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Proposed Consequential Amendments to MFDA Rules and Policy No. 6

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

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.