18, 2011) 11-0213 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (July 15, 2011) 11-0212 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (July 15, 2011) 11-0200 - Rules Notice - Technical - Custodial Agreements (July 4, 2011) 11-0187 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (June 15, 2011) 11-0186 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (June 15, 2011) 11-0169 - Rules Notice - Technical - Custodial Agreements (June 1, 2011) 11-0164 - Rules Notice - Request for Comments - Plain language rule re-write project - Debt Markets and Inter-Dealer Bond Brokers (May 27, 2011) 11-0162 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (May 24, 2011) 11-0155 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (May 13, 2011) 11-0154 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (May 13, 2011) 11-0150 - Rules Notice - Request for Comments - Request for comments on draft Guidance Note "Disclosure and approval of outside business activities" (May 11, 2011) 11-0149 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (May 9, 2011) 11-0141 - Rules Notice - Technical - Custodial Agreements (May 2, 2011) 11-0131 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (April 19, 2011) 11-0122 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (April 8, 2011) 11-0121 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (April 8, 2011) 11-0118 - Rules Notice - Technical - Supplement to the List of Securities Eligible for Reduced Margin (April 7, 2011) 11-0117 - Rules Notice - Technical - Custodial Agreements (April 4, 2011) 11-0100 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (March 14, 2011) 11-0099 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (March 14, 2011) 11-0095 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (March 9, 2011) 11-0086 - Rules Notice - Technical - Custodial Agreements (March 1, 2011) 11-0083 - Rules Notice - Request for Comments - Response to comments on proposed amendments to Form 1 to adopt IFRS for regulatory reporting purposes (February 28, 2011) 11-0082 - Rules Notice - Notice of Approval/Implementation - Amendments to Form 1 to adopt IFRS for regulatory reporting purposes (February 28, 2011) 11-0081 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (February 28, 2011) 11-0071 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (February 22, 2011) 11-0070 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (February 22, 2011) 11-0068 - Rules Notice - Technical - List of Basel Accord Countries (February 16, 2011) 11-0064 - Rules Notice - Notice of Approval/Implementation - Amendments to Form 1 to adopt CAS for the audits of regulatory financial statements (February 14, 2011) 11-0061 - Rules Notice - Request for Comments - Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100 - 2700 (February 11, 2011) 11-0051 - Rules Notice - Request for Comments - Request for comments on the updated draft Guidance Notice MR0281: "Guidelines for the review, supervision and retention of advertisements, sales literature and correspondence" (February 7, 2011) 11-0047 - Rules Notice - Technical - List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars (February 3, 2011) 11-0044 - Rules Notice - Technical - Custodial Agreements (February 1, 2011) 11-0035 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (January 26, 2011) 11-0033 - Rules Notice - Technical - IIROC Proficiency Requirements – Options Licensing (January 24, 2011) 11-0023 - Rules Notice - Technical - Securities Listed on Foreign Exchanges Eligible for Margin (January 19, 2011) 11-0017 - Rules Notice - Notice of Withdrawal - Withdrawal of Amendments to Form 1 to adopt CAS for the audits of regulatory financial statements (January 14, 2011) 11-0016 - Rules Notice - Notice of Approval/Implementation - Increase of Arbitration Award Limit to $500,000, Election on Cost Awards and Summary of Public Comments (January 14, 2011) 11-0013 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (January 13, 2011) 11-0012 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (January 13, 2011) 11-0005 - Rules Notice - Request for Comments - Proposals to implement the core principles of the Client Relationship Model (January 7, 2011) 11-0002 - Rules Notice - Technical - Custodial Agreements (January 4, 2011) 2010 10-0330 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (December 14, 2010) 10-0329 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (December 14, 2010) 10-0328 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (December 14, 2010) 10-0322 - Rules Notice - Notice of Approval/Implementation - Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies (December 3, 2010) 10-0321 - Rules Notice - Notice of Withdrawal - Withdrawal of Proposed Amendments to Continuing Jurisdiction Provisions (December 3, 2010) 10-0319 - Rules Notice - Technical - Custodial Agreements (December 1, 2010) 10-0304 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (November 19, 2010) 10-0302 - Rules Notice - Technical - List of Recognized Exchanges and Associations (Regulated Entities Purposes) (November 19, 2010) 10-0301 - Rules Notice - Technical - List of Basel Accord Countries (November 19, 2010) 10-0294 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (November 12, 2010) 10-0293 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (November 12, 2010) 10-0285 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (November 2, 2010) 10-0283 - Rules Notice - Technical - Custodial Agreements (November 1, 2010) 10-0278 - Rules Notice - Guidance Note - Consolidated Compliance Report: Examination Findings in the 2009/2010 Examination Cycle and the Focus for the Current Examination Cycle (October 22, 2010) 10-0271 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (October 14, 2010) 10-0270 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (October 14, 2010) 10-0267 - Rules Notice - Request for Comments - Plain language rule re-write project – Financial and Operational Rules, Rules 4100 through 4900 (October 8, 2010) 10-0266 - Rules Notice - Request for Comments - Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900 (October 8, 2010) 10-0260 - Rules Notice - Technical - Custodial Agreements (October 1, 2010) 10-0251 - Rules Notice - Technical - Temporary exemption from the requirement to provide relationship disclosure information prescribed by Section 14.2(1) of National Instrument 31-103, Registration Requirements and Exemptions (September 17, 2010) 10-0250 - Rules Notice - Technical - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (September 16, 2010) 10-0244 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (September 13, 2010) 10-0243 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (September 13, 2010) 10-0235 - Rules Notice - Technical - Custodial Agreements (September 1, 2010) 10-0234 - Rules Notice - Guidance Note - New Product Due Diligence Regulatory Review– Common Deficiencies and Requirements for Written Policies, Procedures and Controls (August 31, 2010) 10-0233 - Rules Notice - Guidance Note - Principal Protected Notes Compliance Review: Findings, Requirements and Recommendations (August 31, 2010) 10-0230 - Rules Notice - Request for Comments - Amendments to Form 1 to adopt IFRS for regulatory reporting purposes (August 27, 2010) 10-0229 - Rules Notice - Technical - Acceptable Institutions and Acceptable Counterparties Database (August 25, 2010) 10-0227 - Rules Notice - Request for Comments - Summary of Public Comments relating to IIROC Arbitration Program Review and Request for Comments re: Award Limit of $500,000 and Costs Awards (August 24, 2010) 10-0226 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (August 24, 2010) 10-0218 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (August 13, 2010) 10-0214 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (August 10, 2010) 10-0213 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (August 10, 2010) 10-0209 - Rules Notice - Technical - Custodial Agreements (August 3, 2010) 10-0205 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (July 28, 2010) 10-0204 - Rules Notice - Technical - List of Entities Considered Suitable to Hold LBMA Gold and Silver Delivery Bars (July 28, 2010) 10-0203 - Rules Notice - Technical - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (July 28, 2010) 10-0200 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (July 16, 2010) 10-0198 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (July 14, 2010) 10-0197 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (July 14, 2010) 10-0195 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (July 6, 2010) 10-0192 - Rules Notice - Technical - Custodial Agreements (July 2, 2010) 10-0179 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (June 18, 2010) 10-0171 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (June 11, 2010) 10-0170 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (June 11, 2010) 10-0163 - Rules Notice - Request for Comments - Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements (June 4, 2010) 10-0161 - Rules Notice - Technical - Custodial Agreements (June 1, 2010) 10-0155 - Rules Notice - Request for Comments - Personal Financial Dealing and Outside Business Activities Proposals (May 28, 2010) 10-0137 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying U.S. Index Products (May 14, 2010) 10-0136 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (May 14, 2010) 10-0130 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (May 7, 2010) 10-0126 - Rules Notice - Technical - List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) (May 4, 2010) 10-0125 - Rules Notice - Technical - Custodial Agreements (May 3, 2010) 10-0100 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (April 9, 2010) 10-0099 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (April 9, 2010) 10-0097 - Rules Notice - Request for Comments - Trade Confirmation and Matching Requirements (April 9, 2010) 10-0090 - Rules Notice - Technical - Custodial Agreements (April 1, 2010) 10-0085 - Rules Notice - Request for Comments - Plain language rule re-write project – Proposed Rule 3100, Business Conduct and Proposed Rule 3200, Client Accounts (March 26, 2010) 10-0077 - Rules Notice - Technical - Foreign Exchange (FX) Margin Surcharge (March 22, 2010) 10-0074 - Rules Notice - Technical - Foreign Currency Group (March 19, 2010) 10-0069 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (March 12, 2010) 10-0068 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (March 12, 2010) 10-0062 - Rules Notice - Technical - Registration Reform – Frequently Asked Questions (March 12, 2010) 10-0060 - Rules Notice - Guidance Note - Reporting of Changes to Business Models (March 11, 2010) 10-0049 - Rules Notice - Technical - Custodial Agreements (March 2, 2010) 10-0041 - Rules Notice - Technical - List of Securities Eligible for Reduced Margin (February 22, 2010) 10-0037 - Rules Notice - Notice of Approval/Implementation - IIROC Registration Reform Rule Amendments - Correction (February 12, 2010) 10-0035 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (February 12, 2010) 10-0034 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (February 12, 2010) 10-0028 - Rules Notice - Request for Comments - Request for comments on draft "Requirements and Best Practices for distribution of non-arm’s length investment products" (February 5, 2010) 10-0023 - Rules Notice - Technical - Custodial Agreements (February 1, 2010) 10-0016 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (January 19, 2010) 10-0015 - Rules Notice - Technical - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (January 19, 2010) 10-0004 - Rules Notice - Technical - Custodial Agreements (January 4, 2010) 2009 09-0370 - Rules Notice - Guidance Note - Best Practices for Head Office Supervision of Branch Offices (December 22, 2009) 09-0363 - Rules Notice - Notice of Approval/Implementation - Client Complaint Handling Rule and Guidance Note; and amendments to Dealer Member Rules 19, 37 and 2500 (December 21, 2009) 09-0359 - Rules Notice - Request for Comments - Review of IIROC Arbitration Program (December 16, 2009) 09-0353 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (December 9, 2009) 09-0352 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (December 9, 2009) 09-0349 - Rules Notice - Technical - Custodial Agreements (December 2, 2009) 09-0341 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (November 25, 2009) 09-0330 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (November 13, 2009) 09-0329 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (November 13, 2009) 09-0321 - Rules Notice - Guidance Note - Custodial Agreements (November 2, 2009) 09-0309 - Rules Notice - Guidance Note - FX Margin Surcharge (October 22, 2009) 09-0301 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (October 14, 2009) 09-0300 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (October 14, 2009) 09-0293 - Rules Notice - Request for Comments - Request for comments on draft Guidance Note: "Know-your-client and Suitability Guidelines" (October 2, 2009) 09-0292 - Rules Notice - Guidance Note - Custodial Agreements (October 1, 2009) 09-0288 - Rules Notice - Guidance Note - List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) (September 30, 2009) 09-0275 - Rules Notice - Notice of Approval/Implementation - Change of Arbitration Administrator in Western Canada (September 23, 2009) 09-0274 - Rules Notice - Guidance Note - Acceptable Institutions and Acceptable Counterparties Database (September 21, 2009) 09-0272 - Rules Notice - Guidance Note - Bare Trustee Agreements (September 18, 2009) 09-0268 - Rules Notice - Notice of Approval/Implementation - IIROC Dealer Member Rule Amendments to Implement the CSA’s Registration Reform Project (September 16, 2009) 09-0267 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (Supplement) (September 16, 2009) 09-0261 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (September 10, 2009) 09-0260 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (September 10, 2009) 09-0251 - Rules Notice - Guidance Note - Custodial Agreements (September 1, 2009) 09-0243 - Rules Notice - Notice of Approval/Implementation - Canadian Investor Protection Fund (August 25, 2009) 09-0242 - Rules Notice - Notice of Approval/Implementation - Amendments to complaint handling requirements – status and implementation update (August 19, 2009) 09-0240 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (August 18, 2009) 09-0235 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (August 10, 2009) 09-0234 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (August 10, 2009) 09-0232 - Rules Notice - Guidance Note - Custodial Agreements (August 7, 2009) 09-0222 - Rules Notice - Guidance Note - Consolidated Compliance Report: Examination Findings in the 2008/2009 Examination Cycle and the Areas of Examination Focus for the 2009/2010 Cycle (July 30, 2009) 09-0218 - Rules Notice - Guidance Note - FX Margin Surcharge (July 23, 2009) 09-0217 - Rules Notice - Guidance Note - List of Entities Considered Suitable to Hold LBMA Gold and Silver Good Delivery Bars (July 23, 2009) 09-0213 - Rules Notice - Notice of Approval/Implementation - IIROC Dealer Member Rule Amendments to Implement the CSA’s Registration Reform Project (July 17, 2009) 09-0209 - Rules Notice - Guidance Note - International Financial Reporting Standards (IFRS): Survey Results and Staff Recommendations (July 13, 2009) 09-0208 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (July 10, 2009) 09-0207 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (July 10, 2009) 09-0207 - Rules Notice - Guidance Note - Custodial Agreements (July 2, 2009) 09-0186 - Rules Notice - Guidance Note - List of Approved Inter-Dealer Bond Brokers (June 22, 2009) 09-0175 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (June 12, 2009) 09-0174 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (June 12, 2009) 09-0172 - Rules Notice - Guidance Note - Sales Practice Obligations Relating to Leveraged and Inverse Exchange-Traded Funds (June 11, 2009) 09-0171 - Rules Notice - Guidance Note - Best Practices for Credit Risk Management (June 11, 2009) 09-0169 - Rules Notice - Guidance Note - FX Margin Surcharge (June 8, 2009) 09-0161 - Rules Notice - Guidance Note - Custodial Agreements (June 1, 2009) 09-0156 - Rules Notice - Notice of Approval/Implementation - Margin Requirements for Precious Metals – Amendments to IIROC Dealer Member Rules 100.2, 100.20, and 400.4, and Dealer Member Form 1 (May 25, 2009) 09-0153 - Rules Notice - Request for Comments - Trading in Securities of U.S. OTC Issuers - Proposed Amendments to Dealer Member Rule 1300.1 (May 22, 2009) 09-0148 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (May 15, 2009) 09-0134 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (May 6, 2009) 09-0133 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (May 6, 2009) 09-0130 - Rules Notice - Guidance Note - Custodial Agreements (May 4, 2009) 09-0129 - Rules Notice - Guidance Note - FX Margin Surcharge (May 4, 2009) 09-0125 - Rules Notice - Request for Comments - Proposed amendments to simplify the Equity Margin Project (May 1, 2009) 09-0120 - Rules Notice - Request for Comments - Client Relationship Model (April 24, 2009) 09-0119 - Rules Notice - Request for Comments - Revisions to the definition of "securities related activities" (April 24, 2009) 09-0117 - Rules Notice - Guidance Note - Reminder of Disclosure Requirements for CDIC Coverage Eligibility for GIC Customer Holdings (April 22, 2009) 09-0109 - Rules Notice - Request for Comments - Proposed over-the-counter securities fair pricing rule and confirmation disclosure requirements (April 17, 2009) 09-0104 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Qualifying Canadian Index Products (April 7, 2009) 09-0103 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (April 7, 2009) 09-0101 - Rules Notice - Guidance Note - FX Margin Surcharge (April 7, 2009) 09-0100 - Rules Notice - Guidance Note - Maintaining an effective compliance regime during economic and market downturns (April 3, 2009) 09-0098 - Rules Notice - Guidance Note - Custodial Agreements (April 2, 2009) 09-0087 - Rules Notice - Guidance Note - Best practices for product due diligence (March 23, 2009) 09-0086 - Rules Notice - Request for Comments - Response to comments received on draft guidance notice: "Best practices for product due diligence" (March 23, 2009) 09-0072 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (March 9, 2009) 09-0067 - Rules Notice - Guidance Note - Custodial Agreements (March 3, 2009) 09-0063 - Rules Notice - Guidance Note - Acceptable Institutions and Acceptable Counterparties Database (February 27, 2009) 09-0056 - Rules Notice - Guidance Note - IFRS Survey Questionnaire (February 23, 2009) 09-0052 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (February 17, 2009) 09-0051 - Rules Notice - Request for Comments - Response to comments – client complaint handling rule and guidance note and amendments to Dealer Member Rules 19, 37 and 2500 (February 17, 2009) 09-0050 - Rules Notice - Request for Comments - Amendments to Dealer Member Rules Regarding Conversion and Reconversion Offset Strategies (February 13, 2009) 09-0049 - Rules Notice - Request for Comments - Amendments to Dealer Member Rules to permit partial offsets for offset strategies involving interest rate swaps and total performance swaps (February 13, 2009) 09-0048 - Rules Notice - Request for Comments - Amendments to complaint handling requirements - client complaint handling rule and guidance note and amendments to Dealer Member Rules 19, 37 and 2500 (February 13, 2009) 09-0047 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (February 11, 2009) 09-0045 - Rules Notice - Guidance Note - FX Margin Surcharge (February 9, 2009) 09-0041 - Rules Notice - Notice of Approval/Implementation - Approved inter-dealer bond brokers – Amendments to IIROC Dealer Member Form 1 (February 5, 2009) 09-0040 - Rules Notice - Guidance Note - List of Approved Inter-Dealer Bond Brokers (February 5, 2009) 09-0039 - Rules Notice - Guidance Note - List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) (February 4, 2009) 09-0036 - Rules Notice - Guidance Note - Custodial Agreements (February 3, 2009) 09-0017 - Rules Notice - Guidance Note - Important Amendments to Quebec Legislation affecting Margin Accounts (January 21, 2009) 09-0011 - Rules Notice - Notice of Approval/Implementation - Offsets between strip coupon positions and / or residual debt positions – Amendments to IIROC Dealer Member Rule 100.4E (January 15, 2009) 09-0008 - Rules Notice - Guidance Note - FX Margin Surcharge (January 12, 2009) 09-0006 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (January 9, 2009) 09-0003 - Rules Notice - Guidance Note - Custodial Agreements (January 6, 2009) 2008 08-0237 - Rules Notice - Guidance Note - Equity Margin Project - Timelines Delayed (December 30, 2008) 08-0236 - Rules Notice - Guidance Note - FX Margin Surcharge (December 29, 2008) 08-0234 - Rules Notice - Guidance Note - List of Acceptable Clearing Corporations and Acceptable Securities Locations (Depositories and Clearing Agencies) (December 19, 2008) 08-0233 - Rules Notice - Notice of Approval/Implementation - Acceptable Clearing Corporations and Acceptable Securities Locations – Amendments to IIROC Dealer Member Form 1 (December 19, 2008) 08-0227 - Rules Notice - Guidance Note - FX Margin Surcharge (December 15, 2008) 08-0221 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (December 5, 2008) 08-0213 - Rules Notice - Guidance Note - Custodial Agreements (December 1, 2008) 08-0202 - Rules Notice - Notice of Approval/Implementation - Elimination of IIROC Appeal Panel (November 24, 2008) 08-0200 - Rules Notice - Notice of Approval/Implementation - Securities Concentration Charge calculation option for Broad Based Index Securities - Amendments to IIROC Dealer Member Form 1 (November 24, 2008) 08-0199 - Rules Notice - Guidance Note - FX Margin Surcharge (November 24, 2008) 08-0192 - Rules Notice - Guidance Note - FX Margin Surcharge (November 14, 2008) 08-0182 - Rules Notice - Guidance Note - List of Acceptable Trade Matching Utilities for the purposes of IIROC Dealer Member Rule 800.49 relating to Broker to Broker Trade Matching (November 7, 2008) 08-0181 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (November 7, 2008) 08-0177 - Rules Notice - Guidance Note - FX Margin Surcharge (November 5, 2008) 08-0175 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (November 4, 2008) 08-0172 - Rules Notice - Guidance Note - Custodial Agreements (November 4, 2008) 08-0171 - Rules Notice - Guidance Note - FX Margin Surcharge (November 4, 2008) 08-0168 - Rules Notice - Guidance Note - FX Margin Surcharge (October 31, 2008) 08-0165 - Rules Notice - Guidance Note - FX Margin Surcharge (October 28, 2008) 08-0164 - Rules Notice - Guidance Note - FX Margin Surcharge (October 28, 2008) 08-0158 - Rules Notice - Guidance Note - FX Margin Surcharge (October 24, 2008) 08-0156 - Rules Notice - Request for Comments - Extension of Request for Comments – Amendments to Implement the CSA Registration Reform Project (October 23, 2008) 08-0152 - Rules Notice - Guidance Note - FX Margin Surcharge (October 20, 2008) 08-0150 - Rules Notice - Guidance Note - FX Margin Surcharge (October 17, 2008) 08-0149 - Rules Notice - Request for Comments - Request for comments on draft guidance note: "Best practices for product due diligence" (October 17, 2008) 08-0144 - Rules Notice - Guidance Note - FX Margin Surcharge (October 16, 2008) 08-0142 - Rules Notice - Guidance Note - FX Margin Surcharge (October 15, 2008) 08-0138 - Rules Notice - Guidance Note - FX Margin Surcharge (October 10, 2008) 08-0132 - Rules Notice - Guidance Note - FX Margin Surcharge (October 9, 2008) 08-0126 - Rules Notice - Guidance Note - FX Margin Surcharge (October 7, 2008) 08-0125 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (October 7, 2008) 08-0119 - Rules Notice - Guidance Note - Custodial Agreements (October 2, 2008) 08-0118 - Rules Notice - Guidance Note - FX Margin Surcharge (October 2, 2008) 08-0113 - Rules Notice - Guidance Note - Adoption of International Financial Reporting Standards (IFRS) (September 30, 2008) 08-0106 - Rules Notice - Guidance Note - Acceptable Institutions and Acceptable Counterparties Database (September 25, 2008) 08-0103 - Rules Notice - Guidance Note - FX Margin Surcharge (September 23, 2008) 08-0100 - Rules Notice - Guidance Note - FX Margin Surcharge (September 22, 2008) 08-0097 - Rules Notice - Guidance Note - Third-Party ABCP Exchanged into MAV and Tracking Notes (September 22, 2008) 08-0095 - Rules Notice - Guidance Note - Securities Listed on Foreign Exchanges Eligible for Margin (September 19, 2008) 08-0094 - Rules Notice - Guidance Note - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (September 19, 2008) 08-0092 - Rules Notice - Request for Comments - Extension of Request for Comment - Financial Planning Rule (September 17, 2008) 08-0080 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (September 11, 2008) 08-0079 - Rules Notice - Guidance Note - FX Margin Surcharge (September 10, 2008) 08-0077 - Rules Notice - Notice of Approval/Implementation - Swap Arrangements involving Regulated Entities (September 8, 2008) 08-0074 - Rules Notice - Guidance Note - Margining of a Security that is not Covered in Dealer Member Rule 100 or Form 1 (September 4, 2008) 08-0069 - Rules Notice - Guidance Note - Custodial Agreements (September 2, 2008) 08-0061 - Rules Notice - Guidance Note - List of Securities Eligible for Reduced Margin (August 18, 2008) 08-0058 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (August 13, 2008) 08-0055 - Rules Notice - Guidance Note - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (August 6, 2008) 08-0054 - Rules Notice - Guidance Note - Securities Listed on Foreign Exchanges Eligible for Margin (August 6, 2008) 08-0053 - Rules Notice - Guidance Note - Custodial Agreements (August 5, 2008) 08-0041 - Rules Notice - Guidance Note - DESIGNATION OF ADDITIONAL EXCHANGE-TRADED FUNDS (July 21, 2008) 08-0025 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (July 11, 2008) 08-0023 - Rules Notice - Guidance Note - Custodial Agreements (July 2, 2008) 08-0021 - Rules Notice - Guidance Note - FX Margin Surcharge (July 2, 2008) 08-0010 - Rules Notice - Guidance Note - Equity Margin Project – Timelines and Margin Rate File (June 16, 2008) 08-0008 - Rules Notice - Guidance Note - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (June 12, 2008) 08-0004 - Rules Notice - Guidance Note - Custodial Agreements (June 3, 2008) 08-0002 - Rules Notice - Guidance Note - INDUSTRY STANDARD AGREEMENTS (June 2, 2008) Bulletins 2008 Bulletin No. 3724 - General - CONTINUING EDUCATION RENDEZ-VOUS 2008 (Québec) (May 26, 2008) Bulletin No. 3723 - General - A Practical Approach to Resolving Client Conflicts (May 26, 2008) Bulletin No. 3722 - Resignation - Aquilon Capital Corp. (May 22, 2008) Bulletin No. 3721 - Notice of Intention to Resign - GRS Securities Inc. (May 22, 2008) Bulletin No. 3720 - Notice of Intention to Resign - Golden Capital Securities Ltd. (May 6, 2008) Bulletin No. 3719 - General - Shedding Light on Conflicts of Interest and Other Business Activities (May 2, 2008) Bulletin No. 3718 - Resignation - Everest Securities Inc. (May 1, 2008) Bulletin No. 3717 - General - Client Identity and Canada’s "New Age" of AML - A Member Firm Symposium (April 29, 2008) Bulletin No. 3716 - By-Laws and Regulations - Client Relationship Model proposals (April 24, 2008) Bulletin No. 3715 - New Member - MarketAxess Canada Limited (April 24, 2008) Bulletin No. 3714 - By-Laws and Regulations - Housekeeping Amendment to By-law 18.14(d): Repeal of Subsection 18.14(d)(iii) (April 23, 2008) Bulletin No. 3714 - By-Laws and Regulations - Housekeeping Amendment to By-law 18.14(d): Repeal of Subsection 18.14(d)(iii) (April 23, 2008) Bulletin No. 3714 - Related Documents Bulletin No. 3713 - By-Laws and Regulations - Extending Debt Offsets to Customer Positions (Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K) (April 15, 2008) Bulletin No. 3713 - By-Laws and Regulations - Extending Debt Offsets to Customer Positions (Regulations 100.4A, 100.4B, 100.4C, 100.4D, 100.4E and 100.4K) (April 15, 2008) Bulletin No. 3713 - Related Documents Bulletin No. 3712 - General - Client Identity on the Frontline & Canada’s New Age of AML (April 4, 2008) Bulletin No. 3711 - New Member - Portfolio Strategies Securities Inc. (April 1, 2008) Bulletin No. 3710 - Notice of Intention to Resign - Aquilon Capital Corp. (March 27, 2008) Bulletin No. 3709 - Notice of Intention to Resign - Everest Securities Inc. (March 25, 2008) Bulletin No. 3708 - New Member - CMC Markets Canada Inc. (March 3, 2008) Bulletin No. 3707 - General - "Buying On Margin": A New Look at an Old Practice (February 27, 2008) Bulletin No. 3706 - General - Client Identity and Canada’s "New Age" of AML– A Member Firm Symposium (February 25, 2008) Bulletin No. 3705 - General - The IDA Montreal office is moving (February 15, 2008) Bulletin No. 3704 - General - Client Identity and Canada’s "New Age" of AML - A Member Firm Symposium (February 12, 2008) Bulletin No. 3703 - General - Enforcement Facts and Findings: Recent Trends, Impacts and Recommended Prevention Measures (January 25, 2008) Bulletin No. 3702 - Change in Control/Change of Name - Westwind Partners Inc. (January 14, 2008) Bulletin No. 3701 - New Member - ALL Group Financial Services Inc. (January 11, 2008) Bulletin No. 3700 - Change in Control - Burgeonvest Securities Limited (January 10, 2008) Bulletin No. 3699 - Change in Control - Stuart Investment Management Limited (January 10, 2008) Bulletin No. 3698 - Change in Name - Trilon Securities Corporation (January 8, 2008) Bulletin No. 3697 - Amalgamation - Fimat Canada Inc. and Calyon Financial Canada Inc. (January 4, 2008) 2007 Bulletin No. 3696 - New Member - thinkorswim Canada, Inc. (December 13, 2007) Bulletin No. 3695 - New Member - Cantor Fitzgerald Canada Corporation (December 13, 2007) Bulletin No. 3694 - Change in Name - Orion Securities Inc. (December 12, 2007) Bulletin No. 3693 - Termination - Graydon Elliott Capital Corporation (December 5, 2007) Bulletin No. 3692 - Change of Ownership - Wellington West Capital Markets Inc. (December 5, 2007) Bulletin No. 3691 - Change of Ownership - Orion Securities Inc. (December 3, 2007) Bulletin No. 3690 - General - Regulatory Issues: Non-Canadian Resident Accounts and Trusts: A Primer For Advisors (November 29, 2007) Bulletin No. 3689 - Change in Name - Instinet I-X Limited (November 22, 2007) Bulletin No. 3688 - By-Laws and Regulations - Amendments to Policy 6, Part I: Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contracts Portfolio Manager (November 12, 2007) Bulletin No. 3688 - By-Laws and Regulations - Amendments to Policy 6, Part I: Proficiency Requirements for Futures Contract Portfolio Managers and Associate Futures Contracts Portfolio Manager (November 12, 2007) Bulletin No. 3688 - Related Documents Bulletin No. 3687 - General - Changes to Publication of Disciplinary Bulletins (November 6, 2007) Bulletin No. 3686 - Change in Name - Parkyn, Wermenlinger, Layton Capital Inc. (October 31, 2007) Bulletin No. 3685 - Resignation - RSEG Trading Group Ltd. (October 26, 2007) Bulletin No. 3684 - General - Securities Industry Business Continuity Test - September 15, 2007 Summary Report (October 17, 2007) Bulletin No. 3683 - By-Laws and Regulations - Amendments to Policy 6, Part III - Continuing Education (October 17, 2007) Bulletin No. 3683 - By-Laws and Regulations - Amendments to Policy 6, Part III - Continuing Education (October 17, 2007) Bulletin No. 3683 - Related Documents Bulletin No. 3682 - General - Safeguarding Communication - Email Issues & Hazards, Policies to Consider (October 16, 2007) Bulletin No. 3681 - General - Continuing Education Training Event (October 15, 2007) Bulletin No. 3680 - Discipline - Discipline Penalties Imposed on Robert John Travers; Violations of By-law 29.1 and 18.14. (October 11, 2007) Bulletin No. 3679 - Discipline - Discipline Penalties Imposed on Moin Mirza; Violation of By-law 19.5. (October 10, 2007) Bulletin No. 3678 - Change in Name - The Jitney Group Inc. (October 9, 2007) Bulletin No. 3677 - General - Newfoundland and Labrador (October 3, 2007) Bulletin No. 3676 - Discipline - Motion by Louis-Philippe Séguin Dismissed (October 2, 2007) Bulletin No. 3675 - General - Compliance for Packaged Fee Based Accounts (October 2, 2007) Bulletin No. 3674 - By-Laws and Regulations - By-laws 38; Policy 6, Parts I and II - Chief Compliance Officer Qualifying Examination (September 28, 2007) Bulletin No. 3674 - By-Laws and Regulations - By-laws 38; Policy 6, Parts I and II - Chief Compliance Officer Qualifying Examination (September 28, 2007) Bulletin No. 3674 - Related Documents Bulletin No. 3673 - Discipline - Discipline Penalties Imposed on National Bank Financial Inc. - Violations of By-law 4.9, By-law 29.1 and 29.27, By-law 38.10 and 38.11, Regulation 1300.1 and 1300.2, Regulation 1900.2 and 1900.4 and Policy No. 2. (Septembe Bulletin No. 3672 - Discipline - Discipline Penalties Imposed on Fernando Meffé - Violations of By-law 29.1 and Regulation 1300.1 (September 20, 2007) Bulletin No. 3671 - Discipline - Discipline Penalties Imposed on Vance Elder (September 13, 2007) Bulletin No. 3670 - Discipline - Discipline Penalties Imposed on Margaret Patricia Hayden; Violations of Regulation 1300.1(a) (September 13, 2007) Bulletin No. 3669 - By-Laws and Regulations - Equity Margin Project - Phase 1 of rule amendment implementation (September 12, 2007) Bulletin No. 3669 - By-Laws and Regulations - Equity Margin Project - Phase 1 of rule amendment implementation (September 12, 2007) Bulletin No. 3669 - Related Documents Bulletin No. 3668 - Discipline - Appeal by Credifinance Securities Limited of Violation of By-law 19.5 - Allowed for Reason, in part, of New Evidence (September 10, 2007) Bulletin No. 3667 - Discipline - An IDA Hearing Panel suspends approval of Johanne Pinet for a period of one (1) year and finds her guilty of misappropriation of funds (September 7, 2007) Bulletin No. 3666 - General - Advisor Managed Discretionary Portfolios (September 5, 2007) Bulletin No. 3665 - Discipline - Discipline Penalties Imposed on Davor Dave Milardovic; Violations of By-law19.5 (September 5, 2007) Bulletin No. 3664 - Discipline - Discipline Penalties Imposed on Ronald Keith Furevick; Violations of By-law 29.1 (August 28, 2007) Bulletin No. 3663 - New Member - Magna Partners Ltd. (August 21, 2007) Bulletin No. 3662 - Nouveau membre - Lehman Brothers Canada Inc. (le 21 août 2007) Bulletin No. 3661 - General - Québec’s 2007-2008 Seminar Program (August 21, 2007) Bulletin No. 3660 - Discipline - Disciplinary Action Imposed on PEAK Securities Inc. - Violation of By-law 17.1 and 17.2(a) (August 15, 2007) Bulletin No. 3659 - Reorganization - CTI Capital Inc. (August 14, 2007) Bulletin No. 3658 - Discipline - Discipline Penalties Imposed on Xavier Cheng Kuo Li; Violations of By-law 29.1 (August 14, 2007) Bulletin No. 3657 - Discipline - Discipline proceedings ended in the matter of Ian Alexander Frew (August 13, 2007) Bulletin No. 3656 - Discipline - Discipline proceedings stayed in the matters of Wade Douglas MacBain, Karl Edward Neufeld and Frederick Henry Smith (August 13, 2007) Bulletin No. 3655 - Change in Name - Man Financial Canada Co. (August 13, 2007) Bulletin No. 3654 - By-Laws and Regulations - Amendments to Regulation 100.9 and 100.10 - Recognition of Three Complex Option Offset Strategies and Expansion of the list of Available Option Spreads involving Individual Equities (August 13, 2007) Bulletin No. 3654 - By-Laws and Regulations - Amendments to Regulation 100.9 and 100.10 - Recognition of Three Complex Option Offset Strategies and Expansion of the list of Available Option Spreads involving Individual Equities (August 13, 2007) Bulletin No. 3654 - Related Documents Bulletin No. 3653 - Discipline - Discipline Penalties Imposed on David Lyle Doering; Violations of By-law 29.1 (August 7, 2007) Bulletin No. 3652 - Discipline - Charge against Julius Caesar Phillip Vitug Dismissed - Alleged Violation of By-law 29.1 (July 30, 2007) Bulletin No. 3651 - General - Compliance for Fee Based Accounts (July 26, 2007) Bulletin No. 3650 - Notice of Intention to Resign - RSEG Trading Group Ltd. (July 20, 2007) Bulletin No. 3649 - Discipline - Discipline Penalties Imposed on Martin Brunetta - Violations of Association Regulation 1300.1(a) and By-Law 29.1 (July 19, 2007) Bulletin No. 3648 - By-Laws and Regulations - Form 1 - Standard form Auditors’ reports (July 18, 2007) Bulletin No. 3647 - Discipline - Discipline Penalties Imposed on Bertrand Trudel - Violations of By-law 29.1, Regulation 1300.1(p), 1300.4 and 1300.5 and Regulation 200.1(i)(3) (July 17, 2007) Bulletin No. 3646 - Discipline - Discipline Penalties Imposed on Jean-Louis Trudeau - Violations of Association Regulations 1300.1 (a) and 1300.1 (b) (July 16, 2007) Bulletin No. 3645 - Discipline - Permanent bar from approval with the Association and $150,000 fine imposed on Orazio Petriello for misappropriation of funds - Violation of By-law 29.1 (July 11, 2007) Bulletin No. 3644 - Discipline - Discipline Penalties Imposed on Donald Little; Violation of By-law 29.1 (July 9, 2007) Bulletin No. 3643 - Discipline - Discipline Penalty Imposed on Canaccord Capital Corporation; Violation of By-law 29.1. (July 6, 2007) Bulletin No. 3642 - Change in Name - Pacific International Securities Inc. (July 6, 2007) Bulletin No. 3641 - Resignation - Shorcan ATS Limited (July 5, 2007) Bulletin No. 3640 - Discipline - Discipline Penalties Imposed on Bruce Calvin Deck - Violations of By-law 29.1 (July 5, 2007) Bulletin No. 3639 - General - Dealing with Vulnerable Clients (June 27, 2007) Bulletin No. 3638 - Discipline - Permanent Bar from Approval with the Association and $50,000 Fine Imposed on Marc Beaudoin for Failure to Cooperate in the Association’s Investigation - Violation of IDA By-Law 19.5 (June 20, 2007) Bulletin No. 3637 - Discipline - Charge against Geoffrey Bruce Schmidt dismissed - Alleged Violation of By-law 19.5 (June 20, 2007) Bulletin No. 3636 - Notice of Intention to Resign - Shorcan ATS Limited (June 13, 2007) Bulletin No. 3635 - Discipline - Discipline Penalties Imposed on Stacey Trevor Symonds; Violations of Regulation 1300.4 (June 12, 2007) Bulletin No. 3634 - Discipline - Discipline Penalties Imposed on Octagon Capital Corporation; Violations of By-law 29.1 and Regulation 1300.2 (June 11, 2007) Bulletin No. 3633 - New Member - Instinet I-X Limited (June 7, 2007) Bulletin No. 3632 - New Member - Citadel Securities Inc. (June 7, 2007) Bulletin No. 3631 - Inactive Status - Shorcan ATS Limited (June 6, 2007) Bulletin No. 3630 - Discipline - Discipline Penalties Imposed on Thomas Edward McLellan; Violation of By-law 29.1 (May 28, 2007) Bulletin No. 3629 - General - Divorce and Client Account Related Matters (May 25, 2007) Bulletin No. 3628 - Discipline - Discipline Penalties Imposed on The Jitney Group Inc. - Violation of By-laws 17.1 and 30.6 (May 25, 2007) Bulletin No. 3627 - Discipline - Discipline Penalty Imposed on Catherina Dawn Blaker; Violations of By-law 29.1 and Regulation 1300.1(a) (May 11, 2007) Bulletin No. 3626 - Discipline - IDA Appeal Panel Dismisses Appeal by Jory Capital Inc. and Patrick Michael Cooney (May 9, 2007) Bulletin No. 3625 - Discipline - IDA Withdraws Allegations Against Ernest En Lin (May 9, 2007) Bulletin No. 3624 - General - Due Diligence Guidelines on Principal-protected Notes (May 7, 2007) Bulletin No. 3623 - Change of Ownership - Blackmont Capital Inc. (May 3, 2007) Bulletin No. 3622 - Change in Name - Sprott Securities Inc. (April 30, 2007) Bulletin No. 3621 - Reorganization - Norstar Securities International Inc. (April 18, 2007) Bulletin No. 3620 - General - Principal-Protected Notes & Due Diligence Part II (April 18, 2007) Bulletin No. 3619 - Discipline - Discipline Penalties Imposed on Michael Joseph Puccini; Violations of By-laws 29.1 and 19.5 (April 18, 2007) Bulletin No. 3618 - By-Laws and Regulations - Amendments to Statements B and C of Form 1 - Custodial Agreements (April 11, 2007) Bulletin No. 3618 - By-Laws and Regulations - Amendments to Statements B and C of Form 1 - Custodial Agreements (April 11, 2007) Bulletin No. 3618 - Related Documents Bulletin No. 3617 - Discipline - Discipline Penalties Imposed on Michael William Balanko; Violations of By-law 29.1, Regulation 1300.1 (q) and Regulation 1300.4 (March 29, 2007) Bulletin No. 3616 - General - Principal Protected Notes (March 22, 2007) Bulletin No. 3615 - Discipline - Discipline Penalties Imposed on Stephen Brook Toban; Violations of By-law 29.1. (March 16, 2007) Bulletin No. 3614 - Discipline - Discipline Penalties Imposed on David Michael Michaels; Violations of By-law 29.1 and By-law 19.6 (March 14, 2007) Bulletin No. 3613 - General - Practical Policies & Procedures from Current Producing Branch Managers (February 26, 2007) Bulletin No. 3612 - General - Managing a Business & Compliance: Practical Policies from Current Producing Branch Managers-French Version Web Cast Rescheduled (February 15, 2007) Bulletin No. 3611 - Discipline - Discipline Penalties Imposed on Thomas Clarke; Violations of By-law 29.1 (February 12, 2007) Bulletin No. 3610 - By-Laws and Regulations - Housekeeping Amendments to Regulation 100.2(d) and 100.13 (February 9, 2007) Bulletin No. 3610 - By-Laws and Regulations - Housekeeping Amendments to Regulation 100.2(d) and 100.13 (February 9, 2007) Bulletin No. 3610 - Related Documents Bulletin No. 3609 - Discipline - Discipline Penalties Imposed on Simon Schillaci; Violations of Regulation 1300.2 and Policy No. 2. (February 5, 2007) Bulletin No. 3608 - By-Laws and Regulations - Amendments to General Notes and Definitions to Form 1 - Permitting Qualified Foreign Pension Funds to be Classified as Acceptable Institutions and Acceptable Counterparties (February 1, 2007) Bulletin No. 3608 - By-Laws and Regulations - Amendments to General Notes and Definitions to Form 1 - Permitting Qualified Foreign Pension Funds to be Classified as Acceptable Institutions and Acceptable Counterparties (February 1, 2007) Bulletin No. 3608 - Related Documents Bulletin No. 3607 - New Member - Gateway Securities Inc. (January 31, 2007) Bulletin No. 3606 - New Member - Evergreen Capital Partners Inc. (January 31, 2007) Bulletin No. 3605 - Discipline - Discipline Penalties imposed on Robert Faiello - Violations of Regulation 1300.1(a) and By-law 29.1 (January 24, 2007) Bulletin No. 3604 - Public Affairs - New e-mail alerts added to e-publications (January 23, 2007) Bulletin No. 3603 - Change in Control - Tristone Capital Inc. (January 22, 2007) Bulletin No. 3602 - Discipline - Discipline Penalties Imposed on Yusuf Osman; Violation of By-law 29.1 (January 15, 2007) Bulletin No. 3601 - General - Educational Web Cast for Branch Managers & Advisors (January 12, 2007) Bulletin No. 3600 - Discipline - IDA Hearing Panel finds Jean-Louis Trudeau guilty of failing to act as gatekeeper (January 11, 2007) Bulletin No. 3599 - Discipline - Discipline Penalties Imposed on Savitri Shamseer; Violation of Regulations 1300.4 and 1300.1(c) (January 11, 2007) Bulletin No. 3598 - Change of Ownership - Shorcan ATS Limited (January 9, 2007) Bulletin No. 3597 - General - Breakfast Symposium for IDA Member Firms on Identity Theft (January 4, 2007) Bulletin No. 3596 - Discipline - Discipline Penalties Imposed on Anthony Zarkadoulas; Violation of By-law 29.1 (January 3, 2007) 2006 Bulletin No. 3595 - By-Laws and Regulations - Amendment to Policy 6, Parts I and II (December 30, 2006) Bulletin No. 3595 - By-Laws and Regulations - Amendment to Policy 6, Parts I and II (December 30, 2006) Bulletin No. 3595 - By-Laws and Regulations - Amendment to Policy 6, Parts I and II (December 30, 2006) Attachment Bulletin No. 3595 - Related Documents Bulletin No. 3594 - General - First Asset Advisory Services Inc. (December 30, 2006) Bulletin No. 3593 - Change in Ownership/Change of Name - StoxTrade Investments Inc. (December 21, 2006) Bulletin No. 3592 - General - Educational Web Cast for Branch Managers & Advisors (December 20, 2006) Bulletin No. 3591 - Discipline - Discipline Penalties Imposed on Credifinance Securities Limited; Violation of By-law 19.5 - Failure to Co-operate with IDA (December 18, 2006) Bulletin No. 3590 - Discipline - Discipline Penalties Imposed on RBC Dominion Securities Inc.; Violations of By-law 17.1 (December 7, 2006) Bulletin No. 3589 - Discipline - Discipline Penalties Imposed on Canaccord Capital Corporation, Donald Grant MacDonald, and Paul Peter DiPasquale; Violations of By-law 29.1, Regulation 1300.2 and Policy 2 (December 4, 2006) Bulletin No. 3588 - Discipline - Discipline Penalties Imposed on Denes Luciano Fransesco Peroni and Robert Paul Joseph Hétu; Violations of IDA By-law 29.1 (December 4, 2006) Bulletin No. 3587 - Amalgamation - Wellington West Capital Inc. and Clearsight Wealth Management Inc. (November 30, 2006) Bulletin No. 3586 - Resignation - Lazard Canada Corporation (November 30, 2006) Bulletin No. 3585 - General - Powers of Attorney & Trusts (November 27, 2006) Bulletin No. 3584 - New Member - OMG Wealth Management Inc. (November 23, 2006) Bulletin No. 3583 - By-Laws and Regulations - Regulation 100.5 - Capital requirements for certain private placements of restricted securities during the underwriting distribution period (November 20, 2006) Bulletin No. 3583 - By-Laws and Regulations - Regulation 100.5 - Capital requirements for certain private placements of restricted securities during the underwriting distribution period (November 20, 2006) Bulletin No. 3583 - Related Documents Bulletin No. 3582 - General - Online Security & Insurance Coverage for Online Fraud (November 9, 2006) Bulletin No. 3581 - Change in Control - First Asset Advisory Services Inc. (November 3, 2006) Bulletin No. 3580 - Change in Control - Clearsight Wealth Management Inc. (November 2, 2006) Bulletin No. 3579 - Discipline - Discipline Penalties Imposed on David Wayne Gradidge; Violations of By-law 29.1 (October 30, 2006) Bulletin No. 3578 - Discipline - Discipline Penalties Imposed on Young Ho Kim; Violations of Regulations 1300.4 and 1300.5 and By-law 29.1 (October 25, 2006) Bulletin No. 3577 - New Member - TriAct Canada Marketplace LP (October 25, 2006) Bulletin No. 3576 - General - Branch Manager and Advisor Educational Web Cast (October 19, 2006) Bulletin No. 3575 - General - Vancouver office is moving Friday, October 27, 2006 (October 11, 2006) Bulletin No. 3574 - Change in Name - Progressive Wealth Management (October 10, 2006) Bulletin No. 3573 - Change in Name - RBC Action Direct Inc. (October 2, 2006) Bulletin No. 3572 - By-Laws and Regulations - Amendments to Regulation 400.1, Insurance Requirements (September 11, 2006) Bulletin No. 3572 - By-Laws and Regulations - Amendments to Regulation 400.1, Insurance Requirements (September 11, 2006) Bulletin No. 3572 - Related Documents Bulletin No. 3571 - Discipline - Motion by Stephen Taub Dismissed (September 5, 2006) Bulletin No. 3570 - General - Complaints and Settlement Reporting System (ComSet) - ComSet System Upgrade (August 25, 2006) Bulletin No. 3569 - Discipline - Motion Application by Charles Kamal Dass Dismissed (August 21, 2006) Bulletin No. 3568 - New Member - Progressive Wealth Management LLP (August 21, 2006) Bulletin No. 3567 - Resignation - Notice of Intention to Resign (August 16, 2006) Bulletin No. 3566 - By-Laws and Regulations - By-law 17.16, Business Continuity Planning (August 11, 2006) Bulletin No. 3566 - By-Laws and Regulations - By-law 17.16, Business Continuity Planning (August 11, 2006) Bulletin No. 3566 - Related Documents Bulletin No. 3565 - Discipline - Discipline Penalties Imposed on Roger Racine - Violations of By-Law 29.27 and Policy No. 2 (July 24, 2006) Bulletin No. 3564 - Discipline - Discipline Penalties Imposed on Christian Guilbault - Violations of By-Law 29 and of Regulation 1300 (July 24, 2006) Bulletin No. 3563 - Discipline - Discipline Penalties Imposed on Randal Jerome Hazen - Violation of By-law 29.1 (July 24, 2006) Bulletin No. 3562 - Change of Ownership - D & D Securities Company (July 18, 2006) Bulletin No. 3561 - General - Regulatory Resources: Off-line version of the Rule Book (July 14, 2006) Bulletin No. 3560 - Change of Ownership - CPA Securities Inc. (July 6, 2006) Bulletin No. 3559 - Reorganization - Wellington West Capital Inc. (July 4, 2006) Bulletin No. 3558 - Discipline - Discipline Penalties Imposed on Robertson Rodger Dow; Violations of By-law 29.1 (July 4, 2006) Bulletin No. 3557 - By-Laws and Regulations - Amendments to Policy 6, Parts I and II implementing the Wealth Management Essentials Course (June 26, 2006) Bulletin No. 3557 - By-Laws and Regulations - Amendments to Policy 6, Parts I and II implementing the Wealth Management Essentials Course (June 26, 2006) Bulletin No. 3557 - Related Documents Bulletin No. 3556 - Reorganization - BNP (Canada) Securities Inc. (June 21, 2006) Bulletin No. 3555 - New Member - Retire First Ltd. (June 21, 2006) Bulletin No. 3554 - New Member - Lombard Odier Darier Hentsch Securities (Canada) Inc. (June 21, 2006) Bulletin No. 3553 - Reorganization - Dominick & Dominick Securities Inc. (June 21, 2006) Bulletin No. 3552 - New Member - Shorcan ATS Limited (June 20, 2006) Bulletin No. 3551 - Amalgamation - Ameritrade Canada, Inc. and TD Waterhouse Canada Inc. (June 12, 2006) Bulletin No. 3550 - General - IDA to hold consultation meetings on Fair Dealing Model proposal (June 6, 2006) Bulletin No. 3549 - Discipline - Discipline Penalties Imposed on John Kevin Letun; Violations of By-law 29.1 (June 5, 2006) Bulletin No. 3548 - Discipline - Discipline Penalties Imposed on Sylvie Brunet - Violation of By-law 29.1 (June 1, 2006) Bulletin No. 3547 - Resignation - United Capital Securities Inc. (May 31, 2006) Bulletin No. 3546 - General - IDA Launches New Regulatory Resources Management System (May 29, 2006) Bulletin No. 3545 - Discipline - Discipline Penalties Imposed on MGI Securites Inc. and Crawford Gordon; Violations of Regulation 1300.2 (May 25, 2006) Bulletin No. 3544 - Change in Name - Kingwest and Company (May 24, 2006) Bulletin No. 3543 - Termination - Resolution Capital Inc. (May 16, 2006) Bulletin No. 3542 - Resignation - NBCN (May 15, 2006) Bulletin No. 3541 - Termination - iForum Securities Inc. (May 12, 2006) Bulletin No. 3540 - Discipline - Discipline Penalties Imposed on Kelly John Campbell Husky; Violations of Regulation 1300.1(a) and By-law 29.1 (May 11, 2006) Bulletin No. 3539 - By-Laws and Regulations - Amendments to Policy No. 5; Policy No. 5B (May 8, 2006) Bulletin No. 3539 - By-Laws and Regulations - Amendments to Policy No. 5; Policy No. 5B (May 8, 2006) Bulletin No. 3539 - Related Documents Bulletin No. 3538 - Resignation - AIC Private Portfolio Group Inc. (May 8, 2006) Bulletin No. 3537 - Discipline - Discipline Penalties imposed on Larry Jay Tobin - Violations of By-law 29.1 and Regulation 1300.1(c) (May 8, 2006) Bulletin No. 3536 - Public Affairs - IDA President and CEO Joe Oliver to address The Canadian Club of Toronto (May 2, 2006) Bulletin No. 3535 - Change in Name - Strategic Capital Partners Inc. (May 1, 2006) Bulletin No. 3534 - Discipline - Discipline Penalties Imposed on Jerry Russell Johnson; Violations of By-law, 29.1 (April 27, 2006) Bulletin No. 3533 - Discipline - Charges against Tiffany Yen Siam Mu Dismissed - Alleged Violations of By-law 29.1 (April 24, 2006) Bulletin No. 3532 - Resignation - Leduc & Associates Securities Inc. (April 18, 2006) Bulletin No. 3531 - Discipline - Discipline Penalties Imposed on Union Securities Ltd. and John P. Thompson; Violation of By-law 29.1. (April 18, 2006) Bulletin No. 3530 - Discipline - Disciplinary Penalties Imposed on GRS Securities Inc; Violations of By-law 17.1 (April 17, 2006) Bulletin No. 3529 - By-Laws and Regulations - Housekeeping Amendments to By-law 2: Eliminating the Reference to District Association Auditors (April 17, 2006) Bulletin No. 3529 - By-Laws and Regulations - Housekeeping Amendments to By-law 2: Eliminating the Reference to District Association Auditors (April 17, 2006) Bulletin No. 3529 - Related Documents Bulletin No. 3528 - Discipline - Discipline Penalties Imposed on Kara Lee Cubbon; Violation of By-law 29.1 (April 12, 2006) Bulletin No. 3527 - By-Laws and Regulations - Amendments to By-laws 4.6 and 4.9 and Policy 6, Part I Non-retail Branch Managers (April 10, 2006) Bulletin No. 3527 - By-Laws and Regulations - Amendments to By-laws 4.6 and 4.9 and Policy 6, Part I Non-retail Branch Managers (April 10, 2006) Bulletin No. 3527 - Related Documents Bulletin No. 3526 - Notice of Intention to Resign - AIC Private Portfolio Group Inc. (April 3, 2006) Bulletin No. 3525 - Industry Relations and Representation - Changes to CORRA Calculations (March 27, 2006) Bulletin No. 3524 - By-Laws and Regulations - Regulation 1300.1 - Suitability and Institutional Accounts (March 24, 2006) Bulletin No. 3524 - By-Laws and Regulations - Regulation 1300.1 - Suitability and Institutional Accounts (March 24, 2006) Bulletin No. 3524 - Related Documents Bulletin No. 3523 - Discipline - Discipline penalties imposed on LVM Canada Ltée; Violations of By-law 3.3, By-law 7.5, By-law 16.2 and By-law 17.1 (March 21, 2006) Bulletin No. 3522 - By-Laws and Regulations - Amendments to IDA Form 1, Notes and Instructions to Statement A - Foreign Currency Cash Balances Held in RRSP Accounts (March 13, 2006) Bulletin No. 3522 - By-Laws and Regulations - Amendments to IDA Form 1, Notes and Instructions to Statement A - Foreign Currency Cash Balances Held in RRSP Accounts (March 13, 2006) Bulletin No. 3522 - Related Documents Bulletin No. 3521 - By-Laws and Regulations - Amendments to Regulation 500 and Policy 6, Part I regarding Trader Registration and Proficiency Requirements (March 3, 2006) Bulletin No. 3521 - By-Laws and Regulations - Amendments to Regulation 500 and Policy 6, Part I regarding Trader Registration and Proficiency Requirements (March 3, 2006) Bulletin No. 3521 - Related Documents Bulletin No. 3520 - Discipline - Discipline Penalties Imposed on Janet Beatrice Kim; Violations of Regulation 1300.4 and By-law 29.1. (March 2, 2006) Bulletin No. 3519 - Change of Ownership - Global Maxfin Capital Inc. (February 27, 2006) Bulletin No. 3518 - Discipline - Discipline Penalties Imposed on Zygmunt Janiewicz; Violation of By-law 29.1, Regulation 1300.1(c), Regulation 1300.4 and Regulation 1300.5 (February 27, 2006) Bulletin No. 3517 - By-Laws and Regulations - Amendments to IDA Regulation 100.4C and 100.4K Relating Offset Positions in Debt Securities and Related Futures Contracts (February 27, 2006) Bulletin No. 3517 - By-Laws and Regulations - Amendments to IDA Regulation 100.4C and 100.4K Relating Offset Positions in Debt Securities and Related Futures Contracts (February 27, 2006) Bulletin No. 3517 - Related Documents Bulletin No. 3516 - New Member - Calyon Financial Canada Inc. (February 27, 2006) Bulletin No. 3515 - Resignation - Wave Securities Canada Inc. (February 15, 2006) Bulletin No. 3514 - Discipline - Discipline Penalties Imposed on Resolution Capital Inc., Gaston English and Eric English; Violations of By-law 3.3, By-law 16.10, By-law 29.1, By-law 30.5 and By-law 17.1 (February 13, 2006) Bulletin No. 3513 - Discipline - Discipline Penalties Imposed on Robert Ernest Leo Hart; Violations of By-laws 29.1 and 19.5 (February 6, 2006) Bulletin No. 3512 - Change in Control/Change of Name - Refco Canada Co. (February 1, 2006) Bulletin No. 3511 - By-Laws and Regulations - By-laws 10.26, 10.27 and 10.28 - Member Regulation Oversight Committee and Additional Board Committees (January 31, 2006) Bulletin No. 3511 - By-Laws and Regulations - By-laws 10.26, 10.27 and 10.28 - Member Regulation Oversight Committee and Additional Board Committees (January 31, 2006) Bulletin No. 3511 - Related Documents Bulletin No. 3510 - By-Laws and Regulations - Policy No. 4 Minimum Standards for Institutional Account Opening, Operation and Supervision (January 31, 2006) Bulletin No. 3510 - By-Laws and Regulations - Policy No. 4 Minimum Standards for Institutional Account Opening, Operation and Supervision (January 31, 2006) Bulletin No. 3510 - Related Documents Bulletin No. 3509 - Industry Relations and Representation - MTRS Counterparty Classification of Trades with Anonymous ATSs (January 30, 2006) Bulletin No. 3508 - Reorganization - Pope & Company (January 27, 2006) Bulletin No. 3507 - Industry Relations and Representation - Mutual Fund and Limited Partnership Tax Breakdowns on CDS Web Facility (January 25, 2006) Bulletin No. 3506 - Change in Control - Ameritrade Canada, Inc. (January 24, 2006) Bulletin No. 3505 - Notice of Intention to Resign - Wave Securities Canada Inc. (January 23, 2006) Bulletin No. 3504 - Discipline - Discipline Penalties Imposed on Sean Shanahan, Stephan Katmarian and Nicole Brewster; Violations of By-law 29.1 and Regulation 1300 (January 23, 2006) Bulletin No. 3503 - By-Laws and Regulations - Amendments to Regulation 100.8 - Commodity Futures Contracts and Futures Contract Options (January 23, 2006) Bulletin No. 3503 - By-Laws and Regulations - Amendments to Regulation 100.8 - Commodity Futures Contracts and Futures Contract Options (January 23, 2006) Bulletin No. 3503 - Related Documents Bulletin No. 3502 - Change in Name - Credit Suisse First Boston Canada Inc. (January 20, 2006) Bulletin No. 3501 - Amalgamation - CBID Markets Inc. and Markets Securities Inc. (January 19, 2006) Bulletin No. 3500 - Change in Control - First Asset Advisory Services Inc. (January 17, 2006) Bulletin No. 3499 - Discipline - Jory Capital Inc., Patrick Michael Cooney and Rees Merthyn Jones - Violations of By-laws 30.3(iv)(3), and 29.1 (January 16, 2006) Bulletin No. 3498 - Public Affairs - Canada's 4th Annual SRO Conference, January 26 & February 2, 2006: Current Issues in SRO Compliance (January 11, 2006) Bulletin No. 3497 - Discipline - Discipline Penalties Imposed on James Michael Brennan; Violations of Regulation 1300 and By-law 29.1 (January 3, 2006) Bulletin No. 3496 - By-Laws and Regulations - Amendments to Regulations 100.15 and 300.2 Regarding Customer Account Guarantee Agreenments (January 3, 2006) Bulletin No. 3496 - By-Laws and Regulations - Amendments to Regulations 100.15 and 300.2 Regarding Customer Account Guarantee Agreenments (January 3, 2006) Bulletin No. 3496 - Related Documents 2005 Bulletin No. 3495 - General - Consumer Complaints - Annual Report by Members of the IDA to the Autorité des marchés financiers (AMF) (December 22, 2005) Bulletin No. 3494 - Discipline - Discipline Penalties Imposed on William Edward Markell; Violations of By-laws 19.5 and 29.1 (December 20, 2005) Bulletin No. 3493 - Discipline - Discipline Penalties Imposed on Robert De Long Violation of By-law 29.1 (December 13, 2005) Bulletin No. 3492 - By-Laws and Regulations - Amendments to Regulation 100.20 and Schedule 9 of Form 1 to Clarify the Threshold Amount Calculation Relating to Securities Concentration Charge (December 9, 2005) Bulletin No. 3492 - By-Laws and Regulations - Amendments to Regulation 100.20 and Schedule 9 of Form 1 to Clarify the Threshold Amount Calculation Relating to Securities Concentration Charge (December 9, 2005) Bulletin No. 3492 - Related Documents Bulletin No. 3491 - By-Laws and Regulations - Amendments to Schedule 12 of Form 1 Relating to the Margin on Commodity Concentrations and Deposits (December 9, 2005) Bulletin No. 3491 - By-Laws and Regulations - Amendments to Schedule 12 of Form 1 Relating to the Margin on Commodity Concentrations and Deposits (December 9, 2005) Bulletin No. 3491 - Related Documents Bulletin No. 3490 - Change in Control - Instinet Canada Limited (December 8, 2005) Bulletin No. 3489 - Discipline - Discipline Penalties Imposed on Research Capital Corporation and Patrick Gerald Walsh; Violations of By-law 29.1 (December 8, 2005) Bulletin No. 3488 - Suspension - iForum Securities Inc. (December 7, 2005) Bulletin No. 3487 - Termination - Maxima Capital Inc. (December 1, 2005) Bulletin No. 3486 - Notice of Intention to Resign - United Capital Securities Inc. (December 1, 2005) Bulletin No. 3485 - Reorganization - GMP Securities Ltd. (December 1, 2005) Bulletin No. 3484 - Reorganization - GMP Private Client Ltd. (December 1, 2005) Bulletin No. 3483 - New Member - optionsXpress Canada Corp. (December 1, 2005) Bulletin No. 3482 - Discipline - Discipline Penalties Imposed on Darrell Donald Osadchuk; Violations of By-law 29.1 (November 28, 2005) Bulletin No. 3481 - By-Laws and Regulations - Amendments to IDA Regulation 100.2 Relating to Capital and Margin Requirements for Money Market Mutual Funds (November 25, 2005) Bulletin No. 3481 - By-Laws and Regulations - Amendments to IDA Regulation 100.2 Relating to Capital and Margin Requirements for Money Market Mutual Funds (November 25, 2005) Bulletin No. 3481 - Related Documents Bulletin No. 3480 - Discipline - Discipline Penalties Imposed on Lawrence Edward Boscoe; Violations of By-law 29.1, Regulation 1300.1 (a) and Regulation 1300.1 (c) (now Regulation 1300.1 (q)) (November 24, 2005) Bulletin No. 3479 - Reorganization - Amended - NBCN Clearing Inc. (November 22, 2005) Bulletin No. 3478 - Discipline - Discipline Penalties Imposed on David Patrick Joseph Yanor; Violations of Regulation 1300.1 (c), now Regulation 1300.1 (q) (November 21, 2005) Bulletin No. 3477 - Discipline - Discipline Penalties Imposed on Barry (Sai-Kwong) Leung; Violations of Regulation 1300 and By-law 29.1 (November 21, 2005) Bulletin No. 3476 - Discipline - Discipline Penalties Imposed on John Frederick Brighten - Violation of By-law 29.1 (November 10, 2005) Bulletin No. 3475 - Discipline - Discipline Penalties Imposed on John Frederick Pryde; Violations of By-law 29.1 and Regulation 1300 (November 9, 2005) Bulletin No. 3474 - Resignation - KingsGate Securities Limited (November 7, 2005) Bulletin No. 3473 - Discipline - Discipline Penalties Imposed on HSBC Securities (Canada) Inc.; Violations of Regulations 1300.1 (o) and 1300.2, and Policy 2 (November 4, 2005) Bulletin No. 3472 - Closing Markets - No Early close for Thursday November 10, 2005 (November 2, 2005) Bulletin No. 3471 - Discipline - Discipline Penalties imposed on Michael Sullivan - Violations of By-law 29.1 (October 26, 2005) Bulletin No. 3470 - Industry Relations and Representation - Annual Regional Dealers Conference - Thursday, November 3, 2005 (October 24, 2005) Bulletin No. 3469 - Discipline - Discipline Penalties Imposed on Eddis Petrossian: Violations of By-laws 29.1 & 29.7 (October 17, 2005) Bulletin No. 3468 - Discipline - Discipline Penalties Imposed on Union Securities Ltd.; Violation of By-law 19.6 - Failure to Provide Business Records to IDA Investigators (October 17, 2005) Bulletin No. 3467 - Closing Markets - Schedule of Closings of the Domestic Bond and Money Markets - Holiday Schedule for 2006 (October 4, 2005) Bulletin No. 3466 - By-Laws and Regulations - Amendments to IDA Regulations 100.9 and 100.10 Relating to CDCC Cleared Currency Options (October 3, 2005) Bulletin No. 3466 - By-Laws and Regulations - Amendments to IDA Regulations 100.9 and 100.10 Relating to CDCC Cleared Currency Options (October 3, 2005) Bulletin No. 3466 - Related Documents Bulletin No. 3465 - Discipline - Charges against Michael Finkelstein and Elizabeth Leonard Dismissed - Alleged Violation of By-law 29.1 (September 29, 2005) Bulletin No. 3464 - Notice of Intention to Resign - Amended - NBCN (September 19, 2005) Bulletin No. 3463 - Change in Name - First Associates Investments Inc. (September 19, 2005) Bulletin No. 3462 - Change in Control - First Asset Advisory Services Inc. (September 16, 2005) Bulletin No. 3461 - Discipline - Discipline Penalties Imposed on RBC Dominion Securities Inc; Violation of By-law 29.1 (September 9, 2005) Bulletin No. 3460 - Discipline - Discipline Penalties Imposed on William Richard Booth Bell Wright; Violation of By-law 29.1, Regulation 1300.2, and Policy 2 (September 7, 2005) Bulletin No. 3459 - Discipline - Discipline Penalties Imposed on Robert Scott Ritchie; Violation of By-law 29.1 (September 7, 2005) Bulletin No. 3458 - Discipline - Discipline Penalties Imposed on Gus Anastasio Dimas; Violations of By-law 29.1 (September 6, 2005) Bulletin No. 3457 - Discipline - Discipline Penalties Imposed on Lawrence Kenneth Freedman - Violations of By-law 29.1 and Regulation 1300.1 (August 30, 2005) Bulletin No. 3456 - Appeal - Decision in the Appeal of the Discipline Penalties Imposed on LVM Canada Ltée and Jean-Claude Paradis (August 24, 2005) Bulletin No. 3455 - General - Opening Your Retail Account Brochure (August 23, 2005) Bulletin No. 3454 - By-Laws and Regulations - Amendments to Policy 6, Part 1, Section A.2A Late Completion Fee for CFO Qualifying Examination (August 19, 2005) Bulletin No. 3454 - By-Laws and Regulations - Amendments to Policy 6, Part 1, Section A.2A Late Completion Fee for CFO Qualifying Examination (August 19, 2005) Bulletin No. 3454 - Related Documents Bulletin No. 3453 - Discipline - Disciplinary Penalties Imposed on John Norman Alexander; Violations of By-law 29.1 (August 17, 2005) Bulletin No. 3452 - Discipline - Penalties Imposed on Stephen Brook Toban; Violations of By-law 29.1 (August 16, 2005) Bulletin No. 3451 - Discipline - Disciplinary Penalties Imposed on IPC Securities Corporation; Violations of By-law 29.27, Policy No. 2, and By-law 17.1 (August 12, 2005) Bulletin No. 3450 - Discipline - Discipline Penalties Imposed on Christopher Wesley Stewart; Pursuant to By-law 20.43(1)(a) (August 11, 2005) Bulletin No. 3449 - Discipline - Discipline Penalties Imposed on Brian Stephen Bassett; Violation of By-law 19.5. (August 11, 2005) Bulletin No. 3448 - Discipline - Discipline Penalties Imposed on Richard Reynaud Gareau; Violation of Regulation 1300.1 (a) and 1300.1 (c) (now Regulation 1300.1(q)) (August 8, 2005) Bulletin No. 3447 - Discipline - Discipline Penalties Imposed on Kyle Wong; Violations of Regulation 1300.1. (q) and By-law 29.1 (August 5, 2005) Bulletin No. 3446 - Resignation - Omni Capital Inc. (July 26, 2005) Bulletin No. 3445 - Reorganization - Refco Futures (Canada) Ltd. (July 26, 2005) Bulletin No. 3444 - By-Laws and Regulations - Housekeeping Amendment to By-Law 2.4 - Membership (July 22, 2005) Bulletin No. 3444 - By-Laws and Regulations - Housekeeping Amendment to By-Law 2.4 - Membership (July 22, 2005) Bulletin No. 3444 - Related Documents Bulletin No. 3443 - Discipline - Discipline Penalties Imposed on John William Stewart; Violations of By-law 19.5 (July 22, 2005) Bulletin No. 3442 - By-Laws and Regulations - By-law 17.19, Business Continuity Planning (July 22, 2005) Bulletin No. 3442 - By-Laws and Regulations - By-law 17.19, Business Continuity Planning (July 22, 2005) Bulletin No. 3442 - Related Documents Bulletin No. 3441 - Change in Name - National Bank Discount Brokerage Inc. (July 19, 2005) Bulletin No. 3440 - Industry Relations and Representation - Consolidated Reporting of Return of Capital on T3 Slips (July 18, 2005) Bulletin No. 3439 - Discipline - In the matter of Michael Robert De Long; Settlement Agreement Rejected. (July 8, 2005) Bulletin No. 3438 - Industry Relations and Representation - 8th Annual Continuing Education Seminar (Québec) Thursday, September 29, 2005 (July 5, 2005) Bulletin No. 3437 - New Member - SCM Securities LP (July 4, 2005) Bulletin No. 3436 - Resignation - Liberty Wealth Management Inc. (June 29, 2005) Bulletin No. 3435 - Change in Name - McFarlane Gordon Inc. (June 29, 2005) Bulletin No. 3434 - Discipline - Discipline Penalties Imposed on Spencer Edward Graham; Violation of Regulation 1300.2 (June 23, 2005) Bulletin No. 3433 - Discipline - Disciplinary Penalties Imposed on Bruce Graeme Taylor; Violations of By-law 18.14 and By-law 29.1 (June 21, 2005) Bulletin No. 3432 - Industry Relations and Representation - Investor Informational Material on Bond Investing (June 17, 2005) Bulletin No. 3431 - Discipline - IDA imposes $7,500 fine on Irene JUDT and orders permanent prohibition from acting in any registered capacity (June 16, 2005) Bulletin No. 3430 - Discipline - Discipline Penalties Imposed on Doreen Dempsey; Violations of Regulation 1300.1. (p) and (q) (June 16, 2005) Bulletin No. 3429 - Discipline - Discipline Penalties Imposed on Philip John E. Deans - Violations of By-law 29.1 (June 16, 2005) Bulletin No. 3428 - Change in Name - Dlouhy Merchant Group Inc. (June 10, 2005) Bulletin No. 3427 - New Member - RSEG Trading Group Ltd. (June 9, 2005) Bulletin No. 3426 - Notice of Intention to Resign - Liberty Wealth Management Inc. (June 8, 2005) Bulletin No. 3425 - Discipline - IDA imposes $25,000 fine on Douglas Francis Corrigan and orders prohibition from acting as a branch manager (May 30, 2005) Bulletin No. 3424 - Public Affairs - IDA Chair Brian Porter speaking at The Canadian Club of Toronto (May 24, 2005) Bulletin No. 3423 - Change in Name - Qtrade Investor Inc. (May 12, 2005) Bulletin No. 3422 - New Member - StoxTrade Investments Inc. (May 12, 2005) Bulletin No. 3421 - New Member - CPA Securities Inc. (May 12, 2005) Bulletin No. 3420 - Change in Control - Tristone Capital Inc. (May 10, 2005) Bulletin No. 3419 - Resignation - Marlow Group Securities Inc. (May 10, 2005) Bulletin No. 3418 - Discipline - Discipline Penalties Imposed on Gregory Bruce MacKay; Violations of By-law 29.1 (May 9, 2005) Bulletin No. 3417 - Discipline - Discipline Penalties imposed on Hugh Cairns Bell - Violation of By-Laws 29.1 and 29.7 (May 6, 2005) Bulletin No. 3416 - Discipline - Discipline Penalties Imposed on Haralambos Pandelidis; Violations of By-law 29.1 and Regulations 1300.4, 1300.5 (May 5, 2005) Bulletin No. 3415 - Notice of Intention to Resign - KingsGate Securities Limited (May 4, 2005) Bulletin No. 3414 - Industry Relations and Representation - 89th Annual General Meeting & Conference (April 26, 2005) Bulletin No. 3413 - Discipline - Discipline Penalties Imposed on Union Securities Limited; Violation of By-law 17.2A and Policy 3 (April 22, 2005) Bulletin No. 3412 - New Member - Markets Securities Inc. (April 19, 2005) Bulletin No. 3411 - Suspension - Resolution Capital Inc. (April 18, 2005) Bulletin No. 3410 - New Member - M Partners Inc. (April 14, 2005) Bulletin No. 3409 - Change in Name - Cumberland Asset Management Corp. (April 11, 2005) Bulletin No. 3408 - Industry Relations and Representation - New Issue Levy Reporting (April 7, 2005) Bulletin No. 3408 - Industry Relations and Representation - New Issue Levy Reporting (April 7, 2005) Bulletin No. 3408 - Industry Relations and Representation - New Issue Levy Reporting (April 7, 2005) - Attachment 1 Bulletin No. 3407 - General - Consumer complaints - Annual report requested for members for 2004 and update on discussions relating to the 2005 annual report (April 5, 2005) Bulletin No. 3406 - Discipline - Discipline Penalties Imposed on Michael Druhan - Violation of By-law 29.1 (March 28, 2005) Bulletin No. 3405 - Industry Relations and Representation - Spring 2005 Advisor Seminar (March 23, 2005) Bulletin No. 3404 - Change of Ownership - Prodigy Wealth Management Corp. (March 17, 2005) Bulletin No. 3403 - Resignation - MCAP Securities Inc. (March 14, 2005) Bulletin No. 3402 - Discipline - Suspension and Penalties Imposed on Marlow Group Securities Inc.; Violations of By-law 20.42(1) (g) (March 9, 2005) Bulletin No. 3401 - Resignation - Swift Trade Securities Inc. (March 7, 2005) Bulletin No. 3400 - Notice of Intention to Resign - Marlow Group Securities Inc. (March 7, 2005) Bulletin No. 3399 - Industry Relations and Representation - Relief from Certain Amendments to National Instrument 54-101 (March 2, 2005) Bulletin No. 3398 - Discipline - Discipline Penalties imposed on Esther Inglis - Violations of By-law 29.1 (February 16, 2005) Bulletin No. 3397 - Discipline - Discipline Penalties imposed on Jules Mangin - Violations of By-law 29.1 and Regulation 1300.4 (February 16, 2005) Bulletin No. 3396 - Discipline - Discipline Penalties Imposed on Timber Hill Canada Company; Violations of By-laws 17.1 and 17.2 and By-law 29.1 (February 15, 2005) Bulletin No. 3395 - Discipline - Panel Rules that Branch Manager Failed to Adequately Supervise (February 15, 2005) Bulletin No. 3394 - By-Laws and Regulations - Amendments to By-law 40: Individual Approvals, Notifications and Related Fees and National Registration Database (February 10, 2005) Bulletin No. 3394 - By-Laws and Regulations - Amendments to By-law 40: Individual Approvals, Notifications and Related Fees and National Registration Database (February 10, 2005) Bulletin No. 3394 - By-Laws and Regulations - Amendments to By-law 40: Individual Approvals, Notifications and Related Fees and National Registration Database (February 10, 2005) - Attachment 1 Bulletin No. 3394 - Related Documents Bulletin No. 3393 - Change of Ownership - Harris Partners Limited (February 10, 2005) Bulletin No. 3392 - Discipline - Discipline Penalties Imposed on Geoffrey Robert Lowery Klein; Violations of By-law 29.1 (February 9, 2005) Bulletin No. 3391 - Change in Name - Leduc & Associés Valeurs Mobilières (Canada) Ltée (February 4, 2005) Bulletin No. 3390 - Discipline - Discipline Penalties Imposed on Kenneth Richard Miller; Violations of By-law 29.1 and Regulation 1300.4 (February 4, 2005) Bulletin No. 3389 - Change in Name - MMI Group Inc. (February 2, 2005) Bulletin No. 3388 - By-Laws and Regulations - Housekeeping Amendment to the General Notes and Definitions to Form 1 - Definition of "Acceptable Securities Locations" (February 1, 2005) Bulletin No. 3388 - By-Laws and Regulations - Housekeeping Amendment to the General Notes and Definitions to Form 1 - Definition of "Acceptable Securities Locations" (February 1, 2005) Bulletin No. 3388 - Related Documents Bulletin No. 3387 - Discipline - Discipline Penalties Imposed on TD Waterhouse Canada Inc.; Violations of Regulation 1300.2, 1300.1(o) and Policy 2 (January 31, 2005) Bulletin No. 3386 - Discipline - Discipline Penalties Imposed on RBC Dominion Securities Inc.; Violations of Regulation 1300.2, 1300.1(o) and Policy 2 (January 31, 2005) Bulletin No. 3385 - Discipline - Discipline Penalties Imposed on BMO Nesbitt Burns Inc.; Violations of Regulation 1300.2, 1300.1(o) and Policy 2 (January 31, 2005) Bulletin No. 3384 - Notice of Intention to Resign - Resolution Capital Inc. (January 14, 2005) Bulletin No. 3383 - General - Revised Brochure Includes the Complaints Examination Process Available to Québec Residents (January 12, 2005) Bulletin No. 3382 - Discipline - Discipline Penalties Imposed on Maurice Guy Brazeau - Violations of By-law 29.1 (January 12, 2005) Bulletin No. 3381 - New Member - New Members (January 7, 2005) Bulletin No. 3380 - Resignation - The Financial Centre Securities Corporation (January 6, 2005) Bulletin No. 3379 - Reorganization - CIBC Financial Planning Inc. (January 5, 2005) Bulletin No. 3378 - Amalgamation - Ameritrade Canada, Inc. (January 5, 2005) Bulletin No. 3377 - Notice of Intention to Resign - MCAP Securities Inc. (January 4, 2005) 2004 Bulletin No. 3376 - Discipline - Discipline Penalties Imposed on Trevor Albert Holowatiuk; Violation of By-law 29.1 (December 29, 2004) Bulletin No. 3375 - Resignation - Benson-Quinn-GMS Inc. (December 23, 2004) Bulletin No. 3374 - Discipline - Discipline Penalties Imposed on Trevor Scott Morrison - Violation of By-law 29.1. (December 23, 2004) Bulletin No. 3373 - Discipline - Discipline Penalties Imposed on Jean-Claude Paradis and Leduc & Associés Valeurs Mobilières (Canada) ltée; Violations of By-Law 29.1 and Policy No 2 (December 23, 2004) Bulletin No. 3372 - Discipline - Discipline Penalties Imposed on Dianne Lena Quimper; Violations of By-law 29.1 (December 23, 2004) Bulletin No. 3371 - Discipline - Discipline Penalties Imposed on Paul Joseph (Paolo) Paliotti; Violations of By-law 29.1 and Regulations 1300 1(c) and 4 (December 23, 2004) Bulletin No. 3370 - By-Laws and Regulations - Regulation 400 - Insurance (December 23, 2004) Bulletin No. 3370 - By-Laws and Regulations - Regulation 400 - Insurance (December 23, 2004) Bulletin No. 3370 - Related Documents Bulletin No. 3369 - Resignation - Daex Commodities Inc. (December 22, 2004) Bulletin No. 3368 - Amalgamation - Industrial Alliance Securities Inc. and Lynch Investments Ltd. (December 22, 2004) Bulletin No. 3367 - Discipline - Charge brought against Brian Gruson; Alleged violation of By-law 19.5 (December 22, 2004) Bulletin No. 3366 - General - Distribution of Bulletins and Notices (December 20, 2004) Bulletin No. 3365 - By-Laws and Regulations - Amendment to Regulation 100.10 permitting optional use of TIMS® and SPAN® methodologies for regulatory purposes (December 17, 2004) Bulletin No. 3365 - By-Laws and Regulations - Amendment to Regulation 100.10 permitting optional use of TIMS® and SPAN® methodologies for regulatory purposes (December 17, 2004) Bulletin No. 3365 - Related Documents Bulletin No. 3364 - By-Laws and Regulations - Capital and Margin Requirements for Long Options - Regulation 100.9 and Regulation 100.10 (December 17, 2004) Bulletin No. 3364 - By-Laws and Regulations - Capital and Margin Requirements for Long Options - Regulation 100.9 and Regulation 100.10 (December 17, 2004) Bulletin No. 3364 - Related Documents Bulletin No. 3363 - By-Laws and Regulations - Amendments to the Definition of "Floating Margin Rate" Set out in Regulation 100.9(a)(x) (December 17, 2004) Bulletin No. 3363 - By-Laws and Regulations - Amendments to the Definition of "Floating Margin Rate" Set out in Regulation 100.9(a)(x) (December 17, 2004) Bulletin No. 3363 - Related Documents Bulletin No. 3362 - By-Laws and Regulations - Amendments to Regulation 100.9 and 100.10 - Positions in and offsets involving exchange-traded derivatives (December 17, 2004) Bulletin No. 3362 - By-Laws and Regulations - Amendments to Regulation 100.9 and 100.10 - Positions in and offsets involving exchange-traded derivatives (December 17, 2004) Bulletin No. 3362 - Related Documents Bulletin No. 3361 - Discipline - Discipline Penalties Imposed on Frederick Saturley - Violation of Regulation 1300.4(a) and (b) (December 15, 2004) Bulletin No. 3360 - Discipline - Disciplinary penalties imposed on Laurier Villeneuve; Violations of By-Law 29.1 and of By-Law 19.5 (December 15, 2004) Bulletin No. 3359 - Holiday Schedule - Schedule of Closings of the Domestic Bond and Money Markets - Holiday Schedule for 2005 (December 8, 2004) Bulletin No. 3358 - Discipline - Discipline Penalties Imposed on Warren Neil Gee - Violation of By-Law 29.1 (December 2, 2004) Bulletin No. 3357 - Notice of Intention to Resign - Benson-Quinn-GMS Inc. (November 25, 2004) Bulletin No. 3356 - By-Laws and Regulations - Policy No. 11 Research Restrictions and Disclosure Requirements (November 16, 2004) Bulletin No. 3356 - By-Laws and Regulations - Policy No. 11 Research Restrictions and Disclosure Requirements (November 16, 2004) Bulletin No. 3356 - Related Documents Bulletin No. 3355 - Public Affairs - Canada’s 3rd Annual SRO Conference, January 27 and February 2, 2005: Current Issues in SRO Compliance (November 16, 2004) Bulletin No. 3354 - By-Laws and Regulations - Regulation 100.5 and Schedule 2A of Form 1 - Capital requirements for Underwriting Commitments (November 15, 2004) Bulletin No. 3354 - By-Laws and Regulations - Regulation 100.5 and Schedule 2A of Form 1 - Capital requirements for Underwriting Commitments (November 15, 2004) Bulletin No. 3354 - Related Documents Bulletin No. 3353 - Industry Relations and Representation - Guidelines - What to Consider When Choosing a Carrying Broker (November 12, 2004) Bulletin No. 3352 - Notice of Intention to Resign - Daex Commodities Inc. (November 12, 2004) Bulletin No. 3351 - Change in Control - Liberty Wealth Management Inc. (November 8, 2004) Bulletin No. 3350 - Discipline - Settlement Agreement between Association Staff and John Frederick Brighten rejected (November 8, 2004) Bulletin No. 3349 - New Member - Genuity Capital Markets / Marchés de Capitaux Genuity (November 8, 2004) Bulletin No. 3348 - Discipline - Discipline Penalties Imposed on George Otto Pappas; Violations of Regulations 1300.1(a), 1300.1(c), 1300.4, 1300.5, By-law 29.1 and By-law 19.5 (November 5, 2004) Bulletin No. 3347 - Discipline - Discipline Penalties Imposed on Emerging Equities Inc. and James Baker Hartwell - Violations of By-laws 17, 29.1 and 38 (November 4, 2004) Bulletin No. 3346 - Discipline - Discipline Penalties imposed on Nerio D’Ambrosi - Violation of Regulations 1300.1 (c) and 1300.4 (November 4, 2004) Bulletin No. 3345 - Notice of Intention to Resign - Swift Trade Securities Inc. (November 3, 2004) Bulletin No. 3344 - Resignation - Lawrence Capital Partners Inc. (October 29, 2004) Bulletin No. 3343 - Discipline - Discipline Penalties Imposed on Jamal Hashim; Violations of By-law 29.1 (October 28, 2004) Bulletin No. 3342 - New Member - Industrial Alliance Securities Inc. / Industrielle Alliance Valeurs mobilières inc. (October 21, 2004) Bulletin No. 3341 - New Member - GMP Private Client Ltd. / Gestion Privée GMP Ltée (October 21, 2004) Bulletin No. 3340 - Notice of Intention to Resign - Omni Capital Inc. (October 20, 2004) Bulletin No. 3339 - Inactive Status - Swift Trade Securities Inc. (October 6, 2004) Bulletin No. 3338 - Discipline - Discipline Penalties Imposed on Brian Robert Strong - Violation of Regulation 1300.1(c) and By-law 29.1 (October 5, 2004) Bulletin No. 3337 - Discipline - Discipline Penalties Imposed on Steven Nizam Khan - Violation of By-law 29.1 (October 1, 2004) Bulletin No. 3336 - New Member - Prodigy Wealth Management Corp. (September 28, 2004) Bulletin No. 3335 - Discipline - Order of Alberta District Council re: Naeema Crittall - Violation of By-law 19.5 (September 27, 2004) Bulletin No. 3334 - Discipline - Discipline Penalties Imposed on Thomas J. Hunt; Violations of By-law 29.1 (September 24, 2004) Bulletin No. 3333 - Notice of Intention to Resign - The Financial Centre Securities Corporation (September 23, 2004) Bulletin No. 3332 - Discipline - Discipline Penalties Imposed on Alan Bruce Alexander Thomson - Violations of By-law 29.1 (September 21, 2004) Bulletin No. 3331 - Change in Name - J.C. Clark Ltd. (September 20, 2004) Bulletin No. 3330 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20 (September 20, 2004) Bulletin No. 3330 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20 (September 20, 2004) Bulletin No. 3330 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20 (September 20, 2004) - Attachment 1 Bulletin No. 3330 - Related Documents Bulletin No. 3329 - Industry Relations and Representation - Regional Dealer Conference - 29 October 2004 (September 20, 2004) Bulletin No. 3328 - Industry Relations and Representation - TSX Symbol Extension Initiative (September 16, 2004) Bulletin No. 3327 - Industry Relations and Representation - Retail Broker Seminars in Vancouver, BC (September 14, 2004) Bulletin No. 3326 - Discipline - Discipline Penalties Imposed on Kianosh Rahmani - Violations of By-law 29.1 and By-law 18.11 (September 3, 2004) Bulletin No. 3325 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20, amendments to corollary By-laws and establishment of Rules of Practice and Procedure (September 2, 2004) Bulletin No. 3325 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20, amendments to corollary By-laws and establishment of Rules of Practice and Procedure (September 2, 2004) Bulletin No. 3325 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20, amendments to corollary By-laws and establishment of Rules of Practice and Procedure (September 2, 2004) - Attachment 1 Bulletin No. 3325 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20, amendments to corollary By-laws and establishment of Rules of Practice and Procedure (September 2, 2004) - Attachment 2 Bulletin No. 3325 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20, amendments to corollary By-laws and establishment of Rules of Practice and Procedure (September 2, 2004) - Attachment 3 Bulletin No. 3325 - By-Laws and Regulations - IDA Hearing Processes - Amendments to By-law 20, amendments to corollary By-laws and establishment of Rules of Practice and Procedure (September 2, 2004) - Attachment 4 Bulletin No. 3325 - Related Documents Bulletin No. 3324 - By-Laws and Regulations - By-law 40 - Individual Approvals, Notifications and Related Fees and the National Registration Database (September 2, 2004) Bulletin No. 3324 - By-Laws and Regulations - By-law 40 - Individual Approvals, Notifications and Related Fees and the National Registration Database (September 2, 2004) Bulletin No. 3324 - Related Documents Bulletin No. 3323 - Industry Relations and Representation - Launch of new web-based service to advise subscribers when new information is published to www.ida.ca (September 1, 2004) Bulletin No. 3322 - Discipline - Discipline Penalties Imposed on Clive Thomas - Violations of By-law 29.1 (August 23, 2004) Bulletin No. 3321 - Notice of Intention to Resign - Lawrence Capital Partners Inc. (August 13, 2004) Bulletin No. 3320 - Discipline - Discipline Penalties Imposed on David Michael Clifton - Violations of Association By-law 29.1 (August 3, 2004) Bulletin No. 3319 - Discipline - Discipline penalties imposed on Serge Bélec - Violations of By-law 29.1 and Regulation 1300.4 and Regulation 1300.5 (August 3, 2004) Bulletin No. 3318 - Discipline - Discipline Penalties Imposed on Jory Capital Inc., Patrick Michael Cooney and Brandi John Garfield Wermie - Violations of By-laws 30.3(iv)(3), 30.3(iv)(4), 17.1, 17.2A and 29.1 (July 29, 2004) Bulletin No. 3317 - Discipline - Discipline Penalties Imposed on Steven Rodney Jeske - Violation of By-law 29.1 (July 29, 2004) Bulletin No. 3316 - Discipline - Discipline Penalties Imposed on Marlow Group Securities Inc. - Violation of By-law 17.1 (July 28, 2004) Bulletin No. 3315 - Discipline - Discipline Penalties Imposed on Hong Xiao - Violations of By-law 29.1 (July 28, 2004) Bulletin No. 3314 - Discipline - Discipline Penalties imposed on Derek Jansen - Violations of Association By-law 29.1 (July 28, 2004) Bulletin No. 3313 - Discipline - Discipline Penalties Imposed on John Patrick O’Malley - Violations of By-law 29.1 (July 23, 2004) Bulletin No. 3312 - Change in Name - GGA Investment Services Inc. / Les Services d’investissements GGA Inc. (July 22, 2004) Bulletin No. 3311 - Discipline - Discipline Penalties Imposed on James Donald Wooster - Violations of By-law 29.1, Regulation 1300.1 (a) and Regulation 1300.1 (c) (July 22, 2004) Bulletin No. 3310 - By-Laws and Regulations - By-law 2.4 - Membership (July 20, 2004) Bulletin No. 3310 - By-Laws and Regulations - By-law 2.4 - Membership (July 20, 2004) Bulletin No. 3310 - Related Documents Bulletin No. 3309 - Discipline - Order of Alberta District Council re: Haralambos Pandelidis - Violation of By-law 19.5 (July 14, 2004) Bulletin No. 3308 - Discipline - Discipline Penalties imposed on Richard Scott Latta - Violations of By-law 29.1 and Regulation 1300.1 (c) (July 13, 2004) Bulletin No. 3307 - Discipline - Discipline Penalties Imposed on Robert Binnington - Violations of By-law 29.1 (July 12, 2004) Bulletin No. 3306 - Discipline - Discipline Penalties Imposed on David Loftus - Violations of By-law 29.1 (July 9, 2004) Bulletin No. 3305 - Discipline - Discipline Penalties Imposed on Harry Migirdic - Violation of By-law 29.1 and Regulation 1300.4 (July 9, 2004) Bulletin No. 3304 - By-Laws and Regulations - Business Continuity Plan By-Law 17.19 (July 6, 2004) Bulletin No. 3304 - By-Laws and Regulations - Business Continuity Plan By-Law 17.19 (July 6, 2004) Bulletin No. 3304 - Related Documents Bulletin No. 3303 - Discipline - Discipline Penalties Imposed on Donnelle John Loryn Loewen - Violations of By-law 19.5 (July 5, 2004) Bulletin No. 3302 - Change in Control - Lynch Investments Limited (June 30, 2004) Bulletin No. 3301 - Discipline - Discipline Penalties imposed on KingsGate Securities Limited - Violation of By-Laws 17.1, 17.2A and 4.7 (June 30, 2004) Bulletin No. 3300 - Discipline - Discipline Penalties Imposed on Alex Gurion - Violation of Association By-law 29.1 (June 28, 2004) Bulletin No. 3299 - Discipline - Discipline Penalties Imposed on Elefterois (Larry) Aligizakis - Violations of By-law 29.1 and Regulation 1300.4 (June 18, 2004) Bulletin No. 3298 - New Member - Sandstone Asset Management Inc. (June 14, 2004) Bulletin No. 3297 - Discipline - Discipline Penalties Imposed on Jean Laroche - Violations of By-law 29.1 (June 11, 2004) Bulletin No. 3296 - By-Laws and Regulations - Regulation 800.49 - Broker to Broker Trade Matching (June 8, 2004) Bulletin No. 3296 - By-Laws and Regulations - Regulation 800.49 - Broker to Broker Trade Matching (June 8, 2004) Bulletin No. 3296 - Related Documents Bulletin No. 3295 - Discipline - Discipline Penalties Imposed on Glenn Kau-Lee Fung - Violations of Regulation 1300.1 (d), 1300.2 and Policy 2 (June 7, 2004) Bulletin No. 3294 - By-Laws and Regulations - Amendments to Regulation 1300 Beneficial Ownership of Non-Individual Accounts (June 7, 2004) Bulletin No. 3294 - By-Laws and Regulations - Amendments to Regulation 1300 Beneficial Ownership of Non-Individual Accounts (June 7, 2004) Bulletin No. 3294 - Related Documents Bulletin No. 3293 - Amalgamation - Dundee Securities Corporation and Cartier Partners Securities Inc. (June 3, 2004) Bulletin No. 3292 - Resignation - Milestone Asset Management Ltd. (May 31, 2004) Bulletin No. 3291 - Discipline - Discipline Penalties Imposed on David Lewis Silcoff - Violations of By-law 29.1, Regulation 1300.1 (a), and Regulation 1300.4 (May 27, 2004) Bulletin No. 3290 - Discipline - Discipline Penalties Imposed on James Lennox Williams - Violation of By-law 19.5 (May 20, 2004) Bulletin No. 3289 - Industry Relations and Representation - Transparency in Corporate Debt Securities - Requirements of National Instrument 21-101 (May 19, 2004) Bulletin No. 3288 - Discipline - Discipline Penalties Imposed on John Craig Dunn - Violations of By-law 29.1, Regulation 1300.2, 1300.1(c) and Policy No. 2 (May 18, 2004) Bulletin No. 3287 - Discipline - Discipline Penalties Imposed on Andreas Felix Kiedrowski - Violations of By-law 29.1 (May 18, 2004) Bulletin No. 3286 - By-Laws and Regulations - Margin and Capital Requirements for Capital Trust Securities - Regulation 100.12(a) - Securities eligible for reduced margin (May 17, 2004) Bulletin No. 3286 - By-Laws and Regulations - Margin and Capital Requirements for Capital Trust Securities - Regulation 100.12(a) - Securities eligible for reduced margin (May 17, 2004) Bulletin No. 3286 - Related Documents Bulletin No. 3285 - Change in Control - IPC Securities Corporation (May 12, 2004) Bulletin No. 3284 - Discipline - Discipline Penalties imposed on Brant Securities Limited, Keith McMeekin, Hugh Jackson Jr. and John Davies - Violation of By-Law 29.1, Regulations 1300.1 and 1300.2, Policy 2 and Rule 31-505 of the Ontario Securities Act (May 12, 2004) Bulletin No. 3283 - Discipline - Discipline Penalties Imposed on Edward Ing - Violations of Regulation 1300.2 and By-law 29.1 (May 11, 2004) Bulletin No. 3282 - By-Laws and Regulations - Elimination of District Association Auditors and Alternate District Association Auditors - Effective 12 July 2004 (May 10, 2004) Bulletin No. 3282 - By-Laws and Regulations - Elimination of District Association Auditors and Alternate District Association Auditors - Effective 12 July 2004 (May 10, 2004) Bulletin No. 3282 - By-Laws and Regulations - Elimination of District Association Auditors and Alternate District Association Auditors - Effective 12 July 2004 (May 10, 2004) - Attachment Bulletin No. 3282 - Related Documents Bulletin No. 3281 - Discipline - Discipline Penalties imposed on James Michael Brennan - Violation of By-Law 29.1 (May 10, 2004) Bulletin No. 3280 - Discipline - Discipline Penalties imposed on Mark Spowart - Violation of By-Law 29.1 (May 10, 2004) Bulletin No. 3279 - New Member - Liquidnet Canada Inc. (May 7, 2004) Bulletin No. 3278 - New Member - Liberty Wealth Management Inc. (May 7, 2004) Bulletin No. 3277 - Change in Name - Dunedin Securities Inc. (May 4, 2004) Bulletin No. 3276 - Discipline - Discipline Penalties Imposed on Paul Alexander Bishop - Violations of By-law 29.1 and Regulation 200.1(i)(3) (May 4, 2004) Bulletin No. 3275 - Public Affairs - AGM Conference & Private Client Day - Schedule Details (May 3, 2004) Bulletin No. 3274 - Discipline - Discipline Penalties Imposed on Rene Arthur Girard - Violations of By-law 29.1, Regulation 1300.4 and Regulation 1300.1 (a) (April 29, 2004) Bulletin No. 3273 - Discipline - Discipline Penalties Imposed on Ronald H. Kong - Violations of By-law 29.1 (April 21, 2004) Bulletin No. 3272 - By-Laws and Regulations - Policy No. 1 Relationships between Members and Financial Services Entities: Sharing of Office Premises (April 20, 2004) Bulletin No. 3272 - By-Laws and Regulations - Policy No. 1 Relationships between Members and Financial Services Entities: Sharing of Office Premises (April 20, 2004) Bulletin No. 3272 - Related Documents Bulletin No. 3271 - Amalgamation - Berkshire Securities Inc. and TWC Securities Inc. (April 16, 2004) Bulletin No. 3270 - By-Laws and Regulations - By-law 29.7 Advertisements, Sales Literature and Correspondence (April 12, 2004) Bulletin No. 3270 - By-Laws and Regulations - By-law 29.7 Advertisements, Sales Literature and Correspondence (April 12, 2004) Bulletin No. 3270 - Related Documents Bulletin No. 3269 - By-Laws and Regulations - Amendments to Policy 2 Regarding Supervision of Managed Accounts (April 5, 2004) Bulletin No. 3269 - By-Laws and Regulations - Amendments to Policy 2 Regarding Supervision of Managed Accounts (April 5, 2004) Bulletin No. 3269 - Related Documents Bulletin No. 3268 - Notice of Intention to Resign - Milestone Asset Management Ltd. (April 2, 2004) Bulletin No. 3267 - Change in Control/Change of Name - First Republic Securities Corporation (March 30, 2004) Bulletin No. 3266 - Change in Control - Harris Partners Limited (March 30, 2004) Bulletin No. 3265 - By-Laws and Regulations - Amendments to By-law No. 7 - Partners, Directors and Officers (March 22, 2004) Bulletin No. 3265 - By-Laws and Regulations - Amendments to By-law No. 7 - Partners, Directors and Officers (March 22, 2004) Bulletin No. 3265 - Related Documents Bulletin No. 3264 - Discipline - Discipline Penalties Imposed on David Cathcart - Violations of By-law 29.1 and Regulation 1300.1(a) (March 17, 2004) Bulletin No. 3263 - Discipline - Charge brought against Tumer Salih Bahcheli Not Sustained - Alleged Violations of Regulation 1300.1(b) and By-law 29.1 (March 15, 2004) Bulletin No. 3262 - Discipline - Discipline Penalties Imposed on Peter Bacsalmasi - Violations of Regulations 1300.2, 1300.1(b) and 1300.1(c) & Policy 2 (March 15, 2004) Bulletin No. 3261 - Discipline - Discipline Penalties Imposed on Keith Court Anderson - Violations of By-law 29.1 & Regulations 200.1(i) and 1300.4 (March 15, 2004) Bulletin No. 3260 - Discipline - Discipline Penalties Imposed on Dosithe Charles Richard - Violation of By-law 29.1 (March 15, 2004) Bulletin No. 3259 - By-Laws and Regulations - Amendment to Regulation 200.1(h): Confirmations of Managed Account Transactions (March 12, 2004) Bulletin No. 3259 - By-Laws and Regulations - Amendment to Regulation 200.1(h): Confirmations of Managed Account Transactions (March 12, 2004) Bulletin No. 3259 - Related Documents Bulletin No. 3258 - Industry Relations and Representation - Loans of Income Trust Units: Income Tax Technical Amendments (March 12, 2004) Bulletin No. 3257 - Change in Ownership/Change of Name - Brawley Cathers Limited (March 1, 2004) Bulletin No. 3256 - New Member - First Leaside Securities Inc. (March 1, 2004) Bulletin No. 3255 - Change in Name - Canada Life Securities Inc. (February 12, 2004) Bulletin No. 3254 - Change in Name - Archipelago Canada Inc. (February 10, 2004) Bulletin No. 3253 - By-Laws and Regulations - Revisions to Policy 6, Part III: The Continuing Education Program (February 10, 2004) Bulletin No. 3253 - By-Laws and Regulations - Revisions to Policy 6, Part III: The Continuing Education Program (February 10, 2004) Bulletin No. 3253 - Related Documents Bulletin No. 3252 - Discipline - Discipline Penalties Imposed on Kresimir Begic - Violations of By-laws 29.1 and 29.3 (February 10, 2004) Bulletin No. 3251 - By-Laws and Regulations - IDA Fees for IDA Members under the Prime Audit Jurisdiction of the Bourse de Montréal (February 9, 2004) Bulletin No. 3250 - Discipline - Discipline Penalties imposed on Christine Brown - Violations of Regulations 1300.4, 1300.5 and By-Law 29.1 (February 6, 2004) Bulletin No. 3249 - Discipline - Discipline Penalties Imposed on Manas Dichow - Violations of Regulations 1300.1(c), 1300.4 and 1300.5 (February 5, 2004) Bulletin No. 3248 - Discipline - Discipline Penalties Imposed on Golden Capital Securities Ltd. - Violation of By-law 29.1 (February 5, 2004) Bulletin No. 3247 - Discipline - Discipline Penalties Imposed on Jaime Vilas-Boas - Violation of By-law 29.1 (February 5, 2004) Bulletin No. 3246 - Discipline - Discipline Penalties Imposed on Fred Paraskevas Dimitriadis - Violation of By-law 29.1 (February 5, 2004) Bulletin No. 3245 - By-Laws and Regulations - By-law No. 3.13 - Interest on overdue fees, assessments and other charges (February 4, 2004) Bulletin No. 3245 - By-Laws and Regulations - By-law No. 3.13 - Interest on overdue fees, assessments and other charges (February 4, 2004) Bulletin No. 3245 - Related Documents Bulletin No. 3244 - Discipline - Discipline Penalties Imposed on Darko Stjepan Mrakuzic - Violations of By-law 29.1 (February 3, 2004) Bulletin No. 3243 - New Member - AIC Private Portfolio Group Inc. (January 29, 2004) Bulletin No. 3242 - By-Laws and Regulations - Amendments to By-law 1 Definition of Approved Person (January 28, 2004) Bulletin No. 3242 - By-Laws and Regulations - Amendments to By-law 1 Definition of Approved Person (January 28, 2004) Bulletin No. 3242 - Related Documents Bulletin No. 3241 - By-Laws and Regulations - Amendments to Regulation 1300 regarding Managed Accounts (January 26, 2004) Bulletin No. 3241 - By-Laws and Regulations - Amendments to Regulation 1300 regarding Managed Accounts (January 26, 2004) Bulletin No. 3241 - Related Documents Bulletin No. 3240 - Public Affairs - The IDA’s 88th Annual General Meeting & Conference (January 20, 2004) Bulletin No. 3239 - Discipline - Discipline Penalties Imposed on Georges Métivier - Violation of By-law 29.1 (January 14, 2004) Bulletin No. 3238 - Change in Name - Middlefield Securities Limited (January 14, 2004) Bulletin No. 3237 - Amalgamation - HSBC Securities (Canada) Inc. and HSBC InvestDirect Inc. (January 5, 2004) Bulletin No. 3236 - Change of Ownership - Cartier Partners Securities Inc. (January 5, 2004) Bulletin No. 3235 - New Member - N M Rothschild & Sons Canada Securities Limited (January 5, 2004) 2003 Bulletin No. 3234 - Resignation - Fidelity Intermediary Securities Company Limited (December 23, 2003) Bulletin No. 3233 - Resignation - Mirabaud Asset Management (Canada) Inc. (December 23, 2003) Bulletin No. 3232 - Discipline - Discipline Penalties Imposed on James Moon and Benjamin Gelfand - Violations of Regulations 1300.1(c) and 1300.1(a) (December 19, 2003) Bulletin No. 3231 - Discipline - Discipline Penalties imposed on Hugh Damian Bagnell - Violation of By-law 19.5 (December 19, 2003) Bulletin No. 3230 - Notice of Intention to Resign - Mirabaud Asset Management (Canada) Inc. (December 18, 2003) Bulletin No. 3229 - Discipline - Discipline Penalties imposed on Nancy Jean Lett - Violations of By-law 29.1 (December 15, 2003) Bulletin No. 3228 - Discipline - Discipline Penalties Imposed on Robert Saltsman - Violations of By-law 29.1 and Regulation 1300.1(c) (December 15, 2003) Bulletin No. 3227 - Notice of Intention to Resign - Fidelity Intermediary Securities Company Limited (December 12, 2003) Bulletin No. 3226 - By-Laws and Regulations - Margin and Capital Requirements for Capital Share and Convertible and Exercisable Security Offsets - Regulations 100.4G, 100.4H and 100.4I (December 11, 2003) Bulletin No. 3226 - By-Laws and Regulations - Margin and Capital Requirements for Capital Share and Convertible and Exercisable Security Offsets - Regulations 100.4G, 100.4H and 100.4I (December 11, 2003) Bulletin No. 3226 - Related Documents Bulletin No. 3225 - By-Laws and Regulations - Margin and Capital Requirements for Positions in and Offsets involving Interest Rate and Total Performance Swaps - Regulations 100.2(j), 100.2(k), and 100.4F (December 11, 2003) Bulletin No. 3225 - By-Laws and Regulations - Margin and Capital Requirements for Positions in and Offsets involving Interest Rate and Total Performance Swaps - Regulations 100.2(j), 100.2(k), and 100.4F (December 11, 2003) Bulletin No. 3225 - Related Documents Bulletin No. 3224 - Industry Relations and Representation - Update - Compliance with US Tax Laws with Respect to RRSPs and RRIFs - IRS Issues a New Notice Which Provides Relief (December 9, 2003) Bulletin No. 3223 - Reorganization - Griffiths McBurney & Partners (December 9, 2003) Bulletin No. 3222 - Industry Relations and Representation - Relief from Intermediary Obligations under National Instrument 54-101 - Communication with Non-Objecting Beneficial Owners (NOBOs) of Securities of a Reporting Issuer (December 8, 2003) Bulletin No. 3221 - Holiday Schedule - Schedule for the Closings of the Domestic Bond and Money Markets - Holiday Schedule for 2004 (December 5, 2003) Bulletin No. 3220 - Inactive Status - Brawley Cathers Limited (December 1, 2003) Bulletin No. 3219 - Public Affairs - Canada's 2nd Annual SRO Conference, January 29, 2004: Current Issues in SRO Compliance (December 1, 2003) Bulletin No. 3218 - Industry Relations and Representation - Privacy Legislation (November 24, 2003) Bulletin No. 3217 - Acquisition - Brawley Cathers Limited (November 21, 2003) Bulletin No. 3216 - Discipline - Discipline Penalties imposed on Roche Securities Limited and Douglas Francis Roche - Violations of By-laws 3.3, 16.4, 30.5 and 29.1 (November 20, 2003) Bulletin No. 3215 - Discipline - Discipline Penalties Imposed on Jerry Russell Johnson - Violation of By-law 29.1 and Regulation 200.1(i)(3) (November 20, 2003) Bulletin No. 3214 - New Member - Barret Capital Management Inc. (November 19, 2003) Bulletin No. 3213 - Change in Control - Assante Capital Management Ltd. (November 14, 2003) Bulletin No. 3212 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (November 14, 2003) Bulletin No. 3212 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (November 14, 2003) Bulletin No. 3212 - Related Documents Bulletin No. 3211 - New Member - Clearsight Wealth Management Inc. (November 13, 2003) Bulletin No. 3210 - By-Laws and Regulations - By-Law 10.7 is amended to include the immediate past Chair of the National Advisory Committee as a voting member of the National Advisory Committee (November 12, 2003) Bulletin No. 3210 - By-Laws and Regulations - By-Law 10.7 is amended to include the immediate past Chair of the National Advisory Committee as a voting member of the National Advisory Committee (November 12, 2003) Bulletin No. 3210 - By-Laws and Regulations - By-Law 10.7 is amended to include the immediate past Chair of the National Advisory Committee as a voting member of the National Advisory Committee (November 12, 2003) - Attachment Bulletin No. 3210 - Related Documents Bulletin No. 3209 - Change in Name - Merrill Lynch HSBC Canada Inc. (November 7, 2003) Bulletin No. 3208 - Change in Control - TWC Securities Inc. (November 6, 2003) Bulletin No. 3207 - Discipline - Discipline Penalties Imposed on John Patrick O’Malley (November 4, 2003) Bulletin No. 3206 - Discipline - Discipline Penalties Imposed on Daniel McDonald and Wellington West Capital Inc. - Violation of Regulation 1300.2, Policy 2 and By-law 29.1 (October 31, 2003) Bulletin No. 3205 - New Member - Richardson Partners Financial Limited (October 31, 2003) Bulletin No. 3204 - Industry Relations and Representation - Ontario Opportunity Bonds Tax Reporting (October 30, 2003) Bulletin No. 3203 - Discipline - Discipline Penalties Imposed on Bradley Arthur Gilmour - Violations of Regulation 1300.1 (a), 1300.1(c) and By-Law 19.6 (October 29, 2003) Bulletin No. 3202 - By-Laws and Regulations - Policy No.11 - Research Restrictions and Disclosure Requirements (October 27, 2003) Bulletin No. 3202 - By-Laws and Regulations - Policy No.11 - Research Restrictions and Disclosure Requirements (October 27, 2003) Bulletin No. 3202 - By-Laws and Regulations - Policy No.11 - Research Restrictions and Disclosure Requirements (October 27, 2003) - Attachment Bulletin No. 3201 - Public Affairs - New Member Firm/Registrant Information Service (October 23, 2003) Bulletin No. 3200 - Resignation - BNP (Canada) Securities Inc. (October 20, 2003) Bulletin No. 3199 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (October 16, 2003) Bulletin No. 3199 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (October 16, 2003) Bulletin No. 3199 - Related Documents Bulletin No. 3198 - Industry Relations and Representation - Bank of Canada Names New Trustee (October 8, 2003) Bulletin No. 3197 - Committees' Directory - Association Committees - 2003-2004 (October 7, 2003) Bulletin No. 3196 - By-Laws and Regulations - Amendments to By-law 3 - Entrance, Annual and Other Fees (October 3, 2003) Bulletin No. 3196 - By-Laws and Regulations - Amendments to By-law 3 - Entrance, Annual and Other Fees (October 3, 2003) Bulletin No. 3196 - Related Documents Bulletin No. 3195 - Discipline - Charge brought against Pierre Gloutney Not Sustained - Alleged Violations of Regulation 1300.1(a) & By-law 29.1 (September 25, 2003) Bulletin No. 3194 - Notice of Intention to Resign - BNP (Canada) Securities Inc. (September 16, 2003) Bulletin No. 3193 - By-Laws and Regulations - By-laws 1 and 7; Policy 6, Parts I and II - Requirement to Appoint a Chief Financial Officer and Introduction of Chief Financial Officer Qualifying Examination (September 15, 2003) Bulletin No. 3193 - By-Laws and Regulations - By-laws 1 and 7; Policy 6, Parts I and II - Requirement to Appoint a Chief Financial Officer and Introduction of Chief Financial Officer Qualifying Examination (September 15, 2003) Bulletin No. 3193 - Related Documents Bulletin No. 3192 - New Inter-Dealer Bond Broker - Garban LLC (September 9, 2003) Bulletin No. 3191 - Amalgamation - Altamira Securities and National Bank Discount Brokerage (September 9, 2003) Bulletin No. 3190 - Change of Ownership - CANCELLED - Global Maxfin Capital Inc. (September 2, 2003) Bulletin No. 3189 - Discipline - Discipline Penalties Imposed on Graham Gordon Alexander - Violation of By-laws 29.1, 18.15 and Regulation 1300.1(b) (August 28, 2003) Bulletin No. 3188 - Discipline - Discipline Penalties Imposed on Robert Peter Gawthrop - Violation of By-law 29.1and By-law 18.15 (August 27, 2003) Bulletin No. 3187 - Discipline - Discipline Penalties Imposed on Stuart Gordon Smith - Violation of By-Law 29.1 (August 20, 2003) Bulletin No. 3186 - Discipline - Discipline Penalties Imposed on James Kelly Betnar - Violation of By-law 29.1and By-law 19.5 (August 7, 2003) Bulletin No. 3185 - Discipline - Discipline Penalties Imposed on Carolann Steinhoff - Violation of By-law 29.1 (August 7, 2003) Bulletin No. 3184 - Industry Relations and Representation - Update - Compliance with US Tax Laws with Respect to RRSPs and RRIFs - IRS Issues a New Notice Which Provides Limited Relief (August 7, 2003 ) Bulletin No. 3183 - Discipline - Discipline Hearing Regarding John Patrick O’Malley - Penalty Hearing Put Over, Terms Imposed (August 7, 2003) Bulletin No. 3182 - Discipline - Discipline Penalties imposed on Frederick Kenneth Walsh - Violations of Regulations 1300.1(c), 1300.4 and 200.1(i)(3) (August 7, 2003) Bulletin No. 3181 - Discipline - Discipline Penalties imposed on Steven Mathew White (August 6, 2003) Bulletin No. 3180 - Discipline - Charge brought against Donald Greco Not Sustained - Alleged Violation of By-law 29.1 (August 1, 2003) Bulletin No. 3179 - Industry Relations and Representation - Revised Strip Bond Information Statement (July 29, 2003) Bulletin No. 3178 - Industry Relations and Representation - Intermediary Obligations under National Instrument 54-101Communication with Beneficial Owners of Securities of a Reporting Issuer (July 24, 2003) Bulletin No. 3177 - Industry Relations and Representation - Update - Compliance with US Tax Laws with Respect to RRSPs’ Beneficiaries (July 23, 2003) Bulletin No. 3176 - Discipline - Discipline Penalties Imposed on Peregrine Financial Group Canada Inc. - Violation of By-Law 17.1 (July 23, 2003) Bulletin No. 3175 - Change in Name - First Canada Securities Corporation (July 22, 2003) Bulletin No. 3174 - By-Laws and Regulations - Regulation 100.21, Maximum Margin Required for Convertible Securities (July 18, 2003) Bulletin No. 3174 - By-Laws and Regulations - Regulation 100.21, Maximum Margin Required for Convertible Securities (July 18, 2003) Bulletin No. 3174 - Related Documents Bulletin No. 3173 - Change in Control - First Canada Securities Corporation (July 16, 2003) Bulletin No. 3172 - Change in Name - J.F. Mackie & Company (July 10, 2003) Bulletin No. 3171 - Change in Control - McFarlane Gordon Inc. (July 9, 2003) Bulletin No. 3170 - Termination - Broadway Trading Inc. (July 9, 2003) Bulletin No. 3169 - New Member - ATB Securities Inc. (July 8, 2003) Bulletin No. 3168 - Change in Name - Yorkton Securities Inc. (June 25, 2003) Bulletin No. 3167 - Discipline - Discipline Penalties Imposed on Winnie W. S. Tang - Violation of By-law 29.1 (June 25, 2003) Bulletin No. 3166 - Change in Name - Tercyn Capital Inc. (June 25, 2003) Bulletin No. 3165 - Discipline - Discipline Penalties imposed on John James Illidge - Violations of By-law 29.1 and Regulation 1300.4 (June 23, 2003) Bulletin No. 3164 - Change in Control - Canada Life Securities Inc. (June 20, 2003) Bulletin No. 3163 - Discipline - Discipline Penalties imposed on Mark Julian Klyman - Violation of Regulation 1300.4 (June 20, 2003) Bulletin No. 3162 - Reorganization - Friedberg Mercantile Group and Refco Futures (Canada) Ltd. (June 17, 2003) Bulletin No. 3161 - Discipline - Discipline Penalties Imposed on Gaston English and Resolution Capital Inc. - Violations of By-laws 17.2, 17.2A and 29.1, Regulations 200.1, 1300.1 and 1300.2 and Policies No. 2 and No. 3 (June 16, 2003) Bulletin No. 3160 - Discipline - Discipline Penalties Imposed on Ramon Albert Porcellato - Violations of By-law 29.1 (June 12, 2003) Bulletin No. 3159 - Change in Name - Newcourt Securities Inc. (May 29, 2003) Bulletin No. 3158 - Industry Relations and Representation - Compliance with US Tax Laws with Respect to Beneficiaries of RRSPs (May 26, 2003) Bulletin No. 3157 - Discipline - Discipline Penalties imposed on Paul Mark Herd - Violation of By-Law 29.1 and Regulation 1300.4 (May 26, 2003) Bulletin No. 3156 - Reorganization - Berkshire Securities Inc. (May 22, 2003) Bulletin No. 3155 - Discipline - Discipline Penalties Imposed on Zona Paulette Armstrong - Violations of Regulation 1300.1(c), 1300.1(a), By-law 29.1 and By-law 19.5 (May 22, 2003) Bulletin No. 3154 - Suspension - Suspension of Leduc & Associés Securities (Canada) Ltd. (May 28, 2003) Bulletin No. 3153 - By-Laws and Regulations - By-law 39 Principal and Agent Relationships (May 20, 2003) Bulletin No. 3153 - By-Laws and Regulations - By-law 39 Principal and Agent Relationships (May 20, 2003) Bulletin No. 3153 - By-Laws and Regulations - By-law 39 Principal and Agent Relationships (May 20, 2003) - Attachment 1 Bulletin No. 3153 - By-Laws and Regulations - By-law 39 Principal and Agent Relationships (May 20, 2003) - Attachment 2 Bulletin No. 3153 - By-Laws and Regulations - By-law 39 Principal and Agent Relationships (May 20, 2003) - Attachment 3 Bulletin No. 3153 - Related Documents Bulletin No. 3152 - Change in Name - UBS Bunting Warburg Inc. (May 15, 2003) Bulletin No. 3151 - Discipline - Discipline Penalties Imposed on Warren J. McCaffrey (May 15, 2003) Bulletin No. 3150 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (May 9, 2003) Bulletin No. 3150 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (May 9, 2003) Bulletin No. 3150 - Related Documents Bulletin No. 3149 - Resignation - Darier Hentsch (Canada) Inc. (May 7, 2003) Bulletin No. 3148 - Resignation - Robert Caldwell Capital Corporation (May 6, 2003) Bulletin No. 3147 - Change in Control - Clarus Securities Inc. (May 5, 2003) Bulletin No. 3146 - Change in Ownership/Change of Name - Fahnestock Canada Inc. (May 5, 2003) Bulletin No. 3145 - Discipline - Discipline Penalties Imposed on Shofique Ahmed - Violation of By-law 29.1 (April 30, 2003) Bulletin No. 3144 - Discipline - Discipline Penalties Imposed on Garry Turpin - Violations of Policy No. 2 and Regulation 1300.1(c) (April 30, 2003) Bulletin No. 3143 - Discipline - Discipline Penalties Imposed on Gerrardo (Jerry) Salvatore - Violation of Regulation 1300.1(c) (April 30, 2003) Bulletin No. 3142 - Discipline - Discipline Penalties Imposed on the Retail Division of Scotia Capital Inc. - Violation of Policy Number 2 (April 28, 2003) Bulletin No. 3141 - Discipline - Discipline Penalties Imposed on Robert Roy Morrison - Violations of Policy No. 2 and Regulation 1300.1(c) (April 28, 2003) Bulletin No. 3140 - By-Laws and Regulations - Minimum Margin Requirements for Bonds with Embedded Options - By-Law 1 and Regulation 100.2A (April 28, 2003) Bulletin No. 3140 - By-Laws and Regulations - Minimum Margin Requirements for Bonds with Embedded Options - By-Law 1 and Regulation 100.2A (April 28, 2003) Bulletin No. 3140 - Related Documents Bulletin No. 3139 - Discipline - Discipline Penalties Imposed on Trilon Securities Corporation - Violation of By-Law 17.1 (April 24, 2003) Bulletin No. 3138 - Discipline - Discipline Penalties Imposed on Patrick Teggart - Violations of By-law 29.1, Regulation 1300.4, and Regulation 1300.1(c) (April 24, 2003) Bulletin No. 3137 - Resignation - Demers Conseil Inc. (April 24, 2003) Bulletin No. 3136 - Resignation - Sun Life Securities Inc. (April 23, 2003) Bulletin No. 3135 - New Member - Infinium Capital Corporation (April 22, 2003) Bulletin No. 3134 - Notice of Intention to Resign - Darier Hentsch (Canada) Inc. (April 16, 2003) Bulletin No. 3133 - New Member - Graydon Elliott Capital Corporation (April 16, 2003) Bulletin No. 3132 - By-Laws and Regulations - Amendment to By-law 5, Ownership of Securities (April 15, 2003) Bulletin No. 3132 - By-Laws and Regulations - Amendment to By-law 5, Ownership of Securities (April 15, 2003) Bulletin No. 3132 - Related Documents Bulletin No. 3131 - Notice of Intention to Resign - Demers Conseil Inc. (April 15, 2003) Bulletin No. 3130 - Notice of Intention to Resign - IPO Capital Corp. (April 10, 2003) Bulletin No. 3129 - Change in Control - IPO Capital Corp. (April 9, 2003) Bulletin No. 3128 - Change in Name - Salomon Smith Barney Canada Inc. (April 8, 2003) Bulletin No. 3127 - Change in Name - Fimat Produits Dérivés Canada inc. / Fimat Derivatives Canada Inc. (April 1, 2003) Bulletin No. 3126 - Resignation - Georgia Pacific Securities Corporation (April 1, 2003) Bulletin No. 3125 - By-Laws and Regulations - Regulation 400 - Insurance (March 26, 2003) Bulletin No. 3125 - By-Laws and Regulations - Regulation 400 - Insurance (March 26, 2003) Bulletin No. 3125 - Related Documents Bulletin No. 3124 - By-Laws and Regulations - Regulation 400 - Calculation of Insurance Requirements (March 26, 2003) Bulletin No. 3124 - By-Laws and Regulations - Regulation 400 - Calculation of Insurance Requirements (March 26, 2003) Bulletin No. 3124 - Related Documents Bulletin No. 3123 - Notice of Intention to Resign - Robert Caldwell Capital Corporation (March 24, 2003) Bulletin No. 3122 - Industry Relations and Representation - IDA announces Committee to review issues relating to the daily survey of BA rates (Reuters CDOR and Moneyline/Telerate page 3197) (March 18, 2003) Bulletin No. 3121 - Discipline - Discipline Penalties imposed on David Stojanovic - Violation of By-Law 29.1 (March 13, 2003) Bulletin No. 3120 - Discipline - Discipline Penalties Imposed on Alexander Norris Campbell - Violation of Regulation 1300.1 (c) (March 7, 2003) Bulletin No. 3119 - New Member - Marlow Group Securities Inc. (February 28, 2003) Bulletin No. 3118 - Discipline - Discipline Penalties imposed on Dimitrios Boulieris - Violation of By-Law 29.1 (February 18, 2003) Bulletin No. 3117 - General - 87th IDA Annual Meeting and Conference (February 18, 2003) Bulletin No. 3116 - Discipline - Discipline Penalties Imposed on Ian Grieve - Violation of Regulation 1300.1(b), 1300.1(c), 1300.4 and By-law 29.1 (February 14, 2003) Bulletin No. 3115 - Notice of Intention to Resign - Sun Life Securities Inc. (February 12, 2003) Bulletin No. 3114 - Change in Name - Miles and Partners Wealth Management Ltd. (February 11, 2003) Bulletin No. 3113 - Change in Control - Tercyn Capital Inc. (February 10, 2003) Bulletin No. 3112 - By-Laws and Regulations - Amendments to the Capital Requirements for Financing Transactions - Form 1, Schedules 1, 7 and 7A (February 4, 2003) Bulletin No. 3112 - By-Laws and Regulations - Amendments to the Capital Requirements for Financing Transactions - Form 1, Schedules 1, 7 and 7A (February 4, 2003) Bulletin No. 3112 - Related Documents Bulletin No. 3111 - By-Laws and Regulations - Amendment to Regulation 200, Minimum Records (February 4, 2003) Bulletin No. 3111 - By-Laws and Regulations - Amendment to Regulation 200, Minimum Records (February 4, 2003) Bulletin No. 3111 - Related Documents Bulletin No. 3110 - Discipline - Discipline Penalties Imposed on Christopher Mark Hilliard (January 30, 2003) Bulletin No. 3109 - Discipline - Discipline Penalties imposed on Gwendolyn Chan - Violations of Regulation 1300.1(c) and By-Law 29.1 (January 30, 2003) Bulletin No. 3108 - General - Disciplinary Sanction Guidelines (January 29, 2003) Bulletin No. 3108 - General - Disciplinary Sanction Guidelines (January 29, 2003) Bulletin No. 3108 - Related Documents Bulletin No. 3107 - Discipline - Discipline Penalties Imposed on William Gerard Armstrong - Violations of Regulation 1300.4, 1300.1(c) and By-law 19.5 (January 24, 2003) Bulletin No. 3106 - By-Laws and Regulations - Amendment to Policy No. 6 Part I.A(6) Proficiency Requirements for Portfolio Managers and Futures Contracts Portfolio Managers (January 24, 2003) Bulletin No. 3106 - By-Laws and Regulations - Amendment to Policy No. 6 Part I.A(6) Proficiency Requirements for Portfolio Managers and Futures Contracts Portfolio Managers (January 24, 2003) Bulletin No. 3106 - Related Documents Bulletin No. 3105 - Inactive Status - BNP (Canada) Securities Inc. (January 23, 2003) Bulletin No. 3104 - Reorganization - Georgia Pacific Securities Corporation (January 22, 2003) Bulletin No. 3103 - Resignation - Lehman Brothers Canada Inc. (January 16, 2003) Bulletin No. 3102 - New Member - First Republic Securities Corporation (January 10, 2003) Bulletin No. 3101 - Discipline - Discipline Penalties Imposed on Broadway Trading Inc. - Violations of By-laws 17.1 and 17.2A (January 10, 2003) Bulletin No. 3100 - General - Canada’s First SRO Conference, January 29, 2003: Self-Regulation - Today/Tomorrow (January 7, 2003) Bulletin No. 3099 - Discipline - Discipline Penalties Imposed on Jeffrey MacDonald - Violation of Regulation 1300.1(c) (January 3, 2003) Bulletin No. 3098 - Discipline - Discipline Penalties Imposed on Peter Konidis - Violation of Regulation 1300.1(c) (January 3, 2003) Bulletin No. 3097 - Amalgamation - Refco Futures (Canada) Ltd. and CFG Financial Group, Inc. (January 2, 2003) 2002 Bulletin No. 3096 - New Member - Clarus Securities Inc. (December 27, 2002) Bulletin No. 3095 - Discipline - Discipline Penalties Imposed on Jayanth Noronha - Violations of Conduct Unbecoming (December 23, 2002) Bulletin No. 3094 - Discipline - Discipline Penalties Imposed on April Shuk-Fan Che - Violation of By-law 29.1 (December 24, 2002) Bulletin No. 3093 - New Member - Le Groupe Option Retraite inc. / Retirement Option Group Inc. (December 20, 2002) Bulletin No. 3092 - Change in Control - Robert Caldwell Capital Corporation (December 19, 2002) Bulletin No. 3091 - General - Centre for Financial Services OmbudsNetwork Webcast (December 18, 2002) Bulletin No. 3090 - Discipline - Discipline Penalties Imposed on Dominique Monardo - Conduct Unbecoming (December 17, 2002) Bulletin No. 3089 - By-Laws and Regulations - Amendment to Regulation 100.4C, Debt Securities (December 17, 2002) Bulletin No. 3089 - By-Laws and Regulations - Amendment to Regulation 100.4C, Debt Securities (December 17, 2002) Bulletin No. 3089 - Related Documents Bulletin No. 3088 - Resignation - St. James Securities Inc. (December 16, 2002) Bulletin No. 3087 - New Member - First Financial Securities Inc. (December 11, 2002) Bulletin No. 3086 - New Member - Miles and Partners Wealth Management Ltd. (December 11, 2002) Bulletin No. 3085 - General - Retail Broker Seminars via IDA Webcast (December 10, 2002) Bulletin No. 3084 - Discipline - Discipline Penalties imposed on Questrade Inc. (formerly Quest Capital Group Ltd.) - Violation of By-Law 17.1 (December 5, 2002) Bulletin No. 3083 - General - Schedule for the Closings of the Domestic Bond and Money Markets - Holiday Schedule for 2003 (December 5, 2002) Bulletin No. 3082 - Change in Name - Gestion Fonds des professionnels inc. / Professional’s Fund Management Inc. (December 5, 2002) Bulletin No. 3081 - Change in Name - Altara Securities Inc. (December 2, 2002) Bulletin No. 3080 - Discipline - Discipline Penalties Imposed on Jean Marc Vienneau - Violation of By-law 29.1 (November 28, 2002) Bulletin No. 3079 - Discipline - Discipline Penalties Imposed on Stanley Nathanson - Violation of By-law 29.1 and Part C, Section IV of the Conduct and Practices Handbook, General Rules of Conduct (November 27, 2002) Bulletin No. 3078 - Discipline - Discipline Penalties Imposed on David Henry Leung - Violation of By-law 29.1 (November 27, 2002) Bulletin No. 3077 - Notice of Intention to Resign - Roche Securities Limited (November 26, 2002) Bulletin No. 3076 - Discipline - Discipline Penalties Imposed on Marie-Claude Filman - Violations of By-Law 29.1 (November 25, 2002) Bulletin No. 3075 - New Member - Sprott Asset Management Inc. (November 20, 2002) Bulletin No. 3074 - Discipline - Discipline Penalties Imposed on Barry Kasman - Violation of By-laws 17.1, 17.2,17.2A and 29.1, Regulations 1300.1, 1300.2 and Policy Nos. 2 and 3 (November 19, 2002) Bulletin No. 3073 - Change in Name - Royal Bank Action Direct Inc. / Actions en Direct Banque Royale Inc. (November 14, 2002) Bulletin No. 3072 - Discipline - Discipline Penalties Imposed on Roger Ancil Rambhajan - Violations of By-law 29.1 (November 12, 2002) Bulletin No. 3071 - Discipline - Discipline Penalties Imposed on Joseph C. Stauffer - Violation of By-law 19.5 (November 11, 2002) Bulletin No. 3070 - Discipline - Discipline Penalties Imposed on Anthony Addolorato Colalillo - Violations of Regulation 1300.1(c) and By-law 29.1 9 (November 11, 2002) Bulletin No. 3069 - Discipline - Discipline Penalties imposed on Graeme Hamilton - Violations of Regulation 1300.4 and By-Law 29.1 (November 11, 2002) Bulletin No. 3068 - By-Laws and Regulations - Amendments to By-law No. 7, Partners, Directors and Officers (November 4, 2002) Bulletin No. 3067 - By-Laws and Regulations - Amendments to By-Law 37 - OmbudsNetwork & Replacement of Brochure (November 1, 2002) Bulletin No. 3067 - By-Laws and Regulations - Amendments to By-Law 37 - OmbudsNetwork & Replacement of Brochure (November 1, 2002) Bulletin No. 3067 - Related Documents Bulletin No. 3066 - New Member - Secutor Capital Management Corporation (November 1, 2002) Bulletin No. 3065 - Change in Name - Datek Canada Brokerage Services Inc. (October 25, 2002) Bulletin No. 3064 - By-Laws and Regulations - Amendment to Regulation 2100.6, Inter-Dealer Bond Brokerages (October 22, 2002) Bulletin No. 3064 - By-Laws and Regulations - Amendment to Regulation 2100.6, Inter-Dealer Bond Brokerages (October 22, 2002) Bulletin No. 3064 - Related Documents Bulletin No. 3063 - Discipline - Discipline Penalties imposed on Stewart Douglas Loughery - Violation of By-law 29.1, Regulation 1300.4, Regulation 1300.1(a) and Regulation 1300.1 (c) (October 22, 2002) Bulletin No. 3062 - General - Fair Dealing Model (October 21, 2002) Bulletin No. 3061 - By-Laws and Regulations - Amendment to the IDA Constitution (October 15, 2002) Bulletin No. 3061 - By-Laws and Regulations - Amendment to the IDA Constitution (October 15, 2002) Bulletin No. 3061 - Related Documents Bulletin No. 3060 - By-Laws and Regulations - Amendment to By-law 11, District Councils and Meetings (October 11, 2002) Bulletin No. 3059 - New Member - Mirabaud Asset Management (Canada) Inc. (October 11, 2002) Bulletin No. 3058 - Termination - First Delta Securities Inc. (October 11, 2002) Bulletin No. 3057 - By-Laws and Regulations - Amendment to By-law 5, Ownership of Securities (October 7, 2002) Bulletin No. 3057 - By-Laws and Regulations - Amendment to By-law 5, Ownership of Securities (October 7, 2002) Bulletin No. 3057 - Related Documents Bulletin No. 3056 - Discipline - Discipline Penalties Imposed on Paul Alexander Bishop - Violation of By-law 29.1 (October 4, 2002) Bulletin No. 3055 - New Member - Everest Securities Inc. / Valeurs Mobilières Everest inc. (October 4, 2002) Bulletin No. 3054 - General - Association Board of Directors, District Councils and Committees for 2002-2003 (October 3, 2002) Bulletin No. 3053 - Change in Control - First Associates Investments Inc. (October 3, 2002) Bulletin No. 3052 - New Member - Archipelago Canada Inc. (October 1, 2002) Bulletin No. 3051 - By-Laws and Regulations - Policy 8 (September 25, 2002) Bulletin No. 3051 - By-Laws and Regulations - Policy 8 (September 25, 2002) Bulletin No. 3051 - By-Laws and Regulations - Policy 8 (September 25, 2002) - Attachment 1 Bulletin No. 3051 - Related Documents Bulletin No. 3050 - Notice of Intention to Resign - Leduc & Associés Securities Canada Ltd. (September 23, 2002) Bulletin No. 3049 - Discipline - Discipline Penalties Imposed on Michael Anthony Whistle - Violations of Regulation 1300.4 and By-Law 29.1 (September 23, 2002) Bulletin No. 3048 - Change in Control/Change of Name - DLJ Canada Inc. (September 23, 2002) Bulletin No. 3047 - By-Laws and Regulations - Amendments to By-law No. 16, District Association Auditors, Members' Auditors, Financial Reporting and Senior Vice-President, Member Regulation (September 19, 2002) Bulletin No. 3046 - Discipline - Discipline Penalties Imposed on Nicolas Tsaconakos - Violation of By-laws 17.1, 17.2,17.2A and 29.1, Regulations 1300.1, 1300.2 and Policy Nos. 2 and 3 (September 17, 2002) Bulletin No. 3045 - Discipline - Discipline Hearing Regarding Joseph C. Stauffer Adjourned on Terms (September 16, 2002) Bulletin No. 3044 - By-Laws and Regulations - Amendments to By-law 8 - Resignations, Amalgamations, Etc. (September 12, 2002) Bulletin No. 3044 - By-Laws and Regulations - Amendments to By-law 8 - Resignations, Amalgamations, Etc. (September 12, 2002) Bulletin No. 3044 - Related Documents Bulletin No. 3043 - New Member - Dunedin Securities Inc. (September 12, 2002) Bulletin No. 3042 - Notice of Intention to Resign - Lehman Brothers Canada Inc. (September 4, 2002) Bulletin No. 3041 - Resignation - Peterson Findlay Capital Inc. (September 4, 2002) Bulletin No. 3040 - By-Laws and Regulations - Implementation Bulletin - Financial Services OmbudsNetwork (August 30, 2002) Bulletin No. 3040 - By-Laws and Regulations - Implementation Bulletin - Financial Services OmbudsNetwork (August 30, 2002) Bulletin No. 3040 - Related Documents Bulletin No. 3039 - General - Deutsche Bank Securities Limited Added to Daily Survey of Money Market Rates (August 22, 2002) Bulletin No. 3038 - Discipline - Discipline Penalties Imposed on Richard Mills - Violation of Regulations 1300.1(c) and Policy 2 (August 22, 2002) Bulletin No. 3037 - Suspension - Thomson Kernaghan & Co. Ltd. (August 22, 2002) Bulletin No. 3036 - Resignation - Nomura Canada Inc. (August 21, 2002) Bulletin No. 3035 - By-Laws and Regulations - Amendments to By-law 28 - Discretionary Fund (formerly the Discretionary Trust Fund) (August 20, 2002) Bulletin No. 3035 - By-Laws and Regulations - Amendments to By-law 28 - Discretionary Fund (formerly the Discretionary Trust Fund) (August 20, 2002) Bulletin No. 3035 - Related Documents Bulletin No. 3034 - Discipline - Penalties To Be Imposed On Joachim Burgess James ("Jake") Tiley - Violation Of By-Law 29.1 (August 19, 2002) Bulletin No. 3033 - Discipline - Discipline Penalties Imposed on Simon Kin-Ho Tam - Violation of By-law 29.1 (August 14, 2002) Bulletin No. 3032 - Discipline - Discipline Penalties Imposed on Woody Wood-Keung Wu - Violation of By-law 29.1 (August 14, 2002) Bulletin No. 3031 - By-Laws and Regulations - Amendment to the Margin Requirements for Listed Securities (August 13, 2002) Bulletin No. 3031 - By-Laws and Regulations - Amendment to the Margin Requirements for Listed Securities (August 13, 2002) Bulletin No. 3031 - By-Laws and Regulations - Amendment to the Margin Requirements for Listed Securities (August 13, 2002) - Attachment 1 Bulletin No. 3031 - Related Documents Bulletin No. 3030 - By-Laws and Regulations - Amendments to By-law 15.11 - Association Accounts and Funds and Execution of Instruments - Financial Assistance for Securities Industry Organizations (August 12, 2002) Bulletin No. 3030 - By-Laws and Regulations - Amendments to By-law 15.11 - Association Accounts and Funds and Execution of Instruments - Financial Assistance for Securities Industry Organizations (August 12, 2002) Bulletin No. 3030 - Related Documents Bulletin No. 3029 - Notice of Intention to Resign - Nomura Canada Inc. (August 12, 2002) Bulletin No. 3028 - Discipline - Charges brought against Gregory Pepper Shanks Not Sustained - Alleged Violations of By-law 29.1 and Regulations 1300.1(a), 1300.1(c), 1300.4 (August 8, 2002) Bulletin No. 3027 - Resignation - G.W. Welkin Capital Corporation of Canada (August 7, 2002) Bulletin No. 3026 - Discipline - Discipline Penalties Imposed on Anthony Petriccione - Violation of By-Law 29.1 (August 6, 2002) Bulletin No. 3025 - Notice of Intention to Resign - Peterson Findlay Capital Inc. (August 1, 2002) Bulletin No. 3024 - Change in Name - Sanders and Beckingham Securities Limited (August 1, 2002) Bulletin No. 3023 - New Member - Bloomberg Tradebook Canada Company (July 31, 2002) Bulletin No. 3022 - Change in Name - Quest Capital Group Ltd. (July 30, 2002) Bulletin No. 3021 - Change in Name - Solium Capital Online Inc. (July 26, 2002) Bulletin No. 3020 - Discipline - Discipline Penalties Imposed on BMO Nesbitt Burns Inc. - Violations of Regulation 1300.2, Policy No. 2 and Policy No. 3 (July 23, 2002) Bulletin No. 3019 - Discipline - Discipline Penalties Imposed on Henry George Cole - Violation of Regulations 1300.1, 1300.2 and Policy No. 2 (July 23, 2002) Bulletin No. 3018 - By-Laws and Regulations - Amendments to Form 1 and the Monthly Financial Report and the Elimination of the Quarterly Operations Questionnaire (July 18, 2002) Bulletin No. 3018 - By-Laws and Regulations - Amendments to Form 1 and the Monthly Financial Report and the Elimination of the Quarterly Operations Questionnaire (July 18, 2002) Bulletin No. 3018 - Related Documents Bulletin No. 3017 - Discipline - Discipline Hearing Regarding Fitzroy Eugene Clarke Stayed (July 16, 2002) Bulletin No. 3016 - Suspension - Thomson Kernaghan & Co. Limited (July 11, 2002) Bulletin No. 3016 - Suspension - Thomson Kernaghan & Co. Limited (July 11, 2002) Bulletin No. 3016 - Related Documents Bulletin No. 3015 - Discipline - Discipline Penalties Imposed on Peter Michael Smith - Violation of Regulations 1300.1(b) (July 8, 2002) Bulletin No. 3014 - Change in Control/Change of Name - TD Waterhouse Investor Services (Canada) Inc. (July 4, 2002) Bulletin No. 3013 - Change in Name - The Rogers Group Investment Advisors Inc. (July 3, 2002) Bulletin No. 3012 - New Member - CanDeal.ca Inc. (July 2, 2002) Bulletin No. 3011 - New Member - GGA Investment Services Inc. / Les Services d’investissements GGA inc. (July 11, 2002) Bulletin No. 3010 - By-Laws and Regulations - Financial Services OmbudsNetwork (FSON) (June 17, 2002) Bulletin No. 3009 - By-Laws and Regulations - By-Law 29.26 - Leverage Disclosure (June 17, 2002) Bulletin No. 3009 - By-Laws and Regulations - By-Law 29.26 - Leverage Disclosure (June 17, 2002) Bulletin No. 3009 - Related Documents Bulletin No. 3008 - Change in Control/Change of Name - Patica Securities Inc. (June 18, 2002) Bulletin No. 3007 - New Member - Datek Canada Brokerage Services Inc. (June 13, 2002) Bulletin No. 3006 - Resignation - PCTS Inc. (June 6, 2002) Bulletin No. 3005 - Change in Name - Gold Leaf Securities Inc. (June 3, 2002) Bulletin No. 3004 - Discipline - Amended - Discipline Penalties Imposed on Blair Douglas Wood - Violation of Regulation 1300.1 (c) and By-law 29.1 (June 3, 2002) Bulletin No. 3003 - Resignation - Taurus Capital Markets Ltd. (May 30, 2002) Bulletin No. 3002 - Discipline - Discipline Penalties Imposed on Joseph Zenon Lafleur - Violation of By-law 29.1 (May 27, 2002) Bulletin No. 3001 - Discipline - Discipline Penalties Imposed on Lino D’Souza - Violation of Regulations 1300.1(a), 1300.1(c), 1300.4 and By-law 29.1 (May 27, 2002) Bulletin No. 3000 - General - First Canada Securities Corporation (May 24, 2002) Bulletin No. 2999 - By-Laws and Regulations - By-law 7.1(5) and (6) Proficiency requirements for Industry and Non-Industry Shareholders (May 23, 2002) Bulletin No. 2999 - By-Laws and Regulations - By-law 7.1(5) and (6) Proficiency requirements for Industry and Non-Industry Shareholders (May 23, 2002) Bulletin No. 2999 - Related Documents Bulletin No. 2998 - General - Notice of Webcast Seminar: Maintaining Relationships with Customers Relocating to the United States (May 22, 2002) Bulletin No. 2997 - Resignation - Sands Brothers Canada Ltd. (May 22, 2002) Bulletin No. 2996 - Discipline - Discipline Penalties Imposed on First Delta Securities Inc., George (Geordie) Aubrey Trusler, Frederick Meredith Jr. and Gail Louise Stopforth - Violations of Regulation 1300.1, 1300.2 and By-Law 29.1 (May 22, 2002) Bulletin No. 2995 - New Member - Queensbury Securities Inc. (May 21, 2002) Bulletin No. 2994 - New Member - Darier Hentsch (Canada) Inc. (May 14, 2002) Bulletin No. 2993 - New Member - Interactive Brokers Canada Inc. (May 14, 2002) Bulletin No. 2992 - New Inter-Dealer Bond Broker - BrokerTec USA LLC (May 13, 2002) Bulletin No. 2991 - Amalgamation - Scotia Capital Inc., Scotia Discount Brokerage Inc., Charles Schwab Canada, Co. and Charles Schwab Canada Holdings, Limited (May 1, 2002) Bulletin No. 2990 - Industry Relations and Representation - New CPA Rule on Pre-authorized Debits (April 30, 2002) Bulletin No. 2989 - General - ABN AMRO Capital Markets Canada Limited (April 29, 2002) Bulletin No. 2988 - New Member - Fidelity Intermediary Securities Company Limited (April 26, 2002) Bulletin No. 2987 - Discipline - Discipline Penalties Imposed on Gerry Le Ramos - Violation of By-law 29.1 (April 19, 2002) Bulletin No. 2986 - Discipline - Discipline Penalties Imposed on Chris Stewart - Violation of By-law 29.1 and Regulation 1300.1(c) (April 19, 2002) Bulletin No. 2985 - Discipline - Discipline Penalties Imposed on Aubrey Harvey Katz - Violation of By-law 19.5 (April 17, 2002) Bulletin No. 2984 - Industry Relations and Representation - NASAA Approves Blanket "Model Exemption" for Secondary Trading of TSX-listed Securities (April 16, 2002) Bulletin No. 2983 - Notice of Intention to Resign - PCTS Inc. (April 11, 2002) Bulletin No. 2982 - Notice of Intention to Resign - G.W. Welkin Capital Corporation of Canada (April 11, 2002) Bulletin No. 2981 - Change in Control - Solium Capital Online Inc. (April 11, 2002) Bulletin No. 2980 - Discipline - Discipline Penalties Imposed on Joseph John Genovese - Violation of Regulations 1300.1(a), 1300.1(c) and By-law 29.1 (April 16, 2002) Bulletin No. 2979 - Change in Name - CBID Securities Inc. (April 11, 2002) Bulletin No. 2978 - Discipline - Discipline Penalties Imposed on Robert Dale Grundy - Violation of Regulation 1300.4, By-law 29.1, and By-law 19.5 (April 11, 2002) Bulletin No. 2977 - Change in Name - First International Securities Inc. (April 8, 2002) Bulletin No. 2976 - Discipline - Discipline Penalties Imposed on Bryan Glenn Cruickshank - Violation of Regulation 1300.1(c) (April 5, 2002) Bulletin No. 2975 - Discipline - Discipline Penalties Imposed on Heather Dorothy Stefanson - Violation of By-law 29.1 (April 5, 2002) Bulletin No. 2974 - By-Laws and Regulations - Housekeeping Amendment to Policy No. 5 - Code of Conduct for IDA Member Firms Trading in Domestic Debt Markets (April 1, 2002) Bulletin No. 2974 - By-Laws and Regulations - Housekeeping Amendment to Policy No. 5 - Code of Conduct for IDA Member Firms Trading in Domestic Debt Markets (April 1, 2002) Bulletin No. 2974 - Related Documents Bulletin No. 2973 - Discipline - Discipline Penalties Imposed on Ronald Alan McQuarrie (March 26, 2002) Bulletin No. 2972 - Change in Name - CFG Futures Canada Inc. (March 25, 2002) Bulletin No. 2971 - By-Laws and Regulations - By-law 29.27-Supervision and Compliance (March 15, 2002) Bulletin No. 2971 - By-Laws and Regulations - By-law 29.27-Supervision and Compliance (March 15, 2002) Bulletin No. 2971 - Related Documents Bulletin No. 2970 - Discipline - Discipline Penalties Imposed on Richard Douglas Fee - Violation of By-law 29.1 (March 11, 2002) Bulletin No. 2969 - New Member - CBID Securities Inc. (March 8, 2002) Bulletin No. 2968 - Change in Control - Charles Schwab Canada, Co. (March 5, 2002) Bulletin No. 2967 - By-Laws and Regulations - Internal Control Policy Statements on Pricing of Securities and Derivatives Risk (March 1, 2002) Bulletin No. 2967 - By-Laws and Regulations - Internal Control Policy Statements on Pricing of Securities and Derivatives Risk (March 1, 2002) Bulletin No. 2967 - Related Documents Bulletin No. 2966 - Discipline - Discipline Penalties Imposed on Dwayne William Strocen - Violation of By-law 29.1 (February 28, 2002) Bulletin No. 2965 - By-Laws and Regulations - Composition of the IDA Board (February 27, 2002) Bulletin No. 2965 - By-Laws and Regulations - Composition of the IDA Board (February 27, 2002) Bulletin No. 2965 - Related Documents Bulletin No. 2964 - New Member - Courtage Broadway inc. / Broadway Trading Inc. (February 27, 2002) Bulletin No. 2963 - New Member - Tercyn Capital Inc. (February 27, 2002) Bulletin No. 2962 - New Member - Newcourt Securities Inc. (February 27, 2002) Bulletin No. 2961 - Notice of Intention to Resign - Taurus Capital Markets Ltd. (February 15, 2002) Bulletin No. 2960 - By-Laws and Regulations - Specific IDA Title Changes - Housekeeping Amendments (February 13, 2002) Bulletin No. 2959 - By-Laws and Regulations - Policy No. 2 Minimum Standards for Retail Account Supervision (February 12, 2002) Bulletin No. 2959 - By-Laws and Regulations - Policy No. 2 Minimum Standards for Retail Account Supervision (February 12, 2002) Bulletin No. 2959 - Related Documents Bulletin No. 2958 - Notice of Intention to Resign - DLJ Canada Inc. (February 7, 2002) Bulletin No. 2957 - Change in Name - Pictet (Canada) and Company Limited / Pictet (Canada) Société en commandite (February 5, 2002) Bulletin No. 2956 - Discipline - Discipline Penalties Imposed on William Gerrard Morrison - Violation of Regulation 1300.1 (c) and By-Law 29.1 (February 4, 2002) Bulletin No. 2955 - By-Laws and Regulations - Amendments to By-laws 3.1 and 3.2 - Entrance and Annual Fees (January 29, 2002) Bulletin No. 2955 - By-Laws and Regulations - Amendments to By-laws 3.1 and 3.2 - Entrance and Annual Fees (January 29, 2002) Bulletin No. 2955 - Related Documents Bulletin No. 2954 - Discipline - Penalties Imposed on Rampart Securities Inc. - Violation of By-laws 29.1, 17.1, 17.2, 17.2A, Regulations 1300.1, 1300.2, 1800.5 and 1900.4 (January 25, 2002) Bulletin No. 2953 - General - Association Board of Directors, District Councils and Committees for 2001-2002 (January 23, 2002) Bulletin No. 2952 - Resignation - E-BOND Ltd. (January 25, 2002) Bulletin No. 2951 - Change in Control - PCTS Inc. and Benson Quinn-GMS Inc. (January 25, 2002) Bulletin No. 2950 - Discipline - Discipline penalties imposed on Courvie Securities Inc. - Violation of By-Laws 17.1 and 17.2 (January 31, 2002) Bulletin No. 2949 - Change in Name - State Street Securities Inc. (January 22, 2002) Bulletin No. 2948 - Inactive Status - First Canada Securities Corporation (January 22, 2002) Bulletin No. 2947 - Inactive Status - ABN AMRO Capital Markets Canada Limited (January 22, 2002) Bulletin No. 2946 - New Member - Gold Leaf Securities Inc. (January 17, 2002) Bulletin No. 2945 - New Member - Fahnestock Canada Inc. (January 17, 2002) Bulletin No. 2944 - Resignation - Sheridan Securities Inc. (January 9, 2002) Bulletin No. 2943 - Resignation - Alpha Capital Inc. (January 9, 2002) Bulletin No. 2942 - Amalgamation - Equisure Securities Ltd., KPLV Securities Limited and IPC Securities Corporation (January 9, 2002) Bulletin No. 2941 - Change in Name - Westminster Securities Inc. (January 7, 2002) Bulletin No. 2940 - Change in Control/Change of Name - BayStreetDirect Inc. (January 7, 2002) Bulletin No. 2939 - Discipline - Discipline Penalties To Be Imposed on Christopher Robinson - Violation of Regulations 1300.1(a), 1300.1(c) and By-law 29.1 (January 17, 2002) 2001 Bulletin No. 2938 - Resignation - Groome Capital.com Inc. (December 17, 2001) Bulletin No. 2937 - Change in Control - Altara Securities Inc. (December 20, 2001) Bulletin No. 2936 - Amalgamation - ETRADE Institutional (Canada) Corporation and ETRADE Canada Securities Corporation (December 20, 2001) Bulletin No. 2935 - New Member - Patica Securities Inc. (December 13, 2001) Bulletin No. 2934 - By-Laws and Regulations - Late Filing Fees for Reports - By-laws 4.14, 7.6 and 18.18 (December 17, 2001) Bulletin No. 2934 - By-Laws and Regulations - Late Filing Fees for Reports - By-laws 4.14, 7.6 and 18.18 (December 17, 2001) Bulletin No. 2934 - Related Documents Bulletin No. 2933 - Discipline - Discipline Penalty Imposed on Michel L. Côté - Violation of By-law 29.1, Regulation 1300.1 (a) and (b) and Regulation 200.1(i)(3) (December 19, 2001) Bulletin No. 2932 - Discipline - Discipline Penalties Imposed on Northern Securities Inc. - Violation of By-law 17.1 (December 18, 2001) Bulletin No. 2931 - By-Laws and Regulations - Internal Control Policy 3, Statement 2 - Early Warning Monitoring and Reporting (December 17, 2001) Bulletin No. 2931 - By-Laws and Regulations - Internal Control Policy 3, Statement 2 - Early Warning Monitoring and Reporting (December 17, 2001) Bulletin No. 2931 - Related Documents Bulletin No. 2930 - By-Laws and Regulations - By-Law 22, Use of Name: Liabilities: Claims, and Regulation 700, Use of Name of the Association (December 17, 2001) Bulletin No. 2930 - By-Laws and Regulations - By-Law 22, Use of Name: Liabilities: Claims, and Regulation 700, Use of Name of the Association (December 17, 2001) Bulletin No. 2930 - Related Documents Bulletin No. 2929 - New Member - Peterson Findlay Capital Inc. (December 13, 2001) Bulletin No. 2928 - New Member - K.J. Harrison & Partners Inc. (December 13, 2001) Bulletin No. 2927 - New Member - AGF Securities (Canada) Limited (December 13, 2001) Bulletin No. 2926 - New Member - Kernaghan Securities Ltd. (December 13, 2001) Bulletin No. 2925 - By-Laws and Regulations - Amendments to By-law 10.1 and 10.15 - Board of Directors and Executive Committee (December 12, 2001) Bulletin No. 2925 - By-Laws and Regulations - Amendments to By-law 10.1 and 10.15 - Board of Directors and Executive Committee (December 12, 2001) Bulletin No. 2925 - Related Documents Bulletin No. 2924 - By-Laws and Regulations - The Canadian Venture Exchange ("CDNX") (December 7, 2001) Bulletin No. 2923 - Closing Markets - Closing Schedule for the Domestic Bond and Money Markets - Holiday Schedule for 2002 (December 4, 2001) Bulletin No. 2922 - Change in Control - Sanders and Beckingham Securities Limited (December 4, 2001) Bulletin No. 2921 - Discipline - Discipline Penalties Imposed on Groome Capital.Com Inc. - Violation of By-laws 17.1 and 17.2 (December 13, 2001) Bulletin No. 2920 - By-Laws and Regulations - By-Laws 10.7-10.12 - National Advisory Committee (NAC) (December 3, 2001) Bulletin No. 2920 - By-Laws and Regulations - By-Laws 10.7-10.12 - National Advisory Committee (NAC) (December 3, 2001) Bulletin No. 2920 - Related Documents Bulletin No. 2919 - Discipline - Discipline Penalties Imposed on Kwok Lai Orson Chan - Violation of By-Law 29.1 and Regulation 1300.1(a) (November 30, 2001) Bulletin No. 2918 - Change in Control - Equisure Securities Ltd. (November 28, 2001) Bulletin No. 2917 - Discipline - Discipline Penalty Imposed on Ellis Sven Gareth - Violation of By-Law 29.1 (December 4, 2001) Bulletin No. 2916 - Change in Control - Georgia Pacific Securities Corporation (November 28, 2001) Bulletin No. 2915 - Discipline - Conduct Unbecoming an Officer or Director, Howard Eisen - Violation of By-law 29.1 (November 28, 2001) Bulletin No. 2914 - Discipline - Discipline Penalties Imposed on Richard Nyren - Violation of By-law 29.1 (November 28, 2001) Bulletin No. 2913 - New Member - Worldsource Securities Inc. (November 22, 2001) Bulletin No. 2912 - New Member - Barclays Global Investors Services Canada Limited (November 26, 2001) Bulletin No. 2911 - By-Laws and Regulations - Amendments to By-laws 3.8 through 3.10 - Association Underwriting Levies (November 23, 2001) Bulletin No. 2911 - By-Laws and Regulations - Amendments to By-laws 3.8 through 3.10 - Association Underwriting Levies (November 23, 2001) Bulletin No. 2911 - Related Documents Bulletin No. 2910 - Discipline - Discipline Penalties Imposed on Gerald Grant Stone - Violation of By-law 29.1 and Regulation 1300.1(c) (November 23, 2001) Bulletin No. 2909 - Discipline - Discipline Penalties Imposed on Grant Linus Schnurr - Violation of By-law 29.1 and Regulations 1300.1(c) and 1300.4 (November 23, 2001) Bulletin No. 2908 - Discipline - Discipline Penalties Imposed on Douglas Bruce Robb - Violation of By-law 19.5 (January 15, 2002) Bulletin No. 2907 - Change in Control - McFarlane Gordon Inc. (November 19, 2001) Bulletin No. 2906 - Change in Control - Refco Futures (Canada) Ltd. (November 19, 2001) Bulletin No. 2905 - New Member - Canada Life Securities Inc. (November 15, 2001) Bulletin No. 2904 - By-Laws and Regulations - By-Law 29.7A Trade Names (November 13, 2001) Bulletin No. 2904 - By-Laws and Regulations - By-Law 29.7A Trade Names (November 13, 2001) Bulletin No. 2904 - Related Documents Bulletin No. 2903 - Discipline - Discipline Penalties Imposed on William Gerard Armstrong - Violation of Regulation 1300.1 (c) (November 9, 2001) Bulletin No. 2902 - Discipline - Discipline Penalties Imposed on Glen Percy Cooke - Violation of Regulations 1300.1(a) and 1300.1(c) (November 6, 2001) Bulletin No. 2901 - Suspension - Rampart Securities Inc. (October 31, 2001) Bulletin No. 2900 - Resignation - MST Trading Canada Co. (November 12, 2001) Bulletin No. 2899 - Change in Name - Credit Suisse First Boston Securities Canada Inc. (October 31, 2001) Bulletin No. 2898 - Discipline - Discipline Penalties Imposed on Peter Leighton Miles - Violation of Regulations 1300.1(a) and (b) (November 1, 2001) Bulletin No. 2897 - Notice of Exemption - Notice of Exemption Granted to Burgeonvest Securities Limited Pursuant to By-Law 17.18 (October 24, 2001) Bulletin No. 2896 - Inactive Status - ABN AMRO Capital Markets Canada Limited (October 18, 2001) Bulletin No. 2895 - Inactive Status - First Canada Securities Corporation (October 18, 2001) Bulletin No. 2894 - Amalgamation - Northern Securities Inc. and Canada Invest Direct Inc. (October 18, 2001) Bulletin No. 2893 - Amalgamation - Great Pacific Management Co. Ltd. and Courvie Securities Inc. (October 18, 2001) Bulletin No. 2892 - By-Laws and Regulations - Amendments to Regulation 1500 (October 16, 2001) Bulletin No. 2892 - By-Laws and Regulations - Amendments to Regulation 1500 (October 16, 2001) Bulletin No. 2892 - Related Documents Bulletin No. 2891 - By-Laws and Regulations - Amendments to By-law 19 - Examinations and Investigations (October 9, 2001) Bulletin No. 2891 - By-Laws and Regulations - Amendments to By-law 19 - Examinations and Investigations (October 9, 2001) Bulletin No. 2891 - Related Documents Bulletin No. 2890 - Change in Name - Leyland, McLachlan Advisory Group Incorporated (October 2, 2001) Bulletin No. 2889 - Discipline - Discipline Penalties Imposed on Christine Sklar - Violation of By-law 29.1 (October 2, 2001) Bulletin No. 2888 - Discipline - Discipline Penalties Imposed on Richard Thomas Marion - Violations of Regulation 1300.1(b) and 1300 .1(c) (October 1, 2001) Bulletin No. 2887 - Resignation - MacDougall Meyer Inc. (September 21, 2001) Bulletin No. 2886 - Discipline - Discipline Penalties Imposed on Rogers & Partners Securities Inc. - Violation of By-law 17.1 (September 20, 2001) Bulletin No. 2885 - By-Laws and Regulations - Amendments to Regulation 1300, 1800.5 and 1900.4 Policy 9 (September 6, 2001) Bulletin No. 2885 - By-Laws and Regulations - Amendments to Regulation 1300, 1800.5 and 1900.4 Policy 9 (September 6, 2001) Bulletin No. 2885 - Related Documents Bulletin No. 2884 - Change in Name - State Street Brokerage Services Canada Inc./Services De Courtage State Street Canada Inc. (September 5, 2001) Bulletin No. 2883 - By-Laws and Regulations - Amendments to By-law No. 35 Introducing Broker/Carrying Broker Arrangements (August 31, 2001) Bulletin No. 2883 - By-Laws and Regulations - Amendments to By-law No. 35 Introducing Broker/Carrying Broker Arrangements (August 31, 2001) Bulletin No. 2883 - Related Documents Bulletin No. 2882 - New Member - TradeFreedom Securities Inc./Valeurs Mobilières TradeFreedom inc. (September 13, 2001) Bulletin No. 2881 - Termination - Essex Capital Management Ltd. (August 17, 2001) Bulletin No. 2880 - Suspension - Rampart Securities Inc. (August 15, 2001) Bulletin No. 2879 - Change in Control - Canada Invest Direct Inc. (August 14, 2001) Bulletin No. 2878 - New Member - Le Groupe Jitney Inc./The Jitney Group Inc. (August 10, 2001) Bulletin No. 2877 - Resignation - Newcrest Capital Inc. (August 2, 2001) Bulletin No. 2876 - Change in Control - Deutsche Bank Securities Limited (August 1, 2001) Bulletin No. 2875 - Change in Control - Burgeonvest Securities Limited (July 31, 2001) Bulletin No. 2874 - Change in Control - Hampton Securities Limited (July 27, 2001) Bulletin No. 2873 - Discipline - Discipline Penalties imposed on Bruce William Stuart - Violation of By-law 29.1, Regulation 1300.2 and Policy 2 (August 15, 2001) Bulletin No. 2872 - Discipline - Discipline Penalties Imposed on John Anastasios Xinos - Violations of By-law 29.1 (July 31, 2001) Bulletin No. 2871 - New Member - The Rogers Group Investment Advisors Ltd. (July 30, 2001) Bulletin No. 2870 - Change in Control/Change of Name - M.R.S Securities Services Inc. (July 20, 2001) Bulletin No. 2869 - By-Laws and Regulations - Amendments to By-law 20.9A, 20.9B and 20.9C (July 19, 2001) Bulletin No. 2869 - By-Laws and Regulations - Amendments to By-law 20.9A, 20.9B and 20.9C (July 19, 2001) Bulletin No. 2869 - Related Documents Bulletin No. 2868 - By-Laws and Regulations - Amendments to By-law 7.1(1)(b)(iv) (July 19, 2001) Bulletin No. 2868 - By-Laws and Regulations - Amendments to By-law 7.1(1)(b)(iv) (July 19, 2001) Bulletin No. 2868 - Related Documents Bulletin No. 2867 - By-Laws and Regulations - Amendments to By-law 18.14(d)(ii) (July 19, 2001) Bulletin No. 2867 - By-Laws and Regulations - Amendments to By-law 18.14(d)(ii) (July 19, 2001) Bulletin No. 2867 - Related Documents Bulletin No. 2866 - By-Laws and Regulations - By-law 38 and Amendments to Policy 2 and By-law 1.1 (July 19, 2001) Bulletin No. 2866 - By-Laws and Regulations - By-law 38 and Amendments to Policy 2 and By-law 1.1 (July 19, 2001) Bulletin No. 2866 - Related Documents Bulletin No. 2865 - By-Laws and Regulations - Amendment to By-law 26.3 (July 20, 2001) Bulletin No. 2865 - By-Laws and Regulations - Amendment to By-law 26.3 (July 20, 2001) Bulletin No. 2865 - Related Documents Bulletin No. 2864 - Change in Name - Montréal Bonds Inc./Obligations Montréal Inc. (July 18, 2001) Bulletin No. 2863 - Change in Control/Change of Name - Penson Securities Inc. (July 13, 2001) Bulletin No. 2862 - Change in Name - Rogers & Partners Securities Inc. (July 12, 2001) Bulletin No. 2861 - Discipline - Discipline Penalties Imposed on Joseph James Walsh - Three Violations of Regulation 1300.1 (c) (July 11, 2001) Bulletin No. 2860 - Discipline - Discipline Penalties Imposed on Rogers & Partners Securities Inc. and J. David McKeown - Violation of By-law 30.3 (iv)(4), By-law 29.1 and By-law 17.1 (July 11, 2001) Bulletin No. 2859 - By-Laws and Regulations - Early Warning - Level 2 (July 6, 2001) Bulletin No. 2859 - By-Laws and Regulations - Early Warning - Level 2 (July 6, 2001) Bulletin No. 2859 - Related Documents Bulletin No. 2858 - Discipline - Penalties Imposed on Nelson Allen and Robin Moriarty - By-Law 29.1, By-Law 19.5 and Regulation 1300.1(c) (July 3, 2001) Bulletin No. 2857 - By-Laws and Regulations - Dual Trade Date / Settlement Date Margining (June 25, 2001) Bulletin No. 2857 - By-Laws and Regulations - Dual Trade Date / Settlement Date Margining (June 25, 2001) Bulletin No. 2857 - Related Documents Bulletin No. 2856 - Discipline - Discipline Penalties imposed on Anthony Alex Guidoccio - Violations of By-laws 29.1, 18.4 and 18.5 (June 25, 2001) Bulletin No. 2855 - Discipline - Discipline Penalties imposed on The Financial Centre Securities Corporation - Violations of By-laws 17.1, 17.2 and 17.2A (June 14, 2001) Bulletin No. 2854 - Discipline - Discipline Penalties imposed on Samuel Kenneth Jack Aquino - Violations of By-laws 17.2 and 17.2A (June 14, 2001) Bulletin No. 2853 - Discipline - Discipline penalties imposed on Éric Gaudreault - Violations of By-law 29.1, Regulation 1300.4 and By-law 19.5 (June 7, 2001) Bulletin No. 2852 - Change in Name - McLean & Partners Private Capital Corporation (May 31, 2001) Bulletin No. 2851 - Change in Name - Maple Partners Financial Products Limited (May 23, 2001) Bulletin No. 2850 - Change in Name - Maple Partners Futures Corp. (May 23, 2001) Bulletin No. 2849 - Suspension - Maxima Capital Inc. (May 17, 2001) Bulletin No. 2848 - Change in Name - Correspondent Network (May 18, 2001) Bulletin No. 2847 - Change in Name - NBC Clearing Services Incorporated (May 18, 2001) Bulletin No. 2846 - New Member - Byron Securities Limited (May 10, 2001) Bulletin No. 2845 - General - Universal Market Integrity Rules (May 7, 2001) Bulletin No. 2844 - Change in Control - DLJ Canada Inc. (May 7, 2001) Bulletin No. 2843 - General - Dealing with RRSP Accounts in the United States and other Cross-Border Retail Issues (April 20, 2001) Bulletin No. 2842 - Discipline - Failure to Supervise by Branch Manager, Richard Mills - Violation of Regulation 1300.2 and Policy 2 (April 17, 2001) Bulletin No. 2841 - New Member - Penson Securities Inc. (April 12, 2001) Bulletin No. 2840 - New Member - Quest Capital Group Ltd. (April 12, 2001) Bulletin No. 2839 - New Member - CG&B Investment Services Inc. (April 12, 2001) Bulletin No. 2838 - Change in Name - Norshield Securities Inc. (April 9, 2001) Bulletin No. 2837 - Suspension - Notice of Suspension - Newcrest Capital Inc. (April 5, 2001) Bulletin No. 2836 - Discipline - Discipline Penalties Imposed on Gayle MacKay - Violation of Regulation 1300.1 (c) (April 11, 2001) Bulletin No. 2835 - Discipline - Discipline Penalties Imposed on James Archibald Cumming - Violations of By-law 29.1 (April 5, 2001) Bulletin No. 2834 - General - Requirement - Additional Continuing Education Materials (April 5, 2001) Bulletin No. 2833 - Holiday Schedule - Holiday Schedule for 2001 for the Domestic Bond and Money Markets (April 5, 2001) Bulletin No. 2832 - General - IDA Annual Meeting and Conference (April 4, 2001) Bulletin No. 2831 - New Member - Lighthouse Private Client Corporation (March 20, 2001) Bulletin No. 2830 - Change in Control - Rogers and Partners Securities Inc. (March 13, 2001) Bulletin No. 2829 - Discipline - Discipline Penalties Imposed on Darrell Blaine Modin - Violation of Regulations 1300.1(c) and 1300.4 (March 16, 2001) Bulletin No. 2828 - New Member - Norshield Securities Inc. (March 5, 2001) Bulletin No. 2827 - By-Laws and Regulations - By-law Amendments 29.14 to 29.25: Disclosure Standards for Formal Valuations and Fairness Opinions in Transactions Governed by OSC Rule 61-501 Now in Force (March 5, 2001) Bulletin No. 2827 - By-Laws and Regulations - By-law Amendments 29.14 to 29.25: Disclosure Standards for Formal Valuations and Fairness Opinions in Transactions Governed by OSC Rule 61-501 Now in Force (March 5, 2001) Bulletin 2827 - By-Laws and Regulations - By-law Amendments 29.14 to 29.25: Disclosure Standards for Formal Valuations and Fairness Opinions in Transactions Governed by OSC Rule 61-501 Now in Force Bulletin No. 2827 - Related Documents Bulletin No. 2826 - Resignation - RBC Dominion Securities (Alberta) Ltd. (February 28, 2001) Bulletin No. 2825 - Amalgamation - VERSUS Brokerage Services Inc. and ETRADE Canada Securities Corporation (February 23, 2001) Bulletin No. 2824 - Amalgamation - ETRADE Institutional (Canada) Corporation and 3049794 Nova Scotia Company (February 23, 2001) Bulletin No. 2823 - Change in Control - Canada Invest Direct Inc. (February 21, 2001) Bulletin No. 2822 - New Member - J.C. Clark Ltd. (February 20, 2001) Bulletin No. 2821 - Discipline - Discipline Penalties Imposed on Rubina Khan Ahmed - Violations of By-law 29.1 and Regulations 1300.4 and 200.1(i)(3) (February 15, 2001) Bulletin No. 2820 - New Member - J.F. Mackie & Company (February 8, 2001) Bulletin No. 2819 - New Member - Banc of America Securities Canada Co. (February 6, 2001) Bulletin No. 2818 - Suspension - Notice of Suspension - Matrix Financial Corporation (February 2, 2001) Bulletin No. 2817 - By-Laws and Regulations - Amendments to By-law 35 Introducing Broker/Carrying Broker Arrangements (January 29, 2001) Bulletin No. 2817 - By-Laws and Regulations - Amendments to By-law 35 Introducing Broker/Carrying Broker Arrangements (January 29, 2001) Bulletin 2817 - By-Laws and Regulations - Amendments to By-law 35 Introducing Broker/Carrying Broker Arrangements - Attachment Bulletin No. 2817 - Related Documents Bulletin No. 2816 - Resignation - Valeurs Mobilières Dubeau Ltée (January 25, 2001) Bulletin No. 2815 - Change in Control - Equisure Securities Inc. (January 19, 2001) Bulletin No. 2814 - Change in Control - Goepel McDermid Inc. (January 19, 2001) Bulletin No. 2813 - Change in Control - Newcrest Capital Inc. (January 19, 2001) Bulletin No. 2812 - New Member - Lazard Canada Corporation (January 19, 2001) Bulletin No. 2811 - Change in Name - Goepel McDermid Inc. (January 24, 2001) Bulletin No. 2810 - Change in Name - John Bart Investments Inc. (January 16, 2001) Bulletin No. 2809 - Amalgamation - Dundee Securities Corporation and Peelbrooke Capital Inc. (January 8, 2001) Bulletin No. 2808 - Discipline - Discipline Penalties Imposed on Ronald Allan Hrynyk - Violation of Regulation 1300.1(c) (January 10, 2001) Bulletin No. 2807 - Change in Control - HSBC Securities (Canada) Inc. (January 8, 2001) 2000 Bulletin No. 2806 - New Member - Lightyear Capital Inc. (December 18, 2000) Bulletin No. 2805 - Change in Name - Main Street Trading (Canada) Co. (December 18, 2000) Bulletin No. 2804 - Capital Markets - IDA Primary Dealer Money Market Committee Establishes an eCommerce Sub-Committee (December 18, 2000) Bulletin No. 2803 - Discipline - Discipline Penalties Imposed on Rocco Meliambro - Violation of Policy 2 (December 14, 2000) Bulletin No. 2802 - Discipline - Discipline Penalties Imposed on Harold Hamilton - Violation of By-law 29.1 and Regulation 1300.1(c) (December 13, 2000) Bulletin No. 2801 - Discipline - Discipline Penalties Imposed on Barney Connolly - Regulation 1300.1(c) (December 19, 2000) Bulletin No. 2800 - Discipline - Discipline Penalties Imposed on Elizabeth Teichman - Regulation 1300.1(c) (December 13, 2000) Bulletin No. 2799 - Discipline - Discipline Penalties Imposed on Nancy Hong Lin - Regulation 1300.1(c) (December 13, 2000) Bulletin No. 2798 - Discipline - Discipline Penalties Imposed on Midland Walwyn Capital Inc. (now known as Merrill Lynch Canada Inc.) - Regulation 1300.2 and Policy 2 (December 7, 2000) Bulletin No. 2797 - Discipline - Discipline Penalties Imposed on Charles Edward Sobering - Regulation 1300.2 and Policy 2 (December 7, 2000) Bulletin No. 2796 - Discipline - Discipline Penalties Imposed on Sharon Gill - Various By-Laws and Regulations (December 4, 2000) Bulletin No. 2795 - Change in Control/Change of Name - HSBC InvestDirect (Canada) Inc. (December 4, 2000) Bulletin No. 2794 - Change in Name - BLC Securities Inc. (December 4, 2000) Bulletin No. 2793 - Change in Control/Change of Name - Rabin Puccetti & Partners Inc. (December 1, 2000) Bulletin No. 2792 - Discipline - Discipline Penalties Imposed on Rothenberg Capital Management Inc. - Violations of By-laws 17.2 and 17.2A, By-law 29.1 and Policy No. 3 (November 28, 2000) Bulletin No. 2791 - Discipline - Discipline Penalties Imposed on Wellington West Capital Inc., Walter N. Silicz, and Kevin Hooke - Violation of Policy #2 and By-law 29.1 (November 24, 2000) Bulletin No. 2790 - Discipline - Discipline Penalties Imposed on Byron Stanley Cronk - Violation of Regulation 1300.1(c) (November 23, 2000) Bulletin No. 2789 - Discipline - Discipline Penalties Imposed on Andris Gravitis - Violation of Regulation 1300.1 and By-law 29.1 (November 21, 2000) Bulletin No. 2788 - New Member - First International Securities Inc. (November 17, 2000) Bulletin No. 2787 - New Member - John Bart Investments Inc. (November 15, 2000) Bulletin No. 2786 - Resignation - Insta-Online Securities Inc. (formerly Pro-Genesis Securities Inc.) (November 13, 2000) Bulletin No. 2785 - Notice - Association Board of Directors, District Councils and Committees for 2000-2001 (November 14, 2000) Bulletin No. 2785 - Notice - Association Board of Directors, District Councils and Committees for 2000-2001 (November 14, 2000) Bulletin No. 2785 - Notice - Association Board of Directors, District Councils and Committees for 2000-2001 (November 14, 2000) - Attachment Bulletin No. 2784 - Discipline - Discipline Penalties Imposed on Myron Roberts - Violations of Regulation 1300.1(c) and By-law 29.7 (November 10, 2000) Bulletin No. 2783 - General - Improvements to the Daily Survey of Money Market Rates (November 3, 2000) Bulletin No. 2782 - Discipline - Discipline Penalties Imposed on John Francis Aiken Violation of Regulation 800.11 and By-law 29.1 (November 2, 2000) Bulletin No. 2781 - Discipline - Discipline Penalties Imposed on Jeffrey Neil Turcotte. - Violation of Regulation 1300.1(c) and By-law 29.1 (November 1, 2000) Bulletin No. 2780 - Discipline - Discipline Penalties Imposed on Thomas Ulkutekin - Violation of Regulations 1300.1(a), 1300.4 and By-law 29.1 (October 31, 2000) Bulletin No. 2779 - Change in Name - Fairvest Securities Corporation (October 26, 2000) Bulletin No. 2778 - Change in Control - Instinet Canada Limited (October 26, 2000) Bulletin No. 2777 - New Member - Canada Invest Direct Inc. (October 20, 2000) Bulletin No. 2776 - Notice - T+1 Conference (October 6, 2000) Bulletin No. 2776 - Notice - T+1 Conference (October 6, 2000) Bulletin No. 2776 - Notice - T+1 Conference (October 6, 2000) - Attachment Bulletin No. 2775 - Change in Name - Equion Securities Canada Limited (October 6, 2000) Bulletin No. 2774 - Discipline - Discipline Penalties Imposed on Robert William Stevenson Beaty - Violations of By-law 29.1 and Regulations 1300.1(a), 1300.1(c) and 200.1 (October 3, 2000) Bulletin No. 2773 - New Member - PEAK Securities Inc./Valeurs Mobilières PEAK Inc. (October 11, 2000) Bulletin No. 2772 - Notice of Intention to Resign - Insta-Online Securities Inc. (September 29, 2000) Bulletin No. 2771 - Amalgamation - Salomon Smith Barney Canada Inc. and Schroder Canada Limited (September 29, 2000) Bulletin No. 2770 - Change in Control/Change of Name - Whalen, Béliveau & Associates Inc. (September 29, 2000) Bulletin No. 2769 - Change in Control - VERSUS Brokerage Services Inc. and Fairvest Securities Corporation (October 3, 2000) Bulletin No. 2768 - Change in Control/Change of Name - ECE Electronic Clearing Inc. (September 28, 2000) Bulletin No. 2767 - Discipline - Discipline Penalties Imposed on Gary Stewart Brookes - Violation of By-law 29.1 and Regulations 1300.1(a) and 1300.2, and Policy 2. (September 22, 2000) Bulletin No. 2766 - Discipline - Discipline Penalties Imposed on James Donald Wooster - Violation of By-law 29.1 and Regulations 1300.1(a) and 1300.1 (c) (September 22, 2000) Bulletin No. 2765 - New Member - Leyland, McLachlan Advisory Group Incorporated (September 19, 2000) Bulletin No. 2764 - Discipline - Discipline Penalties Imposed on Ian Scott-Moncrieff - Violation of By-law 29.1 and Regulation 1300.4 (September 11, 2000) Bulletin No. 2763 - Notice - Notice of Exemption Granted Pursuant to By-law 17.18 (September 11, 2000) Bulletin No. 2762 - Motion to Stay Discipline Proceedings - Discipline Proceedings for Delay Dismissed - Joseph Michael Shaughnessy (September 13, 2000) Bulletin No. 2761 - Discipline - Discipline Penalties Imposed on Warren Babb - Violations of By-law 29.1 (August 24, 2000) Bulletin No. 2760 - Resignation - Connor Clark & Company Ltd. (August 17, 2000) Bulletin No. 2759 - New Member - Sheridan Securities Inc. (August 14, 2000) Bulletin No. 2758 - Discipline - Discipline Penalties Imposed on Stephen Parke - Violation of Regulation 1300.4 (August 11, 2000) Bulletin No. 2757 - Discipline - Discipline Penalties Imposed on Taurus Capital Markets Ltd. - Violation of By-law 29.1 (August 11, 2000) Bulletin No. 2756 - Resignation - Canadian Western Capital Limited (August 3, 2000) Bulletin No. 2755 - New Member - ITG Canada Corp. (August 3, 2000) Bulletin No. 2754 - Resignation - A.C. MacPherson & Co. Inc. (July 27, 2000) Bulletin No. 2753 - Notice - Notice of Exemption Granted to Sprott Securities Limited Pursuant to By-law 17.18 (August 2, 2000) Bulletin No. 2752 - Discipline - Discipline Penalties Imposed on M.R.S. Securities Services Inc. - Violation of By-law 17.2A (July 20, 2000) Bulletin No. 2751 - Discipline - Discipline Penalties Imposed on Frederick Monte Ponech - Violation of By-law 29.1 - Conduct Unbecoming (July 21, 2000) Bulletin No. 2750 - By-Laws and Regulations - Cash Account Rule (July 19, 2000) Bulletin No. 2750 - By-Laws and Regulations - Cash Account Rule (July 19, 2000) Bulletin No. 2750 - Related Documents Bulletin No. 2749 - Discipline - Discipline Penalties Imposed on Marc Guillemette - Violation of By-law 29.1 (July 17, 2000) Bulletin No. 2748 - Discipline - Discipline Penalties Imposed on HSBC James Capel Canada Inc. (now HSBC Securities (Canada) Inc.) - Violation of By-laws 17.1 and 17.2 (July 17, 2000) Bulletin No. 2747 - Discipline - Discipline Penalties Imposed on Peter Przygoda - Violations of Regulation 1300.1(a) and 1300.1(c) (July 17, 2000) Bulletin No. 2746 - New Member - Solium Capital Online Inc. (July 17, 2000) Bulletin No. 2745 - New Member - KingsGate Securities Limited (July 18, 2000) Bulletin No. 2744 - Discipline - Discipline Penalties Imposed on Quynh Lam Phan - Violations of Regulation 200.1, Regulation 1300.1 and By-law 29.1 (July 14, 2000) Bulletin No. 2743 - Change in Control/Change of Name - J. Pasztor and Associates Inc. (July 13, 2000) Bulletin No. 2742 - Discipline - Discipline Penalties Imposed on Randall Harrett - Violation of By-law 29.1 - Conduct Unbecoming (July 10, 2000) Bulletin No. 2741 - Discipline - Discipline Penalties Imposed on Mark Fridgant - Violation of By-law 29.1, Regulations 1300.1(b) and 1300.1(c) (July 12, 2000) Bulletin No. 2740 - Change in Control - Burgeonvest Securities Limited (July 10, 2000) Bulletin No. 2739 - Change in Name - LFG Futures Canada Inc. (July 10, 2000) Bulletin No. 2738 - Discipline - Discipline Penalties Imposed on Robert Kyle - Violation of By-law 29.1 (July 11, 2000) Bulletin No. 2737 - Discipline - Discipline Penalties Imposed on Derivative Services Inc. - Violation of By-law 29.1 - Termination of Membership (July 11, 2000) Bulletin No. 2736 - Notice - SEC Exemptions Permit Canadian Broker-Dealers that are Members of a Canadian SRO to deal in the Self-Directed Tax Advantaged Retirement Accounts of Canadians Resident in the United States (July 4, 2000) Bulletin No. 2735 - Amalgamation - National Bank Financial Inc. and National Bank Financial Corp. (June 21, 2000) Bulletin No. 2734 - Discipline - Discipline Penalties Imposed on Anthony Mah - Violation of Regulation 1300.1(c) (June 21, 2000) Bulletin No. 2733 - Notice - Proposed Changes to Thin Capitalization Rules (June 16, 2000) Bulletin No. 2732 - By-Laws and Regulations - Replacement of the term "option eligible securities" by the term "securities eligible for reduced margin" and establishment of "List of Securities Eligible for Reduced Margin" - Form 1 and Regulation 100 (May 30, 2000) Bulletin No. 2732 - By-Laws and Regulations - Replacement of the term "option eligible securities" by the term "securities eligible for reduced margin" and establishment of "List of Securities Eligible for Reduced Margin" - Form 1 and Regulation 100 (May 30, 2000) Bulletin No. 2732 - Related Documents Bulletin No. 2731 - Amalgamation - TD Waterhouse Investor Services (Canada) Inc. (May 29, 2000) Bulletin No. 2730 - Notice - IDA Member Firms Benefit From CPA Rule ( May 31, 2000) Bulletin No. 2729 - By-Laws and Regulations - Amendment Regarding Electronic Confirmations - Regulation 200.1(h) (May 23, 2000) Bulletin No. 2729 - By-Laws and Regulations - Amendment Regarding Electronic Confirmations - Regulation 200.1(h) (May 23, 2000) Bulletin No. 2729 - Related Documents Bulletin No. 2728 - New Member - Qtrade Investor Inc. (May 19, 2000) Bulletin No. 2727 - Discipline - Discipline Penalties Imposed on George Georgiou - Violation of Various Regulations (May 18, 2000) Bulletin No. 2726 - Discipline - Discipline Penalties Imposed on Gary Robert Voncina - Violation of By-law 29.1. (May 19, 2000) Bulletin No. 2725 - Notice - IDA Annual Meeting and Conference (May 11, 2000) Bulletin No. 2724 - Notice - Recommended Closing of the Domestic Bond and Money Markets - Victoria Day - Monday, May 22, 2000 (May 4, 2000) Bulletin No. 2723 - Discipline - Discipline Penalties Imposed on Gorinsen Capital Inc. and Kenneth Norquay - Violation of By-law 29.1 (May 4, 2000) Bulletin No. 2722 - Change in Control - Fairvest Securities Corporation (May 3, 2000) Bulletin No. 2721 - Change in Name - Bunting Warburg Dillon Read Inc. (May 2, 2000) Bulletin No. 2720 - Change in Name - Gorinsen Capital Inc. (May 2, 2000) Bulletin No. 2719 - Discipline - Suspension Of A.C. Macpherson & Co. Inc. (May 1, 2000) Bulletin No. 2718 - Discipline - Discipline Penalties Imposed on Lynn David Chouinard - Violation of Regulation 1300.1(c) (April 19, 2000) Bulletin No. 2717 - Policies - Part I of Policy No. 6 Proficiency Requirements (May 11, 2000) Bulletin No. 2717 - Policies - Part I of Policy No. 6 Proficiency Requirements (May 11, 2000) Bulletin No. 2717 - Policies - Part I of Policy No. 6 Proficiency Requirements (May 11, 2000) - Attachment Bulletin No. 2717 - Related Documents Bulletin No. 2716 - Resignation - Gordon Private Client Corporation (April 17, 2000) Bulletin No. 2715 - Change in Control - CT Securities Inc. (April 13, 2000) Bulletin No. 2714 - Discipline - Discipline Penalties Imposed on Briane Andersen - Violation of Regulation 1300.1(c), Regulation 1300.4, and By-law 19.5 (April 13, 2000) Bulletin No. 2713 - New Member - McFarlane Gordon Inc. (April 11, 2000) Bulletin No. 2712 - Discipline - Discipline Penalty Imposed on Midland Walwyn Capital Inc. (now Merrill Lynch Canada Inc.) - Violations of By-law 29.1, Regulations 1300.1(a) and (c) and 1300.2, and Policy 2 (April 13, 2000) Bulletin No. 2711 - Notice - Closing Schedule for the Domestic Bond and Money Markets - Good Friday - April 21, 2000 (April 6, 2000) Bulletin No. 2710 - Notice - Closing Schedule for the Domestic Bond and Money Markets - Holiday Schedule for the remainder of 2000 (April 6, 2000) Bulletin No. 2709 - Change in Name - Bank of Montreal Investor Services Limited (March 31, 2000) Bulletin No. 2708 - Discipline - Discipline Penalties Imposed on Merrill Lynch Canada Inc. - Violation of By-law 29.1, Regulations 1300.1(c) and 1300.2, and Policy 2 (March 30, 2000) Bulletin No. 2707 - Discipline - Discipline Penalties Imposed on James Paul Dunlop - Violation of By-law 29.1, Regulations 1300.1(c) and 1300.2, and Policy 2 (March 30, 2000) Bulletin No. 2706 - Discipline - Discipline Penalties Imposed on Dennis James Hill - Two Violations of By-laws 18.6 and 29.1 (March 30, 2000) Bulletin No. 2705 - Discipline - Discipline Penalty Imposed on Burns Fry Ltd. (now BMO Nesbitt Burns Inc.) - Violation of Regulation 1300.2 (March 24, 2000) Bulletin No. 2704 - By-Laws and Regulations - Amendment to District Council Divisions - By-law 9.1 (March 22, 2000) Bulletin No. 2704 - By-Laws and Regulations - Amendment to District Council Divisions - By-law 9.1 (March 22, 2000) Bulletin No. 2704 - Related Documents Bulletin No. 2703 - Notice - Principal / Agent Relationships (March 20, 2000) Bulletin No. 2703 - Notice - Principal / Agent Relationships (March 20, 2000) Bulletin No. 2703 - Related Documents Bulletin No. 2702 - Discipline - Discipline Penalties Imposed on Marc Henri Laurent Lafleur- Violation of By-law 29.1 (March 15, 2000) Bulletin No. 2701 - Notice - IDA Annual Meeting and Conference (March 8, 2000) Bulletin No. 2700 - Notice of Exemption - Notice of Exemption Granted Pursuant to By-law 17.18 (March 1, 2000) Bulletin No. 2699 - Change in Control - Canadian Western Capital Limited (February 29, 2000) Bulletin No. 2698 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (February 29, 2000) Bulletin No. 2698 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (February 29, 2000) Bulletin No. 2698 - Related Documents Bulletin No. 2697 - Change in Name - Nesbitt Burns Inc. and Nesbitt Burns Ltée/Ltd. (February 22, 2000) Bulletin No. 2696 - Change in Name - Abramson Partners Inc. (February 22, 2000) Bulletin No. 2695 - General - IDA Web site (February 22, 2000) Bulletin No. 2694 - By-Laws and Regulations - Correction of Bulletin 2673 - ADR Chambers Approved as ADR Organization in Atlantic Canada, Pursuant to By-law 37.1 (February 21, 2000) Bulletin No. 2693 - Discipline - Discipline Penalties Imposed on Douglas Allan - Violation of Regulation 1300.1(a) (February 17, 2000) Bulletin No. 2692 - New Member - Berkshire Securities Inc. (February 14, 2000) Bulletin No. 2691 - Discipline - Discipline Penalties Imposed on Carlin Thiessen - Violation of By-law 29.1 (February 10, 2000) Bulletin No. 2690 - By-Laws and Regulations - Amendment Regarding Client Communication of Alternative Dispute Resolution Programmes - By-law 37.2 (February 9, 2000) Bulletin No. 2690 - By-Laws and Regulations - Amendment Regarding Client Communication of Alternative Dispute Resolution Programmes - By-law 37.2 (February 9, 2000) Bulletin No. 2690 - By-Laws and Regulations - Amendment Regarding Client Communication of Alternative Dispute Resolution Programmes - By-law 37.2 (February 9, 2000) - Attachment Bulletin No. 2690 - Related Documents Bulletin No. 2689 - By-Laws and Regulations - Policy No. 7 - Code of Conduct for Dealing in Repo Markets (February 14, 2000) Bulletin No. 2689 - By-Laws and Regulations - Policy No. 7 - Code of Conduct for Dealing in Repo Markets (February 14, 2000) Bulletin No. 2689 - Related Documents Bulletin No. 2688 - Discipline - Discipline Penalties Imposed on Reginald Groome - Violations of Regulation 1300.1 (February 4, 2000) Bulletin No. 2687 - Discipline - Discipline Penalties Imposed on James Joseph McHugh - Violation of By-laws 29.1 (February 3, 2000) Bulletin No. 2686 - Discipline - Discipline Penalties Imposed on Warren MacKenzie - Violations of IDA By-law 29.1(i) and Regulation 1300.4 (January 28, 2000) Bulletin No. 2685 - Change in Name - Prime Canadian Futures Company (January 27, 2000) Bulletin No. 2684 - Discipline - Discipline Penalties Imposed on Stefan Varga - Violation of Regulation 1300.4 - (February 3, 2000) Bulletin No. 2683 - By-Laws and Regulations - Elimination of Standby Subordinated Debt for Regulatory Capital purposes and adoption of Provider of Capital Concentration Charge - Form 1 and Bylaws 1, 5.2 and 5.2A (January 24, 2000) Bulletin No. 2683 - By-Laws and Regulations - Elimination of Standby Subordinated Debt for Regulatory Capital purposes and adoption of Provider of Capital Concentration Charge - Form 1 and Bylaws 1, 5.2 and 5.2A (January 24, 2000) Bulletin No. 2683 - By-Laws and Regulations - Elimination of Standby Subordinated Debt for Regulatory Capital purposes and adoption of Provider of Capital Concentration Charge - Form 1 and Bylaws 1, 5.2 and 5.2A (January 24, 2000) - Attachment Bulletin No. 2683 - Related Documents Bulletin No. 2682 - Discipline - Discipline Penalties Imposed on Michael Brian McCrea -Violations of IDA By-law 29 (January 24, 2000) Bulletin No. 2681 - General - New Members (January 21, 2000) Bulletin No. 2680 - Member Regulation - U.S. State Broker-Dealer Exemptions and Special Registrations for Snowbirds and Holders of Canadian Self-Directed Tax Advantaged Plans (January 7, 2000) 1999 Bulletin No. 2679 - Reinstatement - Notice of Reinstatement - Jory Capital Inc. (December 23, 1999) Bulletin No. 2678 - Discipline - Discipline Penalties Imposed on Joseph James Walsh -Two Violations of Regulation 1300.4 and By-law 29.1 (December 23, 1999) Bulletin No. 2677 - By-Laws and Regulations - Discontinuance of requirement to submit annual "surprise" Joint Regulatory Financial Questionnaire and Report (Form 1) resulting from amendments to CIPF Minimum Standards - By-law 16.11 (December 23, 1999) Bulletin No. 2676 - Suspension - Notice of Suspension - Jory Capital Inc. (December 22, 1999) Bulletin No. 2675 - Member Regulation - Member Regulation Transfer to the IDA (December 16, 1999) Bulletin No. 2674 - Discipline - Discipline Penalties Imposed on Scott Alexander Clark -Violation of By-laws 17.2 and 29.1 and Regulations 200.1 (i)(3) and 1300.1(c) (December 14, 1999) Bulletin No. 2673 - By-Laws and Regulations - ADR Chambers Approved as ADR Organization for New Brunswick, Nova Scotia and Prince Edward Island, Pursuant to By-law 37.1 (December 13, 1999) Bulletin No. 2672 - Revised - Revisions to Bulletin 2662 - Association Board of Directors, District Councils and Committees for 1999-2000 (December 8, 1999) Bulletin No. 2672 - Revised - Revisions to Bulletin 2662 - Association Board of Directors, District Councils and Committees for 1999-2000 (December 8, 1999) Bulletin No. 2672 - Revised - Revisions to Bulletin 2662 - Association Board of Directors, District Councils and Committees for 1999-2000 (December 8, 1999) - Attachment Bulletin No. 2671 - Capital Markets - NASD Regulatory Relief from Order Audit Trail System ("OATS") Requirements for Canadian-based NASD Members (December 3, 1999) Bulletin No. 2670 - Discipline - Discipline Penalties Imposed on Michael E. Holoday - Violations of By-law 29.1 (December 3, 1999) Bulletin No. 2669 - New Member - Emerging Equities Inc. (December 3, 1999) Bulletin No. 2668 - New Member - BayStreetDirect Inc. (December 2, 1999) Bulletin No. 2667 - Change in Name - Edward D. Jones & Co. (December 9, 1999) Bulletin No. 2666 - New Member - Rabin Puccetti & Partners Inc. (November 25, 1999) Bulletin No. 2665 - New Member - Jennings Capital Inc. (November 24, 1999) Bulletin No. 2664 - By-Laws and Regulations - Policy No. 6 - Part II Course and Examination Exemptions (November 23, 1999) Bulletin No. 2664 - By-Laws and Regulations - Policy No. 6 - Part II Course and Examination Exemptions (November 23, 1999) B2664 Attach - POLICY NO. 6 PART II - COURSE AND EXAMINATION EXEMPTIONS Bulletin No. 2664 - Related Documents Bulletin No. 2663 - By-Laws and Regulations - Policy No. 6 - Part III the Continuing Education Program and Parameters and Guidelines for the Securities Industry Continuing Education Program (November 25, 1999) Bulletin No. 2663 - By-Laws and Regulations - Policy No. 6 - Part III the Continuing Education Program and Parameters and Guidelines for the Securities Industry Continuing Education Program (November 25, 1999) Bulletin No. 2663 - Related Documents Bulletin No. 2662 - Committees' Directory - Association Board of Directors, District Councils and Committees for 1999-2000 (November 18, 1999) Bulletin No. 2662 - Committees' Directory - Association Board of Directors, District Councils and Committees for 1999-2000 (November 18, 1999) Bulletin No. 2662 - Committees' Directory - Association Board of Directors, District Councils and Committees for 1999-2000 (November 18, 1999) - Attachment Bulletin No. 2661 - Discipline - Discipline Penalties Imposed on Darryl Yasinowski - Violation of Regulation 1300.1 (a) (November 16, 1999) Bulletin No. 2660 - Change in Name - Kearns Capital Limited (November 10, 1999) Bulletin No. 2659 - Discipline - Discipline Penalties Imposed on Richard Armstrong -Violation of Regulation 1300.1 (a), Regulation 1300.1 (c), and By-law 19.5 (November 10, 1999) Bulletin No. 2658 - Discipline - Discipline Penalties Imposed on Bert Perry Meszaros - Violation of Regulation 1300.1 (c) and By-law 19.5 (November 9, 1999) Bulletin No. 2657 - By-Laws and Regulations - Capital Provisions for Unresolved Mutual Fund Differences - Revisions to the Notes and Instructions to Statement B of Form 1 (November 5, 1999) Bulletin No. 2657 - By-Laws and Regulations - Capital Provisions for Unresolved Mutual Fund Differences - Revisions to the Notes and Instructions to Statement B of Form 1 (November 5, 1999) Bulletin No. 2657 - Related Documents Bulletin No. 2656 - By-Laws and Regulations - Amendment to the List of Unlisted Securities Acceptable for Margin Purposes - Regulation 100.2(f)(ii) (November 5, 1999) Bulletin No. 2656 - By-Laws and Regulations - Amendment to the List of Unlisted Securities Acceptable for Margin Purposes - Regulation 100.2(f)(ii) (November 5, 1999) Bulletin No. 2656 - Related Documents Bulletin No. 2655 - Change in Name - Goldman Sachs Canada (November 4, 1999) Bulletin No. 2654 - Discipline - Discipline Penalties Imposed on David J. Oulton - Violations of Regulation 1300.4 and By-law 29.1 (November 4, 1999) Bulletin No. 2653 - Change in Name - ScotiaMcLeod Inc. (November 1, 1999) Bulletin No. 2652 - New Member - State Street Brokerage Services Canada Inc. (October 29, 1999) Bulletin No. 2651 - Amalgamation - Deutsche Bank Securities Limited and BT Alex.Brown Canada Incorporated (October 29, 1999) Bulletin No. 2650 - Discipline - Discipline Penalties Imposed on Ronald John Sing - Violations of Regulation 1300.1(c) (November 1, 1999) Bulletin No. 2649 - Resignation - Gordon Private Client Corporation (October 28, 1999) Bulletin No. 2648 - Resignation - National Bank Securities Inc. (October 29, 1999) Bulletin No. 2647 - New Member - Peregrine Financial Group Canada, Inc. (October 26, 1999) Bulletin No. 2646 - Resignation - St. James Securities Inc. (October 25, 1999) Bulletin No. 2645 - Discipline - Discipline Penalties Imposed on Jerry Ivo Jaager - Violations of By-law 29.1 and Regulation 1300.1(c) (October 26, 1999) Bulletin No. 2644 - New Member - Harris Partners Limited (October 26, 1999) Bulletin No. 2643 - New Member - Jory Capital Inc. (October 15, 1999) Bulletin No. 2642 - New Member - National Bank Discount Brokerage Inc./ Courtage à escompte Banque Nationale inc. (October 15, 1999) Bulletin No. 2641 - General - Notice of Exemption Granted Pursuant to By-law 17.18 (October 15, 1999) Bulletin No. 2640 - Discipline - Discipline Penalties Imposed on Peter M. Trumper -Violations of By-law 29.1 (October 14, 1999) Bulletin No. 2639 - Resignation - Brink, Hudson & Lefever Ltd. (October 14, 1999) Bulletin No. 2638 - Resignation - C. M. Oliver & Company Limited (October 14, 1999) Bulletin No. 2637 - New Member - E-BOND LTD. (October 13, 1999) Bulletin No. 2636 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (October 13, 1999) Bulletin No. 2636 - By-Laws and Regulations - Settlement of Short-Term Debt Instruments (October 13, 1999) Bulletin No. 2636 - Related Documents Bulletin No. 2635 - General - Uniform Termination Notice - Late Filing Fee (October 13, 1999) Bulletin No. 2634 - Closing Markets - Closing the Domestic Bond and Money Markets - Year End Holiday Schedule (October 12, 1999) Bulletin No. 2633 - Closing Markets - Closing the Domestic Bond and Money Markets Remembrance Day - Thursday, November 11, 1999 (October 12, 1999) Bulletin No. 2632 - Notice - Securities Industry Committee on Analyst Standards Request for Submissions (September 29, 1999) Bulletin No. 2632 - Notice - Securities Industry Committee on Analyst Standards Request for Submissions (September 29, 1999) Bulletin No. 2632 - Notice - Securities Industry Committee on Analyst Standards Request for Submissions (September 29, 1999) - Attachment Bulletin No. 2631 - Discipline - Discipline Penalties Imposed on Duncan Roy Violation of Regulation 1300.1(c) (September 28, 1999) Bulletin No. 2630 - By-Laws and Regulations - Amendments to General Notes and Definitions of the Joint Regulatory Financial Questionnaire and Report (Form 1) (September 27, 1999) Bulletin No. 2630 - By-Laws and Regulations - Amendments to General Notes and Definitions of the Joint Regulatory Financial Questionnaire and Report (Form 1) (September 27, 1999) Bulletin No. 2630 - Related Documents Bulletin No. 2629 - By-Laws and Regulations - Amendment Regarding Discretionary Trust Fund -By-law 28.4 (September 28, 1999) Bulletin No. 2629 - By-Laws and Regulations - Amendment Regarding Discretionary Trust Fund -By-law 28.4 (September 28, 1999) Bulletin No. 2629 - Related Documents Bulletin No. 2628 - Change in Name - Octagon Capital Canada Corporation (September 23, 1999) Bulletin No. 2627 - New Member - Equisure Securities Ltd. (September 21, 1999) Bulletin No. 2626 - Discipline - Discipline Penalties Imposed Mark Freeman Jameson -Two Violations of Regulation 1300.4 and Three Violations of By-law 29.1 (September 22, 1999) Bulletin No. 2625 - Discipline - Discipline Penalties Imposed on David Robert Gauthier - Violation of By-law 29.1, Regulation 1300.4 and Regulation 1300.1 (c) (September 20, 1999) Bulletin No. 2624 - New Member - Daex Commodities Inc. (September 16, 1999) Bulletin No. 2623 - Resignation - National Bank Securities Inc./ Placements Banque Nationale Inc. (September 15, 1999) Bulletin No. 2622 - Change in Name - First Marathon Securities Limited, Lévesque Beaubien Geoffrion Inc. and Levesque Securities Inc. (September 15, 1999) Bulletin No. 2621 - By-Laws and Regulations - Continuing Education Implementation Date (September 3, 1999) Bulletin No. 2621 - By-Laws and Regulations - Continuing Education Implementation Date (September 3, 1999) Bulletin No. 2621 - Related Documents Bulletin No. 2620 - Capital Markets - NASD Regulatory Relief from Order Audit Trail System ("OATS") Requirements for Canadian-based NASD Members (September 3, 1999) Bulletin No. 2619 - By-Laws and Regulations - British Columbia International Commercial Arbitration Centre Approved as ADR Organization for Manitoba, Saskatchewan and Alberta Pursuant to By-law 37.1 (September 2, 1999) Bulletin No. 2618 - By-Laws and Regulations - Amendments to Regulation 2300 and 200.1, Account Transfers (September 1, 1999) Bulletin No. 2618 - By-Laws and Regulations - Amendments to Regulation 2300 and 200.1, Account Transfers (September 1, 1999) Bulletin No. 2618 - Related Documents Bulletin No. 2617 - Discipline - Discipline Penalties Imposed on Amiruddin Gillani - Violations of By-laws 29.1 and 29.7 (a) (August 30, 1999) Bulletin No. 2616 - Trade Association - Y2K Client Brochure Available for Members (August 24, 1999) Bulletin No. 2615 - Change in Control - First Marathon Inc. (August 19, 1999) Bulletin No. 2614 - New Member - ECE Electronic Clearing Inc. / ECE Compensation Électronique inc. (August 19, 1999) Bulletin No. 2613 - Closing Markets - Closing the Domestic Bond and Money Markets Labour Day Holiday - Monday, September 6, 1999 (August 18, 1999) Bulletin No. 2612 - Discipline - Discipline Penalties Imposed on Tumer Salih Bahcheli -Violation of By-law 29.1 and Regulation 1300.1 (a) (August 18, 1999) Bulletin No. 2611 - General - Reduction of Ontario Securities Commission Registration Fees (August 17, 1999) Bulletin No. 2610 - Change in Control - Great Pacific Management Co. Ltd. (August 16, 1999) Bulletin No. 2609 - Discipline - Disciplinary Penalty Imposed on Steven Andrew Trites - Violation of Supervisory Requirements under Policy 2 (August 11, 1999) Bulletin No. 2608 - Change in Name - Groome Capital Inc. (August 11, 1999) Bulletin No. 2607 - Resignation - Chambers Wright Securities Inc. (August 11, 1999) Bulletin No. 2606 - Discipline - Discipline Penalties Imposed on Marion Agnes Weppler - Violations of IDA By-law 29.1 (August 9, 1999) Bulletin No. 2605 - Discipline - Discipline Penalties Imposed on Edward R. Milewski - Violations of Regulations 1300.1(c), 1300.1(a) and 200.1(i)(3) (August 5, 1999) Bulletin No. 2604 - Trade Association - Reduction of Ontario Securities Commission Registration Fees (July 29, 1999) Bulletin No. 2603 - Resignation - Citibank Canada Securities Limited (July 29, 1999) Bulletin No. 2602 - By-Laws and Regulations - Delay In Implementation Of Continuing Education (July 26, 1999) Bulletin No. 2602 - By-Laws and Regulations - Delay In Implementation Of Continuing Education (July 26, 1999) Bulletin No. 2602 - Related Documents Bulletin No. 2601 - Trade Association - Regional Dealer Conferences (July 19, 1999) Bulletin No. 2600 - Discipline - Discipline Penalties Imposed on Douglas Phimister - Violation of IDA By-laws 29.1 and 29.7 (June 29, 1999) Bulletin No. 2599 - Discipline - Discipline Penalties Imposed on Ricky Chan -Violation of By-laws 29.1, 29.7 and Regulations 200.1 (i) and 1900.2(d) (June 29, 1999) Bulletin No. 2598 - New Member - TD Waterhouse Investor Services (Canada) Inc./ Services Investisseurs TD Waterhouse (Canada) Inc. (June 28, 1999) Bulletin No. 2597 - Resignation - Citibank Canada Securities Limited (June 23, 1999) Bulletin No. 2596 - New Member - McLean & Partners Private Capital Corporation (June 23, 1999) Bulletin No. 2595 - New Member - Altara Securities Inc. (June 17, 1999) Bulletin No. 2594 - Change in Name - HSBC James Capel Canada Inc. (June 17, 1999) Bulletin No. 2593 - Change in Name - HSBC InvestDirect Canada Inc. (June 15, 1999) Bulletin No. 2592 - Discipline - Discipline Penalties Imposed on Pierre Ferland -Violation of Regulation 1300.4 and By-law 29.1 (June 15, 1999) Bulletin No. 2591 - Change in Control - Northern Securities Inc. (June 14, 1999) Bulletin No. 2590 - Change in Control - Connor Clark Ltd. (June 10, 1999) Bulletin No. 2589 - Discipline - Discipline Penalties Imposed on Debra Patricia Lynn Barnes - Violation of By-law 29.1 (June 8, 1999) Bulletin No. 2588 - General - CIPF signs custodial agreement with the Bank of Canada to aid in non-certificated CSB transfers (June 2, 1999) Bulletin No. 2588 - General - CIPF signs custodial agreement with the Bank of Canada to aid in non-certificated CSB transfers (June 2, 1999) Bulletin No. 2588 - General - CIPF signs custodial agreement with the Bank of Canada to aid in non-certificated CSB transfers (June 2, 1999) - Attachment Bulletin No. 2587 - New Member - Money Managers Inc. (May 31, 1999) Bulletin No. 2586 - Discipline - Discipline Penalties Imposed on Claude Desjardins - Violation of By-laws 29.1 and 29.3 (May 26, 1999) Bulletin No. 2585 - By-Laws and Regulations - Calculation of Interest for Monthly Pay Instruments (May 26, 1999) Bulletin No. 2585 - By-Laws and Regulations - Calculation of Interest for Monthly Pay Instruments (May 26, 1999) Bulletin No. 2585 - Related Documents Bulletin No. 2584 - Appointment - IDA Senior Vice-President, Trade Association (May 26, 1999) Bulletin No. 2583 - General - U.S. Withholding Tax Rule Amendments (May 14, 1999) Bulletin No. 2582 - By-Laws and Regulations - Amendment to By-law 5.4 (May 7, 1999) Bulletin No. 2582 - By-Laws and Regulations - Amendment to By-law 5.4 (May 7, 1999) Bulletin No. 2582 - Related Documents Bulletin No. 2581 - By-Laws and Regulations - Policy No. 6 - Part III The Continuing Education Program Parameters and Guidelines for the Securities Industry Continuing Education Program (May 7, 1999) Bulletin No. 2581 - By-Laws and Regulations - Policy No. 6 - Part III The Continuing Education Program Parameters and Guidelines for the Securities Industry Continuing Education Program (May 7, 1999) Bulletin No. 2581 - Related Documents Bulletin No. 2580 - Change in Name - CIBC Wood Gundy Securities Inc./CIBC Wood Gundy Valeurs Mobilières Inc. (May 7, 1999) Bulletin No. 2579 - Suspension - Suspension Of Essex Capital Management Ltd (April 26, 1999) Bulletin No. 2578 - Change in Name - UCC United Capital Corporation (April 19, 1999) Bulletin No. 2577 - Discipline - Discipline Penalties Imposed on Robert J. Mazzuca -Violation of Regulation 1300.1 (a) (April 9, 1999) Bulletin No. 2576 - Discipline - Discipline Penalties Imposed on Nellie Kee - Three Violations of By-law 29.1 (April 8, 1999) Bulletin No. 2575 - Discipline - Discipline Penalties Imposed William Gerard Armstrong - Violation of Regulation 1300.4 and By-law 29.1 (April 8, 1999) Bulletin No. 2574 - By-Laws and Regulations - Penalty Increases in Disciplinary Proceedings (March 24, 1999) Bulletin No. 2573 - Suspension - Essex Capital Management Ltd (March 24, 1999) Bulletin No. 2572 - Capital Markets - Closing of Domestic Bond and Money Markets on Friday April 2, 1999 - Good Friday (March 24, 1999) Bulletin No. 2571 - New Member - Timber Hill Canada Company (March 16, 1999) Bulletin No. 2570 - Capital Markets - IDA Establishes Strip Bond Sub-Committee to Respond to Bank of Canada Proposal on Reconstitution of Strip Bonds (March 10, 1999) Bulletin No. 2569 - Member Regulation - New Requirements - Continuing Education (March 4, 1999) Bulletin No. 2569 - Member Regulation - New Requirements - Continuing Education (March 4, 1999) Bulletin No. 2569 - Member Regulation - New Requirements - Continuing Education (March 4, 1999) - Attachment Bulletin No. 2568 - Change in Control - Priority Brokerage Inc. and Porthmeor Securities Inc. (February 25, 1999) Bulletin No. 2567 - By-Laws and Regulations - Meetings of the Association - By-Law 14.3 (February 23, 1999) Bulletin No. 2567 - By-Laws and Regulations - Meetings of the Association - By-Law 14.3 (February 23, 1999) Bulletin No. 2567 - Related Documents Bulletin No. 2566 - By-Laws and Regulations - Capital and Margin Requirements for the Toronto 35 Index and TSE 100 Index product groups - Regulation 100 (February 19, 1999) Bulletin No. 2565 - Change in Name - Exco Shorcan Limited (February 11, 1999) Bulletin No. 2564 - Discipline - Discipline Penalties Imposed on Aubrey Earl McLaughlin - Six Violations of Regulation 1300.1 (c) (February 11, 1999) Bulletin No. 2563 - Amalgamation - Gordon Capital Corporation and HSBC James Capel Canada Inc. (February 5, 1999) Bulletin No. 2562 - Change in Control - Gordon Private Client Corporation (February 4, 1999) Bulletin No. 2561 - New Member - UCC United Capital Corporation (January 29, 1999) Bulletin No. 2560 - By-Laws and Regulations - Amendment Regarding Year 2000 - Early Warning (February 18, 1999) Bulletin No. 2560 - By-Laws and Regulations - Amendment Regarding Year 2000 - Early Warning (February 18, 1999) Bulletin No. 2560 - Related Documents Bulletin No. 2559 - By-Laws and Regulations - Amendment Regarding Year 2000 Narrative Report and Specified Procedures (February 18, 1999) Bulletin No. 2559 - By-Laws and Regulations - Amendment Regarding Year 2000 Narrative Report and Specified Procedures (February 18, 1999) Bulletin No. 2559 - By-Laws and Regulations - Amendment Regarding Year 2000 Narrative Report and Specified Procedures (February 18, 1999) - Attachment Bulletin No. 2558 - Discipline - Discipline Penalties Imposed on TD Securities Inc. -Violations of By-law 17.16 and By-law 29.1 (January 25, 1999) Bulletin No. 2557 - Discipline - Discipline Penalties Imposed on Robert H. Goodey - Violation of By-law 29.1 (January 22 , 1999) Bulletin No. 2556 - Discipline - Discipline Penalties Imposed on Vernon George Michael - Violation of Regulation 1300.1 (c) (January 22, 1999) Bulletin No. 2555 - Change in Control - Burgeonvest Securities Limited (January 19, 1999) Bulletin No. 2554 - Change in Name - Hongkong Bank Discount Trading Inc. (January 19, 1999) Bulletin No. 2553 - Change in Name - Bunting Warburg Inc. (January 18, 1999) Bulletin No. 2552 - By-Laws and Regulations - Revised Proficiency Requirements for Options Traders and Futures Traders (January 13, 1999) Bulletin No. 2551 - Amalgamation - Deacon Capital Corporation and Dundee Securities Corporation (January 12, 1999) Bulletin No. 2550 - Discipline - Discipline Penalties Imposed on Marleau Lemire Securities Inc. - Violation of Regulations 200.1(c), 1300.1 and Policy 2 (January 11, 1999) Bulletin No. 2549 - Discipline - Discipline Penalties Imposed on Michel Grenier – Violation of Regulations 100.8(g)(i), 200.1(g)(5) 200.1(i)(1), 200.1(i)(3), 800.1, 1300.1(a), (b) and (c), 1300.4, 1300.17; 1800.11, 1800.11(iv) and By-laws 17.3, 18.5, 20.10(a), 29.1 (January 11, 1999) Bulletin No. 2548 - Change in Name - CT Securities Inc. (January 8, 1999) Bulletin No. 2547 - Change in Name - Connor Capital Management Corp. (January 8, 1999) Bulletin No. 2546 - Resignation - Marleau, Lemire Securities Inc. (January 8, 1999) Bulletin No. 2545 - Resignation - The Nikko Securities Co. Canada, Ltd. (January 8, 1999) 1998 Bulletin No. 2544 - Discipline - Discipline Penalties Imposed on Robin Alan Ross - Violation of Regulations 1300.1 (a) and (b) (December 23, 1998) Bulletin No. 2543 - By-Laws and Regulations - Capital and Margin Requirements for the Toronto 35 Index and TSE 100 Index product groups -Regulation 100 (December 23, 1998) Bulletin No. 2543 - By-Laws and Regulations - Capital and Margin Requirements for the Toronto 35 Index and TSE 100 Index product groups -Regulation 100 (December 23, 1998) Bulletin No. 2543 - By-Laws and Regulations - Capital and Margin Requirements for the Toronto 35 Index and TSE 100 Index product groups -Regulation 100 (December 23, 1998) - Attachment Bulletin No. 2543 - Related Documents Bulletin No. 2542 - Discipline - Discipline Penalties Imposed on RBC Dominion Securities Inc. - Violation of IDA Regulations 1300.1 (a), (c), 1300.2, By-law 19.3(A)(iii)[now 20.10(b)(3)], and By-law 29.1 (December 22, 1998) Bulletin No. 2541 - By-Laws and Regulations - ADR Chambers Approved as ADR Organization for Ontario, Pursuant to By-law 37.1 (December 22, 1998) Bulletin No. 2541 - By-Laws and Regulations - ADR Chambers Approved as ADR Organization for Ontario, Pursuant to By-law 37.1 (December 22, 1998) Bulletin No. 2541 - Related Documents Bulletin No. 2540 - New Member - Fimat Derivatives Canada Inc. (December 17, 1998) Bulletin No. 2539 - Resignation - Brink, Hudson & Lefever Ltd. (December 16, 1998) Bulletin No. 2538 - Resignation - C. M. Oliver & Company Limited (December 4, 1998) Bulletin No. 2537 - Member Regulation - Compliance Requirements for IDA Member Firms Dealing in Foreign Jurisdictions (November 26, 1998) Bulletin No. 2536 - Capital Markets - U.S. Withholding Tax Rule Amendments (November 25, 1998) Bulletin No. 2535 - Resignation - The Nikko Securities Co. Canada, Ltd. (November 19, 1998) Bulletin No. 2534 - Discipline - Discipline Penalties Imposed on George Alexander Campbell - Violation of Regulations 1300.1(b), 1300.1(c) and 200.1(i)(3) (November 16, 1998) Bulletin No. 2533 - By-Laws and Regulations - Completion of Required Courses By Registered Representatives (November 16, 1998) Bulletin No. 2532 - By-Laws and Regulations - Amendments to General Notes and Definitions of the Joint Regulatory Financial Questionnaire and Report (Form 1) (November 16, 1998) Bulletin No. 2532 - By-Laws and Regulations - Amendments to General Notes and Definitions of the Joint Regulatory Financial Questionnaire and Report (Form 1) (November 16, 1998) Bulletin No. 2532 - Related Documents Bulletin No. 2531 - Capital Markets - Department of Finance Decision on the Tax Treatment of Securities Lending Transactions (November 13, 1998) Bulletin No. 2530 - Discipline - DisciplinePenalties Imposed on Michael Robert Orr -Violation of By-law 1300.1 (c) (November 10, 1998) Bulletin No. 2529 - Resignation - Brenark Securities Ltd. (November 6, 1998) Bulletin No. 2528 - General - Response to MacKay Task Force Recommendations Delivered - IDA presents its Vision for the Financial Services Industry to Parliamentary Committees (November 5, 1998) Bulletin No. 2527 - Resignation - Republic Securities Canada Inc. (November 3, 1998) Bulletin No. 2526 - Closing Markets - Remembrance Day - Closing of the Bond Markets (November 2, 1998) Bulletin No. 2525 - Capital Markets - Bank of Canada Change of Address Notification (October 29, 1998) Bulletin No. 2524 - Discipline - Discipline Penalties Imposed on Steven Peter Sombach-Violation of By-law 29.1 and Regulation 1300.4 (October 28, 1998) Bulletin No. 2523 - By-Laws and Regulations - Amendment Regarding Year 2000 - Management Certificate Form 1 - Joint Regulatory Filing Report and Questionnaire (October 15, 1998) Bulletin No. 2523 - By-Laws and Regulations - Amendment Regarding Year 2000 - Management Certificate Form 1 - Joint Regulatory Filing Report and Questionnaire (October 15, 1998) Bulletin No. 2523 - By-Laws and Regulations - Amendment Regarding Year 2000 - Management Certificate Form 1 - Joint Regulatory Filing Report and Questionnaire (October 15, 1998) - Attachment Bulletin No. 2523 - Related Documents Bulletin No. 2522 - Discipline - Discipline Penalties Imposed on Donald Geoffrey Anderson Behan and Scott Grafton Barnum - Violation of By-law 18.6 (October 14, 1998) Bulletin No. 2521 - Discipline - Discipline Penalties Imposed on Edward Carl Blasiak - Violation of Regulation 1300.17 (October 14, 1998) Bulletin No. 2520 - Change of Ownership - Citibank Canada Securities Ltd. and Salomon Smith Barney Canada Inc. (October 13, 1998) Bulletin No. 2519 - General - Investment Dealers Association Releases Policy No. 5: A Code of Conduct for Dealing in Domestic Debt Markets (October 13, 1998) Bulletin No. 2518 - By-Laws and Regulations - Notice of Exemption Granted Pursuant to By-law 17.18 (October 6, 1998) Bulletin No. 2517 - Discipline - Discipline Penalties Imposed on Jeffrey Lyle Brandes -Violations of By-laws 19.6 and 29.1, Regulations 1300.4 and 1900.2(b) (October 5, 1998) Bulletin No. 2516 - New Member - Benson-Quinn-GMS Inc. (September 30, 1998) Bulletin No. 2515 - New Member - Maple Partners Futures Corp. (September 30, 1998) Bulletin No. 2514 - By-Laws and Regulations - Ruling relating to Capital and Margin Requirements for Toronto 35 Index and TSE 100 Index futures contracts - Regulations 100.8(e)(iv) and 100.8(g) (September 22, 1998) Bulletin No. 2514 - By-Laws and Regulations - Ruling relating to Capital and Margin Requirements for Toronto 35 Index and TSE 100 Index futures contracts - Regulations 100.8(e)(iv) and 100.8(g) (September 22, 1998) Bulletin No. 2514 - Related Documents Bulletin No. 2513 - By-Laws and Regulations - Amendment Regarding Year 2000 - Management Representations Form 1 - Joint Regulatory Filing Report and Questionnaire (September 18, 1998) Bulletin No. 2513 - By-Laws and Regulations - Amendment Regarding Year 2000 - Management Representations Form 1 - Joint Regulatory Filing Report and Questionnaire (September 18, 1998) Bulletin No. 2513 - By-Laws and Regulations - Amendment Regarding Year 2000 - Management Representations Form 1 - Joint Regulatory Filing Report and Questionnaire (September 18, 1998) - Attachment Bulletin No. 2513 - Related Documents Bulletin No. 2512 - By-Laws and Regulations - Amendment Regarding Registration Process - Delegation of Responsbilities to Staff (September 17, 1998) Bulletin No. 2511 - By-Laws and Regulations - Amendment Regarding Powers of District Council - Bankruptcy of Registered Representatives (September 17, 1998) Bulletin No. 2510 - General - Association Board of Directors, District Councils and Committees For 1998/99 (September 14, 1998) Bulletin No. 2510 - General - Association Board of Directors, District Councils and Committees For 1998/99 (September 14, 1998) Bulletin No. 2510 - General - Association Board of Directors, District Councils and Committees For 1998/99 (September 14, 1998) - Attachment Bulletin No. 2509 - Capital Markets - Early Closing In Domestic Money Markets (September 9, 1998) Bulletin No. 2508 - Capital Markets - Joint Securities Industry Committee On Conflicts of Interest - Implementation of Recommendations (September 11, 1998) Bulletin No. 2507 - Member Regulation - Approval of Members' Corporate Changes (September 1, 1998) Bulletin No. 2506 - Discipline - Thomas John Lapointe (September 1, 1998) Bulletin No. 2505 - Discipline - Pieter Nel Lambertus Schikkerling (September 1, 1998) Bulletin No. 2504 - Amalgamation - Merrill Lynch Canada Inc. and Midland Walwyn Capital Inc. (August 27, 1998) Bulletin No. 2503 - New Member - Abramson Partners Inc. (October 2, 1998) Bulletin No. 2502 - Statistics - Securities Industry Performance (August 25,1998) Bulletin No. 2502 - Statistics - Securities Industry Performance (August 25,1998) Bulletin No. 2502 - Statistics - Securities Industry Performance (August 25,1998) - Attachment) Bulletin No. 2501 - New Member - PCTS Inc. (August 24, 1998) Bulletin No. 2500 - By-Laws and Regulations - Financial Statements for Membership Applicants (August 24, 1998) Bulletin No. 2500 - By-Laws and Regulations - Financial Statements for Membership Applicants (August 24, 1998) Bulletin No. 2500 - Related Documents Bulletin No. 2499 - Resignation - UBS Securities (Canada) Limited (August 17, 1998) Bulletin No. 2498 - Termination - Aureus Capital Corporation (August 11, 1998) Bulletin No. 2497 - Resignation - Brenark Securities Ltd. (August 11, 1998) Bulletin No. 2496 - Change in Control - Pacific International Securities Inc. (July 23, 1998) Bulletin No. 2495 - By-Laws and Regulations - Housekeeping Amendments To IDA By-Laws And Regulations (July 22, 1998) Bulletin No. 2495 - By-Laws and Regulations - Housekeeping Amendments To IDA By-Laws And Regulations (July 22, 1998) Bulletin No. 2495 - By-Laws and Regulations - Housekeeping Amendments To IDA By-Laws And Regulations (July 22, 1998) - Attachment Bulletin No. 2495- Related Documents Bulletin No. 2494 - By-Laws and Regulations - Amendment Regarding Debt Security Offsets - Regulation 100.4C (July 22, 1998) Bulletin No. 2494 - By-Laws and Regulations - Amendment Regarding Debt Security Offsets - Regulation 100.4C (July 22, 1998) Bulletin No. 2494 - Related Documents Bulletin No. 2493 - By-Laws and Regulations - Amendment To Definition Of Acceptable Counterparties - Form 1 (July 22, 1998) Bulletin No. 2493 - By-Laws and Regulations - Amendment To Definition Of Acceptable Counterparties - Form 1 (July 22, 1998) Bulletin No. 2493 - Related Documents Bulletin No. 2492 - By-Laws and Regulations - Customer Margin And Segregation Requirements For Qualifying Hedge Positions In Convertible Securities - Regulations 100.4j And 2000.4 (July 22, 1998) Bulletin No. 2492 - By-Laws and Regulations - Customer Margin And Segregation Requirements For Qualifying Hedge Positions In Convertible Securities - Regulations 100.4j And 2000.4 (July 22, 1998) Bulletin No. 2492 - Related Documents Bulletin No. 2491 - Resignation - United Services Advisors Securities Inc. (July 21, 1998) Bulletin No. 2490 - Discipline - Republic Securities Canada Inc. (July 20, 1998) Bulletin No. 2489 - Amalgamation - Moss Lawson & Co. Limited And Hsbc James Capel Canada Inc. (July 13, 1998) Bulletin No. 2488 - New Member - Middlefield Securities Limited (July 7, 1998) Bulletin No. 2487 - New Member - Burgeonvest Securities Ltd. (July 7, 1998) Bulletin No. 2486 - Change in Name - Cowen & Company (July 6, 1998) Bulletin No. 2485 - Change in Name - Eagle & Partners Inc. (July 2, 1998) Bulletin No. 2484 - Discipline - Daniel Vaugeois (June 30, 1998) Bulletin No. 2483 - Discipline - Jacques Felton (June 30, 1998) Bulletin No. 2482 - Discipline - Alpha Capital Inc. (June 30, 1998) Bulletin No. 2481 - Discipline - Claude Gingras (June 30, 1998) Bulletin No. 2480 - Statistics - Securities Industry Performance ( June 25th, 1998) Bulletin No. 2480 - Statistics - Securities Industry Performance ( June 25th, 1998) Bulletin No. 2480 - Statistics - Securities Industry Performance ( June 25th, 1998) - Attachment Bulletin No. 2479 - New Member - LFG Futures Canada Inc. (June 23, 1998) Bulletin No. 2478 - Change in Name - Merit Investment Corporation (June 23, 1998) Bulletin No. 2477 - Resignation - Marleau, Lemire Securities Inc. (June 16, 1998) Bulletin No. 2476 - Resignation - UBS Securities (Canada) Limited (June 16, 1998) Bulletin No. 2475 - Resignation - BZW Canada Limited (June 16, 1998) Bulletin No. 2474 - Resignation - Republic Securities Canada Inc. (June 12, 1998) Bulletin No. 2473 - Suspension - Republic Securities Canada Inc. (May 29, 1998) Bulletin No. 2472 - Change in Name - Deutsche Morgan Grenfell Canada Limited (May 15, 1998) Bulletin No. 2471 - Change in Name - Groome Capital Advisory Ltd. (May 1, 1998) Bulletin No. 2470 - Resignation - Yamaichi International (Canada) Limited (April 30, 1998) Bulletin No. 2469 - Resignation - Derivative Services Inc. (April 29, 1998) Bulletin No. 2468 - Resignation - BZW Canada Limited (April 29, 1998) Bulletin No. 2467 - Discipline - Credifinance Securities Limited (April 29, 1998) Bulletin No. 2466 - Discipline - Refco Futures (Canada) Ltd. (April 29, 1998) Bulletin No. 2465 - Discipline - Mr. James Gregory Wilson (April 29, 1998 ) Bulletin No. 2464 - Capital Markets - Revised Strip Bond Information Statement (April 27, 1998) Bulletin No. 2463 - Capital Markets - Revised Strip Bond Information Statement Pursuant to QSC Decision 94-C-018, dated April 8, 1994 (April 27, 1998) Bulletin No. 2463 - Capital Markets - Revised Strip Bond Information Statement Pursuant to QSC Decision 94-C-018, dated April 8, 1994 (April 27, 1998) Bulletin No. 2463 - Capital Markets - Revised Strip Bond Information Statement Pursuant to QSC Decision 94-C-018, dated April 8, 1994 (April 27, 1998) - Attachment Bulletin No. 2462 - Discipline - Tam Chi Lam (April 21, 1998) Bulletin No. 2461 - Discipline - Keith Gordon Carter (April 21, 1998) Bulletin No. 2460 - By-Laws and Regulations - Cross-Guarantee Requirements (April 9, 1998) Bulletin No. 2460 - By-Laws and Regulations - Cross-Guarantee Requirements (April 9, 1998) Bulletin No. 2460 - Related Documents Bulletin No. 2459 - Amalgamation - Goepel Shields & Partners Inc. And Mcdermid St. Lawrence Securities Ltd. (April 9, 1998) Bulletin No. 2458 - Capital Markets - Revised Strip Bond Information Statement Pursuant To OSC Rule 91-501 (April 6, 1998) Bulletin No. 2458 - Capital Markets - Revised Strip Bond Information Statement Pursuant To OSC Rule 91-501 (April 6, 1998) Bulletin No. 2458 - Capital Markets - Revised Strip Bond Information Statement Pursuant To OSC Rule 91-501 (April 6, 1998) - Attachment Bulletin No. 2457 - Change in Control/Change of Name - Mutual Securities Inc. (April 2, 1998) Bulletin No. 2456 - Discipline - Steven Peter Sombach (April 1, 1998) Bulletin No. 2455 - Capital Markets - Amendments To SEC Regulation S (March 30, 1998) Bulletin No. 2454 - New Member - Norstar Securities International Inc. (March 26, 1998) Bulletin No. 2453 - Discipline - George Pruden (March 19, 1998) Bulletin No. 2452 - Statistics - Securities Industry Performance Business and Profitability Trends - Dec 97 (March 12, 1998) Bulletin No. 2452 - Statistics - Securities Industry Performance Business and Profitability Trends - Dec 97 (March 12, 1998) Bulletin No. 2452 - Statistics - Securities Industry Performance Business and Profitability Trends - Dec 97 (March 12, 1998) - Attachment Bulletin No. 2451 - New Member - Courvie Securities Inc. (March 13, 1998) Bulletin No. 2450 - Discipline - Douglas Wade Morrison (March 10, 1998) Bulletin No. 2449 - New Member - Pictet (Canada) and Company Limited (March 6, 1998) Bulletin No. 2448 - Capital Markets - U.S. Withholding Tax Rules (March 4, 1998) Bulletin No. 2447 - Change in Control - Octagon Capital Canada Corporation (February 24, 1998) Bulletin No. 2446 - By-Laws and Regulations - Amendment to Regulatory Filing Deadline for MFR (February 13, 1998) Bulletin No. 2446 - By-Laws and Regulations - Amendment to Regulatory Filing Deadline for MFR (February 13, 1998) Bulletin No. 2446 - Related Documents Bulletin No. 2445 - Suspension - Derivative Services Inc. (February 9, 1998) Bulletin No. 2444 - Change in Name - ABN AMRO Hoare Govett Canada Limited (February 5, 1998) Bulletin No. 2443 - Change in Name - Majendie Charlton Securities Ltd. (February 5, 1998) Bulletin No. 2442 - Discipline - Nesbitt Burns Inc. (January 22, 1998) Bulletin No. 2441 - Discipline - James Richard Simpson (January 22, 1998) Bulletin No. 2440 - Amalgamation - Salomon Brothers Canada Inc. And Smith Barney Canada Inc. (January 21, 1998) Bulletin No. 2439 - New Member - CIBC Financial Planning Inc. (January 21, 1998) Bulletin No. 2438 - By-Laws and Regulations - Notice Of Exemption Granted By The Board Of Directors Pursuant to By-Law 17.18 (January 13, 1998) Bulletin No. 2437 - Change in Name - Connor, Clark & Company Ltd. (January 13, 1998) Bulletin No. 2436 - Reinstatement - Derivative Services Inc. (January 8, 1998) 1997 Bulletin No. 2435 - Discipline - Max-Hugh Settelen (December 11, 1997) Bulletin No. 2434 - Amalgamation - Cassels Blaikie & Co. And Scotiamcleod Inc. (January 6, 1998) Bulletin No. 2433 - New Member - UBS Securities (Canada) Limited (January 5, 1998) Bulletin No. 2432 - By-Laws and Regulations - Amendments to Form 1 - Joint Regulatory Financial Questionnaire and Report, effective January 1, 1998 (December 29, 1997) Bulletin No. 2432 - By-Laws and Regulations - Amendments to Form 1 - Joint Regulatory Financial Questionnaire and Report, effective January 1, 1998 (December 29, 1997) Bulletin No. 2432 - By-Laws and Regulations - Amendments to Form 1 - Joint Regulatory Financial Questionnaire and Report, effective January 1, 1998 (December 29, 1997) - Attachment Bulletin No. 2446 - Related Documents Bulletin No. 2431 - Discipline - James Archibald Cumming (December 24, 1997) Bulletin No. 2430 - Statistics - Canadian Securities Industry Statistics (December 17, 1997) Bulletin No. 2429 - Capital Markets - Joint Securities Industry Committee On Conflicts Of Interest Compliance With Committee Recommendations (December 15, 1997) Bulletin No. 2428 - New Member - Gestion Fonds Des Professionnels Inc. (December 15, 1997) Bulletin No. 2427 - Closing Markets - Manitoba Government Reduced Work Week Program (December 15, 1997) Bulletin No. 2426 - By-Laws and Regulations - Regulation 100.4K (December 13, 1997) Bulletin No. 2426 - By-Laws and Regulations - Regulation 100.4K (December 13, 1997) Bulletin No. 2426 - INVESTMENT DEALERS ASSOCIATION OF CANADA Margin Offset for Futures Bulletin No. 2426 - Related Documents Bulletin No. 2425 - Discipline - CIBC Wood Gundy Securities Inc. (December 10, 1997) Bulletin No. 2424 - Amalgamation - CT Securities Services Inc. And CT Securities International Inc. (December 9, 1997) Bulletin No. 2423 - New Member - Woodstone Capital Inc. (December 8, 1997) Bulletin No. 2422 - Resignation - Yamaichi International (Canada) Ltd. (December 2, 1997) Bulletin No. 2421 - Statistics - Securities Industry Performance (November 26, 1997) Bulletin No. 2421 - Statistics - Securities Industry Performance (November 26, 1997) Bulletin No. 2421 - Statistics - Securities Industry Performance (November 26, 1997) - Attachment Bulletin No. 2420 - Notice - Delivery Of Documents During A Postal Strike (November 17, 1997) Bulletin No. 2419 - Change in Control/Change of Name - Pensec Inc. (November 14, 1997) Bulletin No. 2418 - Discipline - Richard Lawrence Goldthorpe (November 12, 1997) Bulletin No. 2417 - New Member - Maple Partners Financial Products Limited (November 14, 1997 ) Bulletin No. 2416 - Discipline - Margaret Ringel (November 7, 1997) Bulletin No. 2415 - Suspension - Derivative Services Inc. (October 31, 1997) Bulletin No. 2414 - Discipline - Philip Hilton (October 29, 1997) Bulletin No. 2413 - Change in Control - IPO Capital Corp (October 24, 1997) Bulletin No. 2412 - Member Regulation - Joint Industry Compliance Group Seminar (October 22, 1997) Bulletin No. 2411 - Discipline - John Henry Lorencz (October 20, 1997) Bulletin No. 2410 - New Member - Connor Capital Management Corp. (October 16, 1997) Bulletin No. 2409 - Change in Name - M. Cousineau & Associés Inc. (October 14, 1997) Bulletin No. 2408 - By-Laws and Regulations - Provision Of Information To Canadian Exchanges (September 30, 1997) Bulletin No. 2408 - By-Laws and Regulations - Provision Of Information To Canadian Exchanges (September 30, 1997) Bulletin No. 2408 - Related Documents Bulletin No. 2407 - Statistics - Business and Profit Trends (September 19, 1997) Bulletin No. 2407 - Statistics - Business and Profit Trends (September 19, 1997) Bulletin No. 2407 - Statistics - Business and Profit Trends (September 19, 1997) - Attachment Bulletin No. 2406 - By-Laws and Regulations - Trade Confirmations For Managed Accounts (September 30, 1997) Bulletin No. 2406 - By-Laws and Regulations - Trade Confirmations For Managed Accounts (September 30, 1997) Bulletin No. 2406 - Related Documents Bulletin No. 2405 - New Member - M.R.S. Securities Services Inc. (October 22, 1997) Member Regulation Notices 2008 MR0539 - List of Securities Eligible for Reduced Margin (Q1 2008) (May 27, 2008) MR0539 - List of Securities Eligible for Reduced Margin (Q1 2008) (May 27, 2008) MR0539 - List of Securities Eligible for Reduced Margin (Q1 2008) - Attachment MR0538 - Investment Industry Regulatory Organization of Canada - Membership Decals (May 21, 2008) MR0537 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (05-12-08) (May 12, 2008) MR0537 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (05-12-08) (May 12, 2008) MR0537 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (05-12-08) - Attachment MR0536 - Continuing Education - IDA Continuing Education Requirements (May 1, 2008) MR0535 - Custodial Agreements (04-30-08) (May 1, 2008) MR0534 - FX Margin Surcharge (04-25-08) (April 28, 2008) MR0534 - FX Margin Surcharge (04-25-08) (April 28, 2008) MR0534 - FX Margin Surcharge (04-25-08) - Attachment MR0533 - District Council Annual Meetings (April 22, 2008) MR0532 - FINTRAC Webcast - April 28, 2008 (April 22, 2008) MR0531 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (04-11-08) (April 11, 2008) (April 11, 2008) MR0531 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (04-11-08) (April 11, 2008) (April 11, 2008) MR0531 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (04-11-08) - Attachment MR0530 - Acceptable Structures for Long Condor Spread and Short Iron Condor Spread (April 1, 2008) MR0529 - Amendments to Statement B and C of Form 1 - Custodial Agreements (April 1, 2008) MR0529 - Amendments to Statement B and C of Form 1 - Custodial Agreements (April 1, 2008) MR0529 - Chart 1: Custodial Agreement Decision Tree - Attachment MR0528 - Custodial Agreements (03-31-08) (April 1, 2008) MR0527 - Transition to Investment Industry Regulatory Organization of Canada Inc. (April 1, 2008) MR0526 - FX Margin Surcharge (03-26-08) (March 26, 2008) MR0526 - FX Margin Surcharge (03-26-08) (March 26, 2008) MR0526 - FX Margin Surcharge (03-26-08) - Attachment MR0525 - Acceptable Alternative Procedures for U.S. Broker Reconciliations (Statement B, Form 1) (March 7, 2008) MR0524 - FX Currency Group Upgrades (March 7, 2008) MR0523 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (03-07-08) (March 7, 2008) MR0523 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (03-07-08) (March 7, 2008) MR0523 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (03-07-08) - Attachment MR0522 - Financial Action Task Force Statement (March 4, 2008) MR0521 - Custodial Agreements (02-29-08) (March 3, 2008) MR0520 - FX Margin Surcharge (02-12-08) (February 12, 2008) MR0520 - FX Margin Surcharge (02-12-08) (February 12, 2008) MR0520 - FX Margin Surcharge (02-12-08) - Attachment MR0519 - List of Securities Eligible for Reduced Margin (Q4 2007) (February 8, 2008) MR0519 - List of Securities Eligible for Reduced Margin (Q4 2007) (February 8, 2008) MR0519 - List of Securities Eligible for Reduced Margin (Q4 2007) - Attachment MR0518 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (02-08-08) (February 8, 2008) MR0518 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (02-08-08) (February 8, 2008) MR0518 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (02-08-08) - Attachment MR0517 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (February 8, 2008) MR0517 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (February 8, 2008) MR0517 - List of Acceptable Trade Matching Utilities - Attachment MR0516 - Custodial Agreements (01-31-08) (January 31, 2008) MR0515 - FINTRAC Information Sessions on Changes to Anti-Money Laundering Laws and Regulations (January 22, 2008) MR0514 - FX Margin Surcharge (01-17-08) (January 17, 2008) MR0514 - FX Margin Surcharge (01-17-08) (January 17, 2008) MR0514 - FX Margin Surcharge (01-17-08) (January 17, 2008) - Attachment MR0513 - FX Margin Surcharge (01-07-08) (January 7, 2008) MR0512 - Floating and Tracking Error Margin Rates for Offsets involving U.S. Index Products (01-07-08) (January 7, 2008) MR0512 - Floating and Tracking Error Margin Rates for Offsets involving U.S. Index Products (01-07-08) (January 7, 2008) MR0512 - Floating and Tracking Error Margin Rates for Offsets involving U.S. Index Products (01-07-08) (January 7, 2008) - Attachment MR0511 - Special Economic Measures (Burma) Regulations (January 2, 2008) MR0510 - Custodial Agreements (12-31-07) (January 2, 2008) 2007 MR0509 - Regulatory Filing Deadlines (December 17, 2007) MR0508 - List of Securities Eligible for Reduced Margin (Q3 2007) (December 10, 2007) MR0508 - List of Securities Eligible for Reduced Margin (Q3 2007) (December 10, 2007) MR0508 - List of Securities Eligible for Reduced Margin - Attachment MR0507 - Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products - Violation Adjustment (12-10-07) (December 10, 2007) MR0507 - Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products - Violation Adjustment (12-10-07) (December 10, 2007) MR0507 - Floating Margin Rates - Attachment MR0506 - Custodial Agreements (11-30-07) (December 3, 2007) MR0506 - Custodial Agreements (11-30-07) (December 3, 2007) MR0506 - Custodial Agreements (11-30-07) (December 3, 2007) - Attachment MR0505 - FX Margin Surcharge (11-22-07) (November 22, 2007) MR0505 - FX Margin Surcharge (11-22-07) (November 22, 2007) MR0505 - Margin Violation Summary Report - Attachment MR0504 - FX Margin Surcharge (11-14-07) (November 15, 2007) MR0504 - FX Margin Surcharge (11-14-07) (November 15, 2007) MR0504 - Margin Violation Summary Report - Attachment MR0503 - FX Margin Surcharge (11-13-07) (November 13, 2007) MR0503 - FX Margin Surcharge (11-13-07) (November 13, 2007) MR0503 - Security Volatility - Attachment MR0502 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (11-09-07) (November 9, 2007) MR0502 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (11-09-07) (November 9, 2007) MR0502 - FLOATING MARGIN RATES - Attachment MR0501 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (November 8, 2007) MR0501 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (November 8, 2007) MR0501 - List of Acceptable Trade Matching Utilities - Attachment MR0500 - Custodial Agreements (10-31-07) (November 1, 2007) MR0500 - Custodial Agreements (10-31-07) (November 1, 2007) MR0500 - Custodial Agreements (10-31-07) (November 1, 2007) - Attachment MR0499 - Supervision Reports and Late Filing Fees - Electronic Filings (October 22, 2007) MR0498 - Changes to Anti-Money Laundering Requirements (October 10, 2007) MR0498 - Changes to Anti-Money Laundering Requirements (October 10, 2007) MR0498 - Appendix A - Attachment MR0498 - Appendix B - Attachment MR0498 - Appendix C1 - Attachment MR0498 - Appendix C2 - Attachment MR0498 - Appendix D - Attachment MR0498 - Appendix A - Attachment MR0497 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (October 5, 2007) MR0497 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (October 5, 2007) MR0497 - FLOATING MARGIN RATES - Attachment MR0496 - Custodial Agreements (09-30-07) (October 2, 2007) MR0496 - Custodial Agreements (09-30-07) (October 2, 2007) MR0496 - Custodial Agreements (09-30-07) (October 2, 2007) - Attachment MR0495 - Joint Notice of the IDA and CDS Clearing and Depository Services Inc. (CDS) on Institutional Trade Matching and Settlement, and Broker to Broker Trade Matching (September 27, 2007) MR0495 - Joint Notice of the IDA and CDS Clearing and Depository Services Inc. (CDS) on Institutional Trade Matching and Settlement, and Broker to Broker Trade Matching (September 27, 2007) MR0495 - Table 1: Trade types in CDSX1 (Attach) MR0494 - FX Margin Surcharge (09-25-07) (September 25, 2007) MR0494 - FX Margin Surcharge (09-25-07) (September 25, 2007) MR0494 - Security Volatility - Attachment MR0493 - 2007 Acceptable Institutions and Acceptable Counterparties Listing (September 18, 2007) MR0493 - 2007 Acceptable Institutions and Acceptable Counterparties Listing (September 18, 2007) MR0493 - 2007 Acceptable Institutions and Acceptable Counterparties Listing (September 18, 2007) - Attachment MR0492 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (September 14, 2007) MR0492 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (September 14, 2007) MR0492 - FLOATING MARGIN RATES - Attachment MR0491 - Equity Margin Project - Phase 1 of rule amendment implementation (September 12, 2007) MR0491 - Equity Margin Project - Phase 1 of rule amendment implementation (September 12, 2007) MR0491 - List of foreign securities eligible for margin pursuant to IDA Reg - Attachment MR0490 - Custodial Agreements (08-31-07) (August 30, 2007) MR0490 - Custodial Agreements (08-31-07) (August 30, 2007) MR0490 - Custodial Agreements (08-31-07) - Attachment MR0489 - FX Margin Surcharge (08-28-07) (August 29, 2007) MR0489 - FX Margin Surcharge (08-28-07) (August 29, 2007) MR0489 - Security Volatility Program - Attachment MR0488 - List of Securities Eligible for Reduced Margin (Q2 2007) (August 29, 2007) MR0488 - List of Securities Eligible for Reduced Margin (Q2 2007) (August 29, 2007) MR0488 - List of Securities Eligible for Reduced Margin - Attachment MR0487 - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (09-08-07) (August 9, 2007) MR0487 - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (09-08-07) (August 9, 2007) MR0487 - List Of Exchanges and Associations that qualify as "Recognized Exchanges and Associations" under the definition of "Regulated Entities" set out in the general notes and definitions to Form 1 - Attachment MR0486 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (08-08-07) (August 8, 2007) MR0486 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (08-08-07) (August 8, 2007) MR0486 - FLOATING MARGIN RATES - Attachment MR0485 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (August 8, 2007) MR0485 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (August 8, 2007) MR0485 - List of Acceptable Trade Matching Utilities - Attachment MR0484 - Custodial Agreements (07/31/07) (August 1, 2007) MR0484 - Custodial Agreements (07/31/07) (August 1, 2007) MR0484 - Custodial Agreements (07/31/07) (August 1, 2007) - Attachment MR0483 - CIPF - Differential Assessments (August 1, 2007) MR0482 - Improving Website Functionality for Members (July 18, 2007) MR0481 - Off-Book Transactions (July 16, 2007) MR0480 - Custodial Agreements (06-30-07) (June 28, 2007) MR0480 - Custodial Agreements (06-30-07) (June 28, 2007) MR0480 - Custodial Agreements (06-30-07) (June 28, 2007) - Attachment MR0479 - List of Securities Eligible for Reduced Margin (Q1 2007) (June 20, 2007) MR0479 - List of Securities Eligible for Reduced Margin (Q1 2007) (June 20, 2007) MR0479 - List of Securities Eligible for Reduced Margin - Attachment MR0478 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (06-15-07) (June 15, 2007) MR0478 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (06-15-07) (June 15, 2007) MR0478 - FLOATING MARGIN RATES - Attachment MR0477 - Securities Loan Agreement Boilerplate Change (June 15, 2007) MR0476 - FX Margin Surcharge (06-04-07) (June 4, 2007) MR0476 - FX Margin Surcharge (06-04-07) (June 4, 2007) MR0476 - Security Volatility - Attachment MR0475 - Custodial Agreements (05-31-07) (June 1, 2007) MR0475 - Custodial Agreements (05-31-07) (June 1, 2007) MR0475 - Custodial Agreements (05-31-07) (June 1, 2007) - Attachment MR0474 - National Instrument 24-101 Trade-Matching Statement (May 18, 2007) MR0474 - National Instrument 24-101 Trade-Matching Statement (May 18, 2007) MR0474 - National Instrument 24-101 Trade-Matching Statement (May 18, 2007) - Attachment MR0473 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (05-08-07) (May 8, 2007) MR0473 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (05-08-07) (May 8, 2007) MR0473 - FLOATING MARGIN RATES (Attach) MR0472 - 30 / 90 Day Training Program (May 2, 2007) MR0471 - Guidelines for Compliance with IDA By-law 29.13 (May 1, 2007) MR0470 - Custodial Agreements (04-30-07) (May 1, 2007) MR0470 - Custodial Agreements (04-30-07) (May 1, 2007) MR0470 - Custodial Agreements (04-30-07) (May 1, 2007) - Attachment MR0469 - List of Basel Accord Countries (April 25, 2007) MR0469 - List of Basel Accord Countries (April 25, 2007) MR0469 - List of Basel Accord Countries - Attachment MR0468 - List of Securities Eligible for Reduced Margin (April 20, 2007) MR0468 - List of Securities Eligible for Reduced Margin (April 20, 2007) MR0468 - List of Securities Eligible for Reduced Margin (Q4 2006) - Attachment MR0467 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (April 20, 2007) MR0467 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (April 20, 2007) MR0467 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (April 20, 2007) - Attachment MR0466 - District Council Annual Meetings (April 16, 2007) MR0465 - Amendments to Statement B and C of Form 1 - Custodial Agreements (April 11, 2007) MR0465 - Amendments to Statement B and C of Form 1 - Custodial Agreements (April 11, 2007) MR0465 - Amendments to Statement B and C of Form 1 - Custodial Agreements (April 11, 2007) - Attachment MR0464 - CIPF Assessment Rate (April 10, 2007) MR0463 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (April 10, 2007) MR0463 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (April 10, 2007) MR0463 - FLOATING MARGIN RATES - Attachment MR0462 - Custodial Agreements (April 10, 2007) MR0462 - Custodial Agreements (April 10, 2007) MR0462 - Custodial Agreements (April 10, 2007) - Attachment MR0461 - FX Margin Surcharge (03-23-07) (March 23, 2007) MR0461 - FX Margin Surcharge (03-23-07) (March 23, 2007) MR0461 - Security Volatility Program - Attachment MR0460 - Optional Business Continuity Planning Procedures for Introducers (March 21, 2007) MR0459 - Correction and Update to Member Regulation Notice MR0458 - Regulations Implementing the United Nations Resolution on Iran (RIUNRI) (March 14, 2007) MR0458 - Regulations Implementing the United Nations Resolution on Iran (RIUNRI) (March 9, 2007) MR0457 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (03-03-07) (March 7, 2007) MR0457 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (03-03-07) (March 7, 2007) MR0457 - FLOATING MARGIN RATES - Attachment MR0456 - Pandemic Guidelines (March 5, 2007) MR0455 - Custodial Agreements (02-28-07) (March 5, 2007) MR0455 - Custodial Agreements (02-28-07) (March 5, 2007) MR0455 - Custodial Agreements (02-28-07) - Attachment MR0454 - Broker to Broker Trade Matching Rule - Regulation 800.49 (February 28, 2007) MR0453 - Registration Due Diligence Process (February 26, 2007) MR0452 - Registration Reform Project - Proposed National Instrument 31-103 - Registration Requirements (February 20, 2007) MR0452 - Registration Reform Project - Proposed National Instrument 31-103 - Registration Requirements (February 20, 2007) MR0452 - Notice and Request for Comment - Attachment MR0451 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (02-12-07) (February 12, 2007) MR0451 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (02-12-07) (February 12, 2007) MR0451 - FLOATING MARGIN RATES - Attachment MR0450 - FX Margin Surcharge (02-01-07) (February 5, 2007) MR0450 - FX Margin Surcharge (02-01-07) (February 5, 2007) MR0450 - Security Volatility Program - Attachment MR0449 - Custodial Agreements (02-01-07) (February 1, 2007) MR0449 - Custodial Agreements (02-01-07) (February 1, 2007) MR0449 - Custodial Agreements (02-01-07) - Attachment MR0448 - Member Regulation Strategic Initiative to Reformat, Reorganize and re-write the Rule Book in Plain Language - Access to Rule Book Drafts (January 29, 2007) MR0447 - List of Other Foreign Securities Depositories or Clearing Agencies (January 23, 2007) MR0446 - List of Securities Eligible for Reduced Margin (Q3 2006) (January 11, 2007) MR0446 - List of Securities Eligible for Reduced Margin (Q3 2006) (January 11, 2007) MR0446 - List of Securities Eligible for Reduced Margin (Q3 2006) (Attach) MR0445 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (01-08-07) (January 8, 2007) MR0445 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (01-08-07) (January 8, 2007) MR0445 - US Index Floating and Tracking Error Margin Rates (01-08-07) - Attachment MR0444 - Custodial Agreements (12-31-06) (January 2, 2007) MR0444 - Custodial Agreements (12-31-06) (January 2, 2007) MR0444 - Custodial Agreements (12-31-06) (January 2, 2007) - Attachment 2006 MR0443 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (December 20, 2006) MR0443 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (December 20, 2006) MR0443 - List of Acceptable Trade Matching Utilities - Attachment MR0442 - CIPF Assessment Rate (4th Quarter 2006) (December 20, 2006) MR0441 - Handling Client Complaints (December 19, 2006) MR0440 - CIPF Assessment Rate (1st Quarter 2007) (December 19, 2006) MR0439 - Regulatory Filing Deadlines (December 19, 2006) MR0438 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (Dec 2006) (December 11, 2006) MR0438 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (Dec 2006) (December 11, 2006) MR0438 - Floating Margin Rates - Attachment MR0437 - Custodial Agreements (11-30-06) (December 4, 2006) MR0437 - Custodial Agreements (11-30-06) (December 4, 2006) MR0437 - Custodial Agreements (11-30-06) (December 4, 2006) - Attachment MR0436 - Financial Action Task Force - Removal of Myanmar from list of Non-Cooperative Countries and Territories (November 30, 2006) MR0435 - Joint Regulatory Notice - The Role of Compliance and Supervision (November 30, 2006) MR0434 - Other Business Activities (November 17, 2006) MR0433 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (Nov 2006) (November 8, 2006) MR0433 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (Nov 2006) (November 8, 2006) MR0433 - Floating Margin Rates - Attachment MR0432 - List of Acceptable Trade Matching Utilities for the purposes of IDA Regulation 800.49 relating to Broker to Broker Trade Matching (November 6, 2006) MR0431 - New Accounting Standards for Financial Instruments (November 3, 2006) MR0431 - New Accounting Standards for Financial Instruments (November 3, 2006) MR0431 - New Accounting Standards for Financial Instruments (November 3, 2006) - Attachment 1 MR0431 - New Accounting Standards for Financial Instruments (November 3, 2006) - Attachment 2 MR0430 - Custodial Agreements (10-31-06) (November 1, 2006) MR0430 - Custodial Agreements (10-31-06) (November 1, 2006) MR0430 - Custodial Agreements (10-31-06) (November 1, 2006) - Attachment MR0429 - Computer Fraud Coverage (October 25, 2006) MR0428 - Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) (October 24, 2006) MR0427 - List of Securities Eligible for Reduced Margin (Q2 2006) (October 18, 2006) MR0427 - List of Securities Eligible for Reduced Margin (Q2 2006) (October 18, 2006) MR0427 - List of Securities Eligible for Reduced Margin - Attachment MR0426 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (10-05-06) (October 5, 2006) MR0426 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (10-05-06) (October 5, 2006) MR0426 - FLoating Margin Rates - Attachment MR0425 - Custodial Agreements (09-30-06) (October 2, 2006) MR0425 - Custodial Agreements (09-30-06) (October 2, 2006) MR0425 - Custodial Agreements (09-30-06) (October 2, 2006) - Attachment MR0424 - Alberta Securities Commission Fee Increase (September 27, 2006) MR0423 - ComSet - New System Implementation (September 25, 2006) MR0422 - Account Transfers (September 20, 2006) MR0421 - Notices regarding Individual Approvals (September 20, 2006) MR0420 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (September 11, 2006) MR0420 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (September 11, 2006) MR0420 - FLoating Margin Rates - Attachment MR0419 - Custodial Agreements (08-31-06) (September 6, 2006) MR0419 - Custodial Agreements (08-31-06) (September 6, 2006) MR0419 - Custodial Agreements (08-31-06) (September 6, 2006) - Attachment MR0418 - Improper Sales Practices (August 21, 2006) MR0417 - Acceptable Institutions and Acceptable Counterparties Listing (August 10, 2006) MR0417 - Acceptable Institutions and Acceptable Counterparties Listing (August 10, 2006) MR0417 - Acceptable Institutions and Acceptable Counterparties Listing (August 10, 2006) - Attachment MR0416 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products MR0416 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products MR0416 - Floating Margin Rates - Attachment MR0415 - Custodial Agreements (07-31-06) (August 2, 2006) MR0415 - Custodial Agreements (07-31-06) (August 2, 2006) MR0415 - Additions to list since June 30, 2006 - Attachment MR0414 - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (July 27, 2006) MR0414 - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities (July 27, 2006) MR0414 - List of Recognized Exchanges and Associations for the Purposes of Determining Entities that Qualify as Regulated Entities - Attachment MR0413 - List of Basel Accord Countries (07-24-06) (July 24, 2006) MR0413 - List of Basel Accord Countries (07-24-06) (July 24, 2006) MR0413 - List of Basel Accord Countries - Attachment MR0412 - Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products - Violation Adjustment (07-17-06) (July 20, 2006) MR0412 - Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products - Violation Adjustment (07-17-06) (July 20, 2006) MR0412 - Floating Margin Rates - Attachment MR0411 - List of Securities Eligible for Reduced Margin (Supplement) (July 20, 2006) MR0411 - List of Securities Eligible for Reduced Margin (Supplement) (July 20, 2006) MR0411 - List of Securities Eligible for Reduced Margin (Supplement) - Attachment MR0410 - CIPF Assessment Rate (3rd Quarter 2006) (July 18, 2006) MR0409 - Financial Action Task Force - Removal of Nigeria from list of Non-Cooperative Countries and Territories (July 12, 2006) MR0408 - Custodial Agreements (06-30-06) (July 10, 2006) MR0408 - Custodial Agreements (06-30-06) (July 10, 2006) MR0408 - Custodial Agreements (06-30-06) (July 10, 2006) - Attachment MR0407 - List of Securities Eligible for Reduced Margin (July 6, 2006) MR0407 - List of Securities Eligible for Reduced Margin (July 6, 2006) MR0407 - List of Securities Eligible for Reduced Margin (July 6, 2006) - Attachment MR0406 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (July 5, 2006) MR0406 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (July 5, 2006) MR0406 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (July 5, 2006) - Attachment MR0405 - Traders (June 27, 2006) MR0404 - Post-licensing Requirement / Wealth Management Essentials Course (June 26, 2006) MR0403 - FX Margin Surcharge (06-13-06) (June 14, 2006) MR0403 - FX Margin Surcharge (06-13-06) (June 14, 2006) MR0403 - Security Volatility Program - Attachment MR0402 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (June 6, 2006) MR0402 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (June 6, 2006) MR0402 - FLOATING MARGIN RATES - Attachment MR0401 - Custodial Agreements (05-31-06) (June 2, 2006) MR0401 - Custodial Agreements (05-31-06) (June 2, 2006) MR0401 - Custodial Agreements - Attachment MR0400 - CIPF Assessment Rate (2nd Quarter 2006) (May 15, 2006) MR0399 - Custodial Agreements (04-30-06) (May 5, 2006) MR0399 - Custodial Agreements (04-30-06) (May 5, 2006) MR0399 - Custodial Agreements - Attachment MR0398 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (May 3, 2006) MR0398 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (May 3, 2006) MR0398 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (May 3, 2006) - Attachment MR0397 - Compliance with By-law 17.19 (May 2, 2006) MR0396 - Proficiency Exemptions / OSC Rule 31-502 (April 26, 2006) MR0395 - District Council Annual Meetings (April 19, 2006) MR0394 - Branch Manager (Non-Retail) Category (April 10, 2006) MR0393 - List of Floating and Tracking Error Margin Rates for Offsets Involving U.S. Index Products (April 4, 2006) MR0392 - Custodial Agreements (April 3, 2006) MR0392 - Custodial Agreements (April 3, 2006) MR0392 - Custodial Agreements (April 3, 2006) - Attachment MR0391 - Joint CSA/SRO Notice, Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) (March 17, 2006) MR0390 - District Council Nominations (March 14, 2006) MR0389 - FX Margin Surcharge (March 9, 2006) MR0389 - FX Margin Surcharge (March 9, 2006) MR0389 - Security Volatility Program - Attachment MR0388 - Custodial Agreements (March 2, 2006) MR0388 - Custodial Agreements (March 2, 2006) MR0388 - Custodial Agreements (March 2, 2006) - Attachment MR0387 - List of Securities Eligible for Reduced Margin (March 1, 2006) MR0387 - List of Securities Eligible for Reduced Margin (March 1, 2006) MR0387 - List of Securities Eligible for Reduced Margin - Attachment MR0386 - CIPF Assessment Rate (February 27, 2006) MR0385 - Custodial Agreements - 01-31-06 (2/8/2006) MR0385 - Custodial Agreements - 01-31-06 (2/8/2006) MR0385 - Custodial Agreements - 01-31-06 (2/8/2006) - Attachment MR0384 - Policy No. 4 Minimum Standards for Institutional Account Opening, Operation and Supervision (1/31/2006) MR0383 - NRD - Quebec Registration Fees (1/16/2006) MR0382 - Custodial Agreements - 12-31-05 (1/9/2006) MR0382 - Custodial Agreements - 12-31-05 (1/9/2006) MR0382 - Custodial Agreements - 12-31-05 (1/9/2006) - Attachment MR0381 - FX Margin Surcharge - 01-03-06 (1/3/2006) MR0381 - FX Margin Surcharge - 01-03-06 (1/3/2006) MR0381 - FX Margin Surcharge - 01-03-06 (1/3/2006) - Attachment 2005 MR0380 - Regulatory Filing Deadlines 2006 (12/20/2005) MR0379 - Custodial Agreements - 11-30-05 (12/8/2005) MR0379 - Custodial Agreements - 11-30-05 (12/8/2005) MR0379 - Custodial Agreements - 11-30-05 (12/8/2005) - Attachment MR0378 - List of Securities Eligible for Reduced Margin (Q3 2005) (11/21/2005) MR0378 - List of Securities Eligible for Reduced Margin (Q3 2005) (11/21/2005) MR0378 - List of Securities Eligible for Reduced Margin (Q3 2005) (11/21/2005) - Attachment MR0377 - Guidelines for Confidential Information Containment (11/18/2005) MR0377 - Guidelines for Confidential Information Containment (11/18/2005) MR0377 - Guidelines for Confidential Information Containment (11/18/2005) - Attachment MR0376 - Courses recognized by the Association for Voluntary Participation in the Continuing Education Program (November 10, 2005) MR0375 - Custodial Agreements - 10-31-05 (11/4/2005) MR0375 - Custodial Agreements - 10-31-05 (11/4/2005) MR0375 - Custodial Agreements - 10-31-05 (11/4/2005) - Attachment MR0374 - CIPF Assessment Rate (Q4 2005) (11/3/2005) MR0373 - Financial Action Task Force (10/25/2005) MR0372 - Reporting Requirements for Approved Persons on Short Term Disability (10/19/2005) MR0371 - New and Revised Assurance Standards (10/17/2005) MR0370 - Custodial Agreements (10/6/2005) MR0370 - Custodial Agreements (10/6/2005) MR0370 - Custodial Agreements (10/6/2005) - Attachment MR0369 - List of Securities Eligible for Reduced Margin (Supplement) (9/30/2005) MR0368 - FX Margin Surcharge (9/7/2005) MR0368 - FX Margin Surcharge (9/7/2005) MR0368 - FX Margin Surcharge (9/7/2005) - Attachment MR0367 - Custodial Agreements (9/7/2005) MR0367 - Custodial Agreements (9/7/2005) MR0367 - Custodial Agreements (9/7/2005) - Attachment MR0366 - Regular settlement date to be used for certain foreign exchange hedge trades (8/19/2005) MR0365 - List of Securities Eligible for Reduced Margin (8/18/2005) MR0365 - List of Securities Eligible for Reduced Margin (8/18/2005) MR0365 - List of Securities Eligible for Reduced Margin (8/18/2005) - Attachment MR0364 - Acceptable Institutions and Acceptable Counterparties Listing (8/15/2005) MR0364 - Acceptable Institutions and Acceptable Counterparties Listing (8/15/2005) MR0364 - Acceptable Institutions and Acceptable Counterparties Listing (8/15/2005) - Attachment MR0363 - Custodial Agreements (8/8/2005) MR0363 - Custodial Agreements (8/8/2005) MR0363 - Custodial Agreements (8/8/2005) - Attachment MR0362 - List of Securities Eligible for Reduced Margin (Supplement) (7/26/2005) MR0361 - Unilateral Mutual Fund Substitutions (7/20/2005) MR0360 - List of Securities Eligible for Reduced Margin (Supplement) (7/18/2005) MR0359 - Revised Guidelines for 90-Day Training Program (7/13/2005) MR0358 - FX Margin Surcharge (7/12/2005) MR0358 - FX Margin Surcharge (7/12/2005) MR0358 - FX Margin Surcharge (7/12/2005) - Attachment MR0357 - Custodial Agreements (7/11/2005) MR0357 - Custodial Agreements (7/11/2005) MR0357 - Custodial Agreements (7/11/2005) - Attachment MR0356 - List of Securities Eligible for Reduced Margin (6/28/2005) MR0356 - List of Securities Eligible for Reduced Margin (6/28/2005) MR0356 - List of Securities Eligible for Reduced Margin (6/28/2005) - Attachment MR0355 - CIPF Assessment Rate (6/28/2005) MR0354 - FINTRAC Publishes Revised Anti-Money Laundering Guidance Document for Securities Dealers (6/22/2005) MR0353 - Supervision Reports and Late Filing Fees - Electronic Filings (6/20/2005) MR0352 - Custodial Agreements (6/3/2005) MR0352 - Custodial Agreements (6/3/2005) MR0352 - Custodial Agreements (6/3/2005) - Attachment MR0351 - Regulation 100.2(d)(iv) - Margin treatment of unhedged foreign exchange positions held in customer accounts (5/12/2005) MR0350 - Custodial Agreements (5/10/2005) MR0350 - Custodial Agreements (5/10/2005) MR0350 - Custodial Agreements (5/10/2005) - Attachment MR0349 - Officer and Business Titles (5/6/2005) MR0348 - Registration for the purpose of maintaining course validity (4/20/2005) MR0347 - Joint Regulatory Notice - Electronic Audit Trail Initiative (TREATS) (4/15/2005) MR0346 - Custodial Agreements (4/12/2005) MR0346 - Custodial Agreements (4/12/2005) MR0346 - Custodial Agreements (4/12/2005) - Attachment MR0345 - Changes to Registration Procedures in Alberta (4/5/2005) MR0344 - CFO Qualifying Examination - Late Completion Fee (3/29/2005) MR0343 - CIPF Assessment Rate (3/29/2005) MR0342 - Coding of Managed and Wrap Accounts for Shareholder Communications (3/25/2005) MR0341 - Filing Requirements for Exemptions (3/15/2005) MR0340 - Coding of Managed and Wrap Accounts for Shareholder Communications MR0339 - List of Securities Eligible for Reduced Margin (3/8/2005) MR0339 - List of Securities Eligible for Reduced Margin (3/8/2005) MR0339 - List of Securities Eligible for Reduced Margin (3/8/2005) - Attachment MR0338 - Custodial Agreements (3/3/2005) MR0338 - Custodial Agreements (3/3/2005) MR0338 - Custodial Agreements (3/3/2005) - Attachment MR0337 - Changes in the Registration Process The National Registration Database in Québec (February 24, 2005) MR0336 - Financial Action Task Force (2/22/2005) MR0335 - Implementation of By-law 40 Revisions (2/10/2005) MR0334 - FIB In-Transit Insurance (2/10/2005) MR0333 - Custodial Agreements (2/8/2005) MR0333 - Custodial Agreements (2/8/2005) MR0333 - Custodial Agreements (2/8/2005) - Attachment MR0332 - Continuing Education - New online reporting system (1/20/2005) MR0331 - FX Margin Surcharge (1/13/2005) MR0331 - FX Margin Surcharge (1/13/2005) MR0331 - FX Margin Surcharge (1/13/2005) - Attachment MR0330 - Amendments to Regulation 100.9 and 100.10 - Capital and margin requirements for positions in and offsets involving exchange-traded derivatives (1/13/2005) MR0330 - Amendments to Regulation 100.9 and 100.10 - Capital and margin requirements for positions in and offsets involving exchange-traded derivatives (1/13/2005) MR0330 - Amendments to Regulation 100.9 and 100.10 - Capital and margin requirements for positions in and offsets involving exchange-traded derivatives (1/13/2005) - Attachment 1 MR0330 - Amendments to Regulation 100.9 and 100.10 - Capital and margin requirements for positions in and offsets involving exchange-traded derivatives (1/13/2005) - Attachment 2 MR0329 - CIPF Assessment Rate (1/10/2005) MR0328 - Custodial Agreements (1/5/2005) MR0328 - Custodial Agreements (1/5/2005) MR0328 - Custodial Agreements (1/5/2005) - Attachment MR0327 - Trade Names (1/5/2005) MR0326 - FX Margin Surcharge (1/5/2005) MR0326 - FX Margin Surcharge (1/5/2005) MR0326 - FX Margin Surcharge (1/5/2005) - Attachment 2004 MR0325 - Custodial Agreements (12/22/2004) MR0325 - Custodial Agreements (12/22/2004) MR0325 - Custodial Agreements (12/22/2004) - Attachment MR0324 - Regulatory Filing Deadlines (12/21/2004) MR0323 - IDA Continuing Education and Voluntary Participation (December 14, 2004) MR0322 - List of Securities Eligible for Reduced Margin (12/6/2004) MR0322 - List of Securities Eligible for Reduced Margin (12/6/2004) MR0322 - List of Securities Eligible for Reduced Margin (12/6/2004) - Attachment MR0321 - Straight Through Processing Update (12/6/2004) MR0320 - Regulation SHO Under Securities Exchange Act of 1934 (December 2, 2004) MR0319 - Update to Joint Service and Omnibus Arrangements Between IDA and MFDA Members (November 30, 2004) MR0319 - Update to Joint Service and Omnibus Arrangements Between IDA and MFDA Members (November 30, 2004) MR0319 - Joint Arrangement Project - Attachment MR0318 - Listing of recognized exchanges / associations for the purposes of determining entities that qualify as regulated entities (11/24/2004) MR0317 - Financial Action Task Force (11/23/2004) MR0316 - Regulation 100.5 and Schedule 2A of Form 1 - Capital Requirements for Underwriting Commitments (11/15/2004) MR0315 - FX Margin Surcharge (11/8/2004) MR0314 - Custodial Agreements (11/3/2004) MR0313 - Custodial Agreements (10/4/2004) MR0313 - Custodial Agreements (10/4/2004) MR0313 - Custodial Agreements (10/4/2004) - Attachment MR0312 - Offsets involving Capital Shares, Convertible and Exercisable Securities and Offsets involving Takeover or Reorganization Transactions (10/4/2004) MR0311 - Quebec and the National Registration Database (10/4/2004) MR0310 - CIPF Assessment Rate (9/28/2004) MR0309 - Continuing Education Program - Course Accreditation (9/22/2004) MR0308 - Investor Notification and Approval Process (9/14/2004) MR0307 - Custodial Agreements (9/8/2004) MR0307 - Custodial Agreements (9/8/2004) MR0307 - Custodial Agreements (9/8/2004) - Attachment MR0306 - Procedure for Foreign Offices of IDA Members (9/2/2004) MR0305 - FX Margin Surcharge (9/1/2004) MR0305 - FX Margin Surcharge (9/1/2004) MR0305 - FX Margin Surcharge (9/1/2004) - Attachment MR0304 - Acceptable Institutions and Acceptable Counterparties Listing (8/31/2004) MR0303 - List of Securities Eligible for Reduced Margin (8/26/2004) MR0303 - List of Securities Eligible for Reduced Margin (8/26/2004) MR0303 - List of Securities Eligible for Reduced Margin (8/26/2004) - Attachment MR0302 - Fraud Warning (8/9/2004) MR0301 - Custodial Agreements (8/4/2004) MR0301 - Custodial Agreements (8/4/2004) MR0301 - Custodial Agreements (8/4/2004) - Attachment MR0300 - FX Margin Surcharge (8/3/2004) MR0299 - Licensing Requirements for Individuals previously registered in Hong Kong (7/21/2004) MR0298 - Nexfor Inc. "If As and When Issued" Markets (6/28/2004) MR0297 - CIPF Assessment Rate (6/16/2004) MR0296 - Joint Service and Omnibus Arrangements Between IDA and MFDA Members (6/11/2004) MR0295 - Custodial Agreements (6/7/2004) MR0295 - Custodial Agreements (6/7/2004) MR0295 - Custodial Agreements (6/7/2004) - Attachment MR0294 - Amendments to Regulation 1300.1 Identification of Beneficial Owners of Non-Individual Accounts (6/7/2004) MR0293 - New NRD Release (5/31/2004) MR0292 - List of Securities Eligible for Reduced Margin (5/27/2004) MR0292 - List of Securities Eligible for Reduced Margin (5/27/2004) MR0292 - List of Securities Eligible for Reduced Margin (5/27/2004) - Attachment MR0291 - Consolidation of Back-Office Operations of a Member firm and its Affiliate (5/21/2004) MR0290 - Branch/Sub-Branch Opening Form - Quebec (5/21/2004) MR0290 - Branch/Sub-Branch Opening Form - Quebec (5/21/2004) MR0290 - Branch/Sub-Branch Opening Form - Quebec (5/21/2004) - Attachment MR0289 - FX Margin Surcharge (5/12/2004) MR0289 - FX Margin Surcharge (5/12/2004) MR0289 - FX Margin Surcharge (5/12/2004) - Attachment MR0288 - Portfolio Manager Application for Quebec Residents (5/7/2004) MR0287 - Licensing Requirements for Individuals previously registered in Hong Kong (5/5/2004) MR0286 - Custodial Agreements (5/3/2004) MR0286 - Custodial Agreements (5/3/2004) MR0286 - Custodial Agreements (5/3/2004) - Attachment MR0285 - Custodial Agreements (4/29/2004) MR0285 - Custodial Agreements (4/29/2004) MR0285 - Custodial Agreements (4/29/2004) - Attachment MR0284 - FX Margin Surcharge (4/15/2004) MR0284 - FX Margin Surcharge (4/15/2004) MR0284 - FX Margin Surcharge (4/15/2004) - Attachment MR0283 - FX Margin Surcharge (4/14/2004) MR0283 - FX Margin Surcharge (4/14/2004) MR0283 - FX Margin Surcharge (4/14/2004) - Attachment MR0282 - Positive Affirmation Rule (April 13, 2004) MR0281 - Guidelines for the Review of Advertisements, Sales Literature and Correspondence (4/12/2004) MR0280 - Average Price Accounts - Margin Requirements (March 31, 2004) MR0279 - Client Priority in TSX Venture Private Placements Suggested Procedures (3/29/2004) MR0278 - Diversification - Distribution of Insurance Products (3/25/2004) MR0277 - Custodial Agreements (3/17/2004) MR0276 - CIPF Assessment Rate (3/10/2004) MR0275 - Financial Action Task Force - Removal of Egypt and Ukraine from list of Non-Cooperative Countries and Territories (3/3/2004) MR0274 - IDA Registration Fees - Refund Policies (2/27/2004) MR0273 - Responding to Deficiency Notices via NRD (2/27/2004) MR0272 - List of Securities Eligible for Reduced Margin (2/25/2004) MR0272 - List of Securities Eligible for Reduced Margin (2/25/2004) MR0272 - List of Securities Eligible for Reduced Margin (2/25/2004) - Attachment MR0271 - Tips for Completing NRD Submissions (2/19/2004) MR0270 - Custodial Agreements (2/18/2004) MR0269 - Reporting of Supervisory Positions (2/10/2004) MR0268 - Partners, Directors and Senior Officers Qualifying Examination Change (2/9/2004) MR0267 - Client Priority in TSX Venture Private Placements (1/27/2004) MR0266 - Custodial Agreements (1/20/2004) MR0265 - Revision to Member Regulation Notice MR0263 (1/9/2004) MR0264 - FX Margin Surcharge (1/7/2004) MR0264 - FX Margin Surcharge (1/7/2004) MR0264 - FX Margin Surcharge (1/7/2004) - Attachment 2003 MR0263 - Amendments to Federal Anti-Money Laundering Regulations (12/23/2003) MR0263 - Amendments to Federal Anti-Money Laundering Regulations (12/23/2003) MR0263 - Amendments to Federal Anti-Money Laundering Regulations - Attachment MR0262 - FX Margin Surcharge (12/23/2003) MR0262 - FX Margin Surcharge (12/23/2003) MR0262 - FX Margin Surcharge (12/23/2003) - Attachment MR0261 - CIPF Assessment Rate (12/23/2003) MR0260 - Regulatory Filing Deadlines (12/19/2003) MR0259 - Custodial Agreements (12/16/2003) MR0259 - Custodial Agreements (12/16/2003) MR0259 - Custodial Agreements as of November 30, 2003 - Attachment MR0258 - Annual Registration and NRD Fees (12/15/2003) MR0257 - Changes to NRD Individual Approval Categories (12/5/2003) MR0256 - Joint Regulatory Notice on Federal and Provincial Privacy Legislation (12/3/2003) MR0255 - Fee Changes under the Commodity Futures Act (12/1/2003) MR0254 - IDA Approval Categories and Fees (11/26/2003) MR0253 - IDA Post Licensing Requirement (11/25/2003) MR0252 - List of Securities Eligible for Reduced Margin (11/21/2003) MR0252 - List of Securities Eligible for Reduced Margin (11/21/2003) MR0252 - List of Securities Eligible for Reduced Margin (11/21/2003) - Attachment MR0251 - Custodial Agreements (11/18/2003) MR0250 - Registration Proficiency Requirements in Ontario (11/17/2003) MR0249 - FX Margin Surcharge (10/30/2003) MR0249 - FX Margin Surcharge (10/30/2003) MR0249 - FX Margin Surcharge (10/30/2003) - Attachment MR0248 - Policy No. 11 (10/27/2003) MR0247 - Custodial Agreements (10/20/2003) MR0246 - Availability of CFO Category and Other NRD Changes (10/15/2003) MR0245 - Post licensing requirement for Non-Retail Salespersons (10/7/2003) MR0244 - Capital and Margin Requirements for Special Warrants, Subscription Receipts and Restricted Securities (October 6, 2003) MR0243 - FX Margin Surcharge (10/1/2003) MR0243 - FX Margin Surcharge (10/1/2003) MR0243 - FX Margin Surcharge (10/1/2003) - Attachment MR0242 - CIPF Assessment Rate (9/30/2003) MR0241 - Supervision of Financial Planning (9/17/2003) MR0240 - Custodial Agreements (9/16/2003) MR0239 - Principal/Agent Relationships and Financial Planning (9/9/2003) MR0238 - Acceptable Institutions and Acceptable Counterparties Listing (9/8/2003) MR0238 - Acceptable Institutions and Acceptable Counterparties Listing (9/8/2003) MR0238 - Acceptable Institutions and Acceptable Counterparties Listing (9/8/2003) - Attachment A MR0238 - Acceptable Institutions and Acceptable Counterparties Listing (9/8/2003) - Attachment B MR0238 - Acceptable Institutions and Acceptable Counterparties Listing (9/8/2003) - Attachment C MR0237 - Custodial Agreements (9/3/2003) MR0236 - List of Securities Eligible for Reduced Margin (Supplement) (8/28/2003) MR0235 - Mutual Fund Registration - Alberta (8/19/2003) MR0234 - List of Securities Eligible for Reduced Margin (8/18/2003) MR0234 - List of Securities Eligible for Reduced Margin (8/18/2003) MR0234 - List of Securities Eligible for Reduced Margin (8/18/2003) - Attachment MR0233 - New Canada Savings Bond Conversion to CDSX - Revised Transaction Freeze Period for Canada Savings Bond Series S46 - S83 and Canada Premium Bond Series P03 - P33 (8/7/2003) MR0232 - NRD Filing Extensions & Requirement Changes (7/22/2003) MR0231 - New Canada Savings Bond Conversion to CDSX - Transaction Freeze for Canada Savings Bond Series S46 - S83 and Canada Premium Bond Series P03 - P33 (7/22/2003) MR0230 - Recognition of Contingent Loss arising from Litigation (7/22/2003) MR0229 - Custodial Agreements (7/22/2003) MR0228 - FX Margin Surcharge (7/21/2003) MR0228 - FX Margin Surcharge (7/21/2003) MR0228 - FX Margin Surcharge (7/21/2003) - Attachment MR0227 - Delivery of Documents During a Postal Strike (7/17/2003) MR0226 - Obtaining Financial Entity Information under Anti-Money Laundering Regulations (7/15/2003) MR0225 - Guide to Completion of the NRD Notice of Termination (7/14/2003) MR0224 - FX Margin Surcharge (7/9/2003) MR0224 - FX Margin Surcharge (7/9/2003) MR0224 - FX Margin Surcharge (7/9/2003) - Attachment MR0223 - Financial Action Task Force (7/14/2003) MR0222 - FX Currency Group Upgrades (7/7/2003) MR0222 - FX Currency Group Upgrades (7/7/2003) MR0222 - FX Currency Group Upgrades (7/7/2003) - Attachment MR0221 - CIPF Assessment Rate (6/25/2003) MR0220 - Custodial Agreements (6/16/2003) MR0219 - Mail Insurance Coverage (6/16/2003) MR0218 - Acceptable Over-Collateralization Rates for Financing Transactions with Acceptable Counterparties (6/3/2003) MR0217 - Principal and Agent Relationships (6/2/2003) MR0216 - FX Margin Surcharge (5/26/2003) MR0216 - FX Margin Surcharge (5/26/2003) MR0216 - FX Margin Surcharge (5/26/2003) - Attachment MR0215 - FX Margin Surcharge (5/20/2003) MR0215 - FX Margin Surcharge (5/20/2003) MR0215 - FX Margin Surcharge (5/20/2003) - Attachment MR0214 - Custodial Agreements (5/20/2003) MR0213 - List of Basel Accord Countries (5/14/2003) MR0212 - List of Securities Eligible for Reduced Margin (5/9/2003) MR0212 - List of Securities Eligible for Reduced Margin (5/9/2003) MR0212 - List of Securities Eligible for Reduced Margin (5/9/2003) - Attachment MR0211 - Dealings with U.S. Residents (5/8/2003) MR0210 - National Registration Database - Data Conversion Issues (4/23/2003) MR0209 - FX Margin Surcharge (4/11/2003) MR0209 - FX Margin Surcharge (4/11/2003) MR0209 - FX Margin Surcharge (4/11/2003) - Attachment MR0208 - Custodial Agreements (4/9/2003) MR0207 - Processing of Segregated Fund Contracts (4/8/2003) MR0206 - NRD Filing Requirements Retained and Supporting Documents (4/8/2003) MR0205 - FX Margin Surcharge (4/3/2003) MR0205 - FX Margin Surcharge (4/3/2003) MR0205 - FX Margin Surcharge (4/3/2003) - Attachment MR0204 - Joint Notice of the Staff of the Canadian Securities Administrators, Market Regulation Services Inc., Bourse de Montréal Inc., and the Investment Dealers Association (3/28/2003) MR0203 - Custodial Agreements (3/17/2003) MR0202 - Registration Requirements for Trading in Single Stock Futures (3/17/2003) MR0201 - CIPF Assessment Rate (3/6/2003) MR0200 - FX Margin Surcharge (2/25/2003) MR0200 - FX Margin Surcharge (2/25/2003) MR0200 - FX Margin Surcharge (2/25/2003) - Attachment MR0199 - Financial Action Task Force Withdrawal of Countermeasures against Ukraine Identification of Non-Cooperating Countries and Territories (2/20/2003) MR0198 - Late Filing Fees for Uniform Termination Notices (2/20/2003) MR0197 - NRD Transition Period (2/18/2003) MR0196 - Research Report Disclosure Requirements (2/17/2003) MR0195 - List of Securities Eligible for Reduced Margin (2/14/2003) MR0195 - List of Securities Eligible for Reduced Margin (2/14/2003) MR0195 - List of Securities Eligible for Reduced Margin (2/14/2003) - Attachment MR0194 - Custodial Agreements (2/10/2003) MR0193 - Fee changes under the Ontario Securities Act (1/17/2003) MR0192 - Custodial Agreements (1/8/2003) MR0192 - Custodial Agreements (1/8/2003) MR0192 - Custodial Agreements as of December 31, 2002 - Attachment MR0191 - FX Margin Surcharge (1/8/2003) MR0191 - FX Margin Surcharge (1/8/2003) MR0191 - FX Margin Surcharge (1/8/2003) - Attachment 2002 MR0190 - Planning Ahead for the NRD Freeze Period (12/24/2002) MR0189 - Advisory Regarding Dealings with Clients Located in the Ukraine (12/23/2002) MR0188 - Cross Border Currency and Monetary Instruments Reporting Regulations (12/23/2002) (Revised) MR0188 - Cross Border Currency and Monetary Instruments Reporting Regulations (12/23/2002) (Revised) MR0188 - Cross Border Currency and Monetary Instruments Reporting Regulations (12/23/2002) - Attachment MR0187 - Policy 8 and ComSet Reporting Requirements (12/23/2002) MR0186 - IDA Pacific District Fee Schedule Update - Effective December 16, 2002 (12/18/2002) MR0185 - Custodial Agreements (12/16/2002) MR0185 - Custodial Agreements (12/16/2002) MR0185 - Custodial Agreements as of November 30, 2002 - Attachment MR0184 - Regulatory Filing Deadlines (12/12/2002) MR0183 - CIPF Assessment Rate (12/11/2002) MR0182 - Margin Requirements for Synthetic and Reconstituted Government of Canada Bonds (12/6/2002) MR0181 - Foreign Exchange Margin Rules (12/5/2002) MR0180 - Regulatory Treatment of TSX Group Inc. Initial Public Offering shares received by former shareholders of TSX Inc. (12/2/2002) MR0179 - Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations - Change of Implementation Date of Large Cash Transaction Reporting Requirements (11/27/2002) MR0178 - Life Company Central Questionnaires and Workshops (11/20/2002) MR0177 - Electronic Signatures (11/18/2002) MR0176 - IDA Pacific District Fee Schedule (11/15/2002) MR0175 - Custodial Agreements (11/15/2002) MR0174 - Notification of Approval/Registration (11/13/2002) MR0173 - List of Securities Eligible for Reduced Margin (11/12/2002) MR0173 - List of Securities Eligible for Reduced Margin (11/12/2002) MR0173 - List of Securities Eligible for Reduced Margin (11/12/2002) - Attachment MR0172 - FX Margin Surcharge (11/7/2002) MR0172 - FX Margin Surcharge (11/7/2002) MR0172 - FX Margin Surcharge (11/7/2002) - Attachment MR0171 - Deterring Money Laundering Activity: A Guide for Investment Dealers (11/1/2002) MR0170 - CIPF Assessment Rate (10/23/2002) MR0169 - Financial Action Task Force Identification of Non-Cooperating Countries and Territories (10/16/2002) MR0168 - Custodial Agreements (10/15/2002) MR0168 - Custodial Agreements (10/15/2002) MR0168 - Custodial Agreements as of September 30, 2002 - Attachment MR0167 - Broker-To-Broker Trade Matching Utility (10/8/2002) MR0166 - Registration Streamlining System for non-resident Salesperson applications (10/3/2002) (Revised) MR0165 - Branch/Sub-Branch Office Closing Form (10/1/2002) MR0164 - Acceptable Institutions and Acceptable Counterparties Listing (9/24/2002) MR0164 - Acceptable Institutions and Acceptable Counterparties Listing (9/24/2002) MR0164 - Acceptable Institutions and Acceptable Counterparties Listing - Attachment MR0163 - Custodial Agreements (9/23/2002) MR0163 - Custodial Agreements (9/23/2002) MR0163 - Custodial Agreements as of August 31, 2002 - Attachment MR0162 - Policy 8 - Information Regarding Reporting (9/19/2002) MR0162 - Policy 8 - Information Regarding Reporting (9/19/2002) MR0162 - Policy 8 - Information Regarding Reporting (9/19/2002) - Attachment MR0161 - FX Margin Surcharge (9/9/2002) MR0161 - FX Margin Surcharge (9/9/2002) MR0161 - Security Volatility Program - Attachment MR0160 - Strict Supervision Report (September 9, 2002) MR0159 - Loan Value granted to Significant Security Positions Held in Member firm and Customer Accounts (9/4/2002) MR0158 - IDA Pacific District - Yukon Registration (8/23/2002) MR0157 - List of Securities Eligible for Reduced Margin (8/19/2002) MR0157 - List of Securities Eligible for Reduced Margin (8/19/2002) MR0157 - List of Securities Eligible for Reduced Margin (8/19/2002) - Attachment MR0156 - Early Warning Notice to Members (8/13/2002) MR0155 - Custodial Agreements (8/8/2002) MR0155 - Custodial Agreements (8/8/2002) MR0155 - Custodial Agreements as of July 31, 2002 - Attachment MR0154 - Custodial Agreements (7/23/2002) MR0154 - Custodial Agreements (7/23/2002) MR0154 - Custodial Agreements as of June 30, 2002 - Attachment MR0153 - FX Margin Surcharge (7/18/2002) MR0153 - FX Margin Surcharge (7/18/2002) MR0153 - FX Margin Surcharge (7/18/2002) - Attachment MR0152 - IDA Pacific District Fee Schedule - Effective July 1, 2002 (7/15/2002) MR0151 - Financial Action Task Force Identification of Non-Cooperating Countries and Territories (6/27/2002) MR0150 - Implementation of National Instrument 54-101 Communication with Beneficial Owners of Securities of a Reporting Issuer (6/27/2002) MR0149 - CIPF Assessment Rate (6/25/2002) MR0148 - Exemption from Regulation 800.48 - Interest Calculation for Monthly Pay Instruments (6/19/2002) MR0147 - Custodial Agreements (6/12/2002) MR0147 - Custodial Agreements (6/12/2002) MR0147 - Custodial Agreements as of May 31, 2002 - Attachment MR0146 - Guide to Completion of the 1-U-2000 (6/12/2002) MR0146 - Guide to Completion of the 1-U-2000 (6/12/2002) MR0146 - Guide to Completion of the 1-U-2000 (6/12/2002) - Attachment MR0145 - Change to IDA Procedures For Registrants Named In Civil Actions (June 6, 2002) MR0144 - List of Securities Eligible for Reduced Margin (5/29/2002) MR0144 - List of Securities Eligible for Reduced Margin (5/29/2002) MR0144 - List of Securities Eligible for Reduced Margin (5/29/2002) - Attachment MR0143 - Revised Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations (5/27/2002) MR0142 - Investor Notification and Approval Process (May 23, 2002) MR0142 - Investor Notification and Approval Process (May 23, 2002) MR0142 - Investor Notification and Approval Process - Attachment MR0141 - Non-Resident applications filed with IDA Quebec office (5/22/2002) MR0140 - Custodial Agreements (5/13/2002) MR0140 - Custodial Agreements (5/13/2002) MR0140 - Custodial Agreements as of April 30, 2002 - Attachment MR0139 - CIPF Assessment Rate (5/6/2002) MR0138 - FX Margin Surcharge (5/3/2002) MR0138 - FX Margin Surcharge (5/3/2002) MR0138 - FX Margin Surcharge (5/3/2002) - Attachment MR0137 - Branch/Sub-Branch Office Opening Form (5/2/2002) MR0137 - Branch/Sub-Branch Office Opening Form (5/2/2002) MR0137 - Branch/Sub-Branch Office Opening Form - Attachment MR0136 - FX Margin Surcharge (4/5/2002) MR0136 - FX Margin Surcharge (4/5/2002) MR0136 - Security Volatility Program - Attachment MR0135 - Custodial Agreements (4/5/2002) MR0135 - Custodial Agreements (4/5/2002) MR0135 - Custodial Agreements as of March 31, 2002 - Attachment MR0134 - Financial Considerations for Member firms that are currently a Carrying Broker or are contemplating becoming a Carrying Broker (4/4/2002) MR0133 - Continuing Education - Member Update (3/22/2002) MR0132 - FX Margin Surcharge (3/12/2002) MR0132 - FX Margin Surcharge (3/12/2002) MR0132 - FX Margin Surcharge (3/12/2002) - Attachment MR0131 - Custodial Agreements (3/8/2002) MR0130 - List of Securities Eligible for Reduced Margin ("LSERM") (2/15/2002) MR0130 - List of Securities Eligible for Reduced Margin ("LSERM") (2/15/2002) MR0130 - List of Securities Eligible for Reduced Margin ("LSERM") (2/15/2002) - Attachment MR0129 - Custodial Agreements (2/7/2002) MR0128 - Non-Resident Registration in Nova Scotia (2/7/2002) MR0128 - Non-Resident Registration in Nova Scotia (2/7/2002) MR0128 - Nova Scotia Securities Commission - Attachment MR0127 - FX Margin Surcharge (2/6/2002) MR0127 - FX Margin Surcharge (2/6/2002) MR0127 - FX Margin Surcharge (2/6/2002) - Attachment MR0126 - Interpretation of Amendments to By-Law 19 - Enforcement Action for Non-Compliance With Document Production (1/24/2002) MR0125 - CIPF Assessment Rate (1/22/2002) MR0124 - Custodial Agreements (1/9/2002) MR0124 - Custodial Agreements (1/9/2002) MR0124 - Custodial Agreements as of January 1, 2002 - Attachment 2001 MR0123 - Late Filing Fee for Supervision Reports (12/21/2001) MR0122 - Regulatory Filing Deadlines (12/17/2001) MR0121 - FX Margin Surcharge (12/13/2001) MR0121 - FX Margin Surcharge (12/13/2001) MR0121 - FX Margin Surcharge (12/13/2001) - Attachment MR0120 - "Evidence of Deposits" and Custody Agreements (12/3/2001) MR0119 - Approval Letters (11/26/2001) MR0118 - Other Business Activities (November 26, 2001) MR0117 - OMNIS 7 Cubed - "CONNECTED" version 15E (11/21/2001) MR0117 - OMNIS 7 Cubed - "CONNECTED" version 15E (11/21/2001) MR0117 - OMNIS 7 Cubed - "CONNECTED" version 15E (11/21/2001) - Attachment MR0116 - Ontario Securities Commission Staff Notice 32-702 - Applications for Exemption from the Time Limits on Completion of Courses and Previous Registrations (11/19/2001) MR0115 - Custodial Agreements (11/19/2001) MR0115 - Custodial Agreements (11/19/2001) MR0115 - Custodial Agreements (11/19/2001) - Attachment MR0114 - Registration Requirements (11/13/2001) MR0113 - List of Securities Eligible for Reduced Margin (11/12/2001) MR0113 - List of Securities Eligible for Reduced Margin (11/12/2001) MR0113 - List of Securities Eligible for Reduced Margin (11/12/2001) - Attachment MR0112 - Reports under the United Nations Suppression of Terrorism Regulations (11/12/2001) MR0112 - Reports under the United Nations Suppression of Terrorism Regulations (11/12/2001) MR0112 - Reports under the United Nations Suppression of Terrorism Regulations (11/12/2001) - Attachment MR0111 - Custodial Agreements (11/7/2001) MR0111 - Custodial Agreements (11/7/2001) MR0111 - Custodial Agreements (11/7/2001) - Attachment MR0110 - CIPF Assessment Rate (11/7/2001) MR0109 - NRD Contact Name (10/31/2001) MR0108 - Supplement to the List of Securities Eligible for Reduced Margin (the "LSERM") (10/25/2001) MR0107 - FX Margin Surcharge (10/24/2001) MR0107 - FX Margin Surcharge (10/24/2001) MR0107 - FX Margin Surcharge (10/24/2001) - Attachment MR0106 - Estate Freeze Reorganizations of a Member (10/17/2001) MR0105 - Filing of Reports Under The United Nations Suppression of Terrorism Regulations And Revised Schedule of Listed Persons (10/17/2001) MR0105 - Filing of Reports Under The United Nations Suppression of Terrorism Regulations And Revised Schedule of Listed Persons (10/17/2001) MR0105 - Filing of Reports Under The United Nations Suppression of Terrorism Regulations And Revised Schedule of Listed Persons (10/17/2001) - Attachment MR0104 - Implementation of Suspicious Transaction Reporting Regulations Under The Proceeds of Crime (Money Laundering Act, 2000) (10/12/2001) MR0104 - Implementation of Suspicious Transaction Reporting Regulations Under The Proceeds of Crime (Money Laundering Act, 2000) (10/12/2001) MR0104 - Implementation of Suspicious Transaction Reporting Regulations Under The Proceeds of Crime (Money Laundering Act, 2000) (10/12/2001) - Attachment MR0103 - United Nations Suppression of Terrorism Regulations (10/10/2001) MR0103 - United Nations Suppression of Terrorism Regulations (10/10/2001) MR0103 - United Nations Suppression of Terrorism Regulations (10/10/2001) - Attachment MR0102 - United Nations Suppression of Terrorism Regulations (10/3/2001) MR0100 - Financial Action Task Force - Identification of Non-Cooperative Jurisdictions (9/28/2001) MR0099 - IDA Pacific District Fee Schedule (9/7/2001) MR0098 - What Constitutes a "Recommendation"? - Is a Suitability Determination Required under Regulation 1300.1 (9/6/2001) MR0097 - Custodial Agreements (9/5/2001) MR0097 - Custodial Agreements (9/5/2001) MR0097 - Custodial Agreements (9/5/2001) - Attachment MR0096 - Introducing Broker/Carrying Broker Arrangements (8/31/2001) MR0096 - Introducing Broker/Carrying Broker Arrangements (8/31/2001) MR0096 - Introducing Broker/Carrying Broker Arrangements (8/31/2001) - Attachment MR0095 - Mutual Fund Registration - Alberta (8/27/2001) MR0094 - OMNIS 7 Cubed - "CONNECTED" version 15D (8/27/2001) MR0094 - OMNIS 7 Cubed - "CONNECTED" version 15D (8/27/2001) MR0094 - OMNIS 7 Cubed - "CONNECTED" version 15D (8/27/2001) - Attachment MR0093 - Acceptable Institutions and Acceptable Counterparties Listing (8/27/2001) MR0093 - Acceptable Institutions and Acceptable Counterparties Listing (8/27/2001) MR0093 - Acceptable Institutions and Acceptable Counterparties Listing (8/27/2001) - Attachment MR0093 - Acceptable Institutions and Acceptable Counterparties Listing (8/27/2001) - Attachment MR0092 - FX Margin Surcharge (8/20/2001) MR0092 - FX Margin Surcharge (8/20/2001) MR0092 - FX Margin Surcharge (8/20/2001) - Attachment MR0091 - Canadian Pacific Limited "If As And When Issued" Markets (August 16, 2001) MR0090 - List of Securities Eligible for Reduced Margin (8/15/2001) MR0090 - List of Securities Eligible for Reduced Margin (8/15/2001) MR0090 - List of Securities Eligible for Reduced Margin (8/15/2001) - Attachment MR0089 - Implementation of By-law 38 (8/8/2001) MR0088 - Proof of Passing Documentation (8/9/2001) MR0087 - Consolidated Statements (8/2/2001) MR0086 - Principal / Agent Relationships (7/18/2001) MR0085 - CIPF Assessment Rate (7/18/2001) MR0084 - CCMA's T+1 Readiness Checklist (7/10/2001) MR0084 - CCMA's T+1 Readiness Checklist (7/10/2001) MR0084 - CCMA's T+1 Readiness Checklist (7/10/2001) - Attachment MR0083 - FX Margin Surcharge (7/6/2001) MR0083 - FX Margin Surcharge (7/6/2001) MR0083 - FX Margin Surcharge (7/6/2001) - Attachment MR0082 - Members’ Reporting Requirements - Policy No. 8 (7/6/2001) MR0081 - Financial Action Task Force - Identification of Non-Cooperative Jurisdictions (6/29/2001) MR0080 - "Evidence of Deposits" and Custody Agreements (July 1, 2001) MR0080 - "Evidence of Deposits" and Custody Agreements (July 1, 2001) MR0080 - "Evidence of Deposits" and Custody Agreements (July 1, 2001) - Attachment MR0079 - Custodial Agreements (6/5/2001) MR0078 - Interest Calculation for Monthly Pay Instruments (5/30/2001) MR0077 - Pledge of Member’s Customer Securities (5/23/2001) MR0076 - Releases Entered Into Between Member Firms & Clients and Confidentiality Restrictions (5/22/2001) MR0075 - OMNIS 7 Cubed - "CONNECTED" version 15B (5/14/2001) MR0074 - Changes in Ownership or Share Capital of Member Firms and Holding Companies (5/9/2001) MR0073 - List of Securities Eligible for Reduced Margin ("LSERM") (5/7/2001) MR0072 - CCMA's T+1 Readiness Checklist (5/3/2001) MR0071 - HKSI Foundation Program Examination (4/27/2001)