November 6, 2016
IIROC Rules Notices Rules Notice 16-0251: Guidance on Order Execution Only Services and Activities. Comments are due by December 16, 2016.
MFDA Bulletin 702-P: Proposed Amendments to Rule 1.2.5 (Misleading Business Titles Prohibited). Comments are due by January 25, 2017.
CSA round tables to discuss CSA Consultation Paper 33-404 : Proposals to Enhance the Obligations of Advisers, Dealers, and Representatives toward their Clients.
- The Alberta session will be held 9/Dec/16, 1 to 3 p.m. at Centennial Place, 250- 5th Street SW, 3rd floor Conference Centre in Calgary.
- The Brisih Columbia session will be held 2:00 to 4:00 p.m. at the BCSC officers, 12th Floor, 701 West Georgia Street, Vancouver
TSX – Notice of housekeeping amendments to the Company Manual, including amendments regarding four letter stock symbols and notice to the Exchange regarding election of director by less than a majority.
Alberta Securities Commission: Announcement of adoption of Multilateral Instrument 45-108: Crowdfunding