Proposed Consequential Amendments to MFDA Rules and Policy No. 6


View PDF of Proposed Consequential Amendments to MFDA Rules and Policy No. 6 PDF

Date published: December 23, 2009
Comment period expires: March 23, 2010

The Commission is publishing for comment for 90 days proposed consequential amendments to the following MFDA Rules and Policy resulting from National Instrument 31-103 Registration Requirements and Exemptions:

1. Rule 1.2 (Proficiency Requirements)
2. Rule 2.4.2 (Referral Arrangements)
3. Rule 2.5 (Minimum Standards of Supervision)
4. Rule 5.3 (Client Reporting)
5. Rule 5.6 (Record Retention)
6. MFDA Policy No. 6 Information Reporting Requirements

The comment period ends on March 23, 2010. Details on the process for submitting comments are included in Section V of the MFDA's notice.