IIROC Rules Notices

IIROC Rules Notices

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-PProposed 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