| Canadian Investment Regulatory Organization

Suitability Obligations for Unsolicited Orders

February 24, 2004

Portfolio Summaries

February 24, 2004

Late Trading and Market Timing

December 19, 2003

Late Filing Fees

October 23, 2003

Joint Regulatory Notice – Update to Joint Service and Omnibus Arrangements Between IDA and MFDA Members

November 30, 2004

Recording and Maintaining Evidence of Client Authorization and Trade Instructions

December 10, 2004

MFDA Access to Information – Service Arrangements and Introducing/Carrying Arrangements

December 21, 2004

Compliance Responsibilities

Limited Trading Authorizations and Intermediary Accounts

Excessive Trading

October 4, 2007

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