| Canadian Investment Regulatory Organization

Joint Representative Codes

September 19, 2005

Member Obligations Regarding Service Providers

Referral Arrangements in Respect of Specific Securities

Automatic Conversion of Deferred Sales Charge to 0% Front End Load Units Without Client Knowledge or Consent

Complaint Handling – MFDA Policy No. 3

Outside Activity

Leverage Risk Disclosure

Relationship Disclosure

December 3, 2010

Approved Person Proficiency Requirements

December 7, 2010

MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)

February 22, 2011

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