| Canadian Investment Regulatory Organization

Obligation of Members to Communicate Regulatory Information to Approved Persons and Relevant Employees

December 29, 2005

MFDA Financial Questionnaire and Report Basis of Presentation Note Disclosure

December 22, 2005

Capital Provisions for Unresolved Differences in Nominee Name Assets

December 22, 2005

Related Member Guarantees (withdrawn March 4, 2013)

December 22, 2005

Know-Your-Client (KYC) and Suitability

Charitable Donation Programs

December 5, 2005

Know-Your-Product

October 31, 2005

Misleading Communications Regarding Leverage

Referral Arrangements With Other Securities Registrants

February 10, 2009

Personal Financial Dealings with Clients

October 3, 2005

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