Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1 |
2011-11-04 |
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Request for Comment: Proposed amendments to MFDA Rule 5.3 (Client Reporting)
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2011-10-28 |
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Notice of BCSC Non-Objection to Proposed Public Interest Amendments to MFDA Form 1 – Financial Questionnaire and Report
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2011-09-30 |
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Request for Comment: Proposed amendments to MFDA Rule 2.2.1 (Know-Your Client) and MFDA Policy No. 2 (Minimum Standards for Account Supervision)
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2011-07-08 |
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Notice of BCSC revocation of non-objection to proposed amendments to MFDA Rule 1.2.1(d)(vii)(A) - Dual Occupations - Financial Planning
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2011-07-08 |
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Notice of BCSC Non-Objection to Amendments to MFDA Form 1 and the related Auditors' Reports
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2011-03-25 |
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Proposed Amendment to MFDA Form 1
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2011-03-16 |
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Notice of BCSC Non-Objection to Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Amendments to MFDA Rule 5.1 (Requirement for Records)
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2011-02-18 |
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Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report
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2011-01-21 |
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Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rules and Policy No. 6 Resulting from National Instrument 31-103 Registration Requirements and Exemptions
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2010-10-29 |
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Proposed Amendments to MFDA Rule 3.1.1 and MFDA Form 1 - Financial Questionnaire and Report
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2010-08-13 |
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Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting)
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2010-07-16 |
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Notice of BCSC Non-Objection to MFDA’s Amended Rules of Procedure
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2010-07-16 |
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Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)
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2010-06-25 |
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Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property - Cash)
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2010-06-25 |
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Notice of BCSC Non-Objection to Rescission of Proposed Housekeeping Amendment to MFDA Rule 1.1.7 - Business Names, Styles, etc.
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2010-04-30 |
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Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.4.1 - Payment of Commissions to Unregistered Corporation
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2010-03-26 |
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Notice of BCSC Non-Objection to Proposed Amendments to Section 35 of MFDA By-law No. 1 - No Action Against the MFDA Investment Protection Corporation
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2010-02-19 |
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Proposed Consequential Amendments to MFDA Rules and Policy No. 6
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2009-12-23 |
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Notice of BCSC Non-Objection to Proposed Amendments to the MFDA’s Policy No. 3 - Complaint Handling, Supervisory Investigations and Internal Discipline
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2009-12-18 |
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Second Publication for comment of proposed amendment to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1
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2009-08-28 |
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Proposed amendments to MFDA By-law No. 1 related to Directors
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2009-08-21 |
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Proposed amendments to MFDA Rules of Procedure
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2009-07-31 |
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Proposed amendments to section 35 of MFDA By-law No.1 (No Action against the Corporation)
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2009-06-26 |
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Publication for comment of proposed amendments to MFDA Rule 2.4.1 - Payment of Commissions to Unregistered Corporations
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2009-06-19 |
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Amended second publication for comment of proposed amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 - Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) to implement core principles of the Client Relationship Model
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2009-05-08 |
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Second publication for comment of proposed amendments to MFDA Rule 2.2 (Client Accounts), Policy No. 2 - Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) to implement core principles of the Client Relationship Model
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2009-04-24 |
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Notice of BCSC Non-Objection to MFDA's proposed amendments to Rule 1.2.1(d)(vii) - Dual Occupations - Financial Planning
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2009-04-24 |
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Second publication for comment of proposed amendments to MFDA Policy No. 3 - Handling Client Complaints
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2009-03-13 |
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Notice of Extension to the Suspension of MFDA Rule 2.4.1
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2008-12-19 |
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Notice of BCSC Non-Objection to Proposed Housekeeping Amendments to MFDA Rule 2.3 - Power of Attorney/Limited Trading Authorization
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2008-12-12 |
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Notice of BCSC Non-Objection to Proposed Amendments to MFDA Recognition Order and By-law No. 1 re: Directors
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2008-11-28 |
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Notice of BCSC non-objection to the MFDA’s proposed public interest amendments to Rule 1.1.6 - Introducing and Carrying Arrangement
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2008-11-21 |
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Request for Comment to Proposed amendments to MFDA Rule 2.6 - Borrowing for Securities Purchases
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2008-10-03 |
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Notice of BCSC non-objection to MFDA's proposed housekeeping amendments to Policy No. 4
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2008-09-26 |
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Notice of BCSC non-objection to MFDA's proposed housekeeping amendments to Rule 1.1.7
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2008-09-26 |
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Notice of BCSC non-objection to MFDA's proposed housekeeping amendments to Rule 4
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2008-09-26 |
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Notice of BCSC non-objection to MFDA's proposed housekeeping amendments to Rule 2.3
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2008-09-26 |
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Notice of BCSC non-objection to MFDA's proposed housekeeping amendments to Policy No. 1
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2008-09-26 |
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Notice of BCSC non-objection to MFDA's proposed housekeeping amendments to Rule 3
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2008-09-26 |
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Notice of BCSC non-objection to MFDA's proposed public interest amendments to Section 11 of By-law No. 1
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2008-09-26 |
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BCN2008/40 Request for Comment Proposed Amendments to the MFDA's Recognition Order to Extend the Suspension of Rule 2.4.1 [BCN]
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2008-08-29 |
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BCN 2008/37 Notice of BCSC Non-Objection to Proposed Amendments to section 24.3 of MFDA By-law No. 1 - Applications in Exceptional Circumstances [BCN]
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2008-08-01 |
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Request for Comment: Proposed amendments to MFDA Rule 1.2.1 (D) (Salespersons - Dual Occupations)
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2008-06-27 |
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Request for Comments on proposed amendments to MFDA Rule 2.8 (Client Communication) and Rule 5.3 (Client Reporting)
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2008-06-13 |
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Request for Comments on proposed amendments to MFDA Rule 2.2 (Client Accounts) and Policy No. 2 - Minimum Standards for Account Supervision
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2008-06-13 |
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Request for Comments on proposed amendments to MFDA Bylaw No. 1, Section 25.4 (Other Instruments)
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2008-06-13 |
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Request for Comment: MFDA - Proposed Amendments to MFDA Rule 1.1.6 (Introducing and Carrying Arrangement)
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2008-05-30 |
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BCN 2008/26 Request for Comment Proposed amendments to the MFDA's Recognition Order and the definition of "Public Director" in its Bylaw No. 1.
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2008-05-23 |
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Request for Comment: MFDA - Member Approval Process (section 11 of By-law No. 1)
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2007-09-21 |
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Housekeeping Amendments to Form 1 - Financial Questionnaire and Report
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2007-09-07 |
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Notice of Non-Objection: MFDA hearing panels (Section 19.9 of By-law No. 1)
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2007-07-20 |
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Request for Comment MFDA - Handling Client Complaints (Policy 3)
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2007-07-13 |
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Notice of Non-Objection: MFDA information reporting requirements, notification of changes in registration information and consequential amendments (Policy Nos. 3 and 6 and Rules 1.2.5 and 1.2.6)
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2007-06-08 |
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Notice of BCSC Non-Objection to Housekeeping Amendment to MFDA By-law No. 1, Section 1 Preamble to Definitions
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2006-12-21 |
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Notice of BCSC Non-Objection to Housekeeping Amendment to MFDA By-law No. 1 Definition of Control
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2006-12-21 |
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Notice of BCSC Non-Objection to Housekeeping Amendment to MFDA Rule 1.2.4 Currency of Courses
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2006-12-21 |
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Notice of Non-Objection: MFDA Calculation of Risk Adjusted Capital (Rules 3.2.2, 3.2.5, and Form 1)
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2006-12-01 |
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Request for Comment: MFDA Proposed Policy 6 - Information Reporting Requirements, Notification of Change in Registration Information (Rule 1.2.5) and Consequential Amendments
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2006-10-27 |
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Request for Comment: MFDA - Suspensions in Certain Circumstances (Section 24.3 of By-law No.1) and Related Provisions of By-law No.1
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2006-10-27 |
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Request for Comment: MFDA - Hearing Panels (Section 19.9 of By-law No.1)
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2006-10-27 |
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Request for Comment: MFDA Calculation of Risk Adjusted Capital (Rules 3.2.2, 3.2.5, and Form 1)
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2006-07-28 |
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