Sort by A -> ZZ -> AOld -> NewNew -> Old Filter Consultations - Any - Open Closed Filter by Consultation Name Sort by A -> ZZ -> AOld -> NewNew -> Old Results: Proposed Amendments Respecting the Codification of Certain UMIR Exemptions Date Opened April 14, 2022 Status Closed Date Closed July 13, 2022 Re-publication of Proposed Derivatives Rule Modernization, Stage 1 Date Opened April 14, 2022 Status Closed Date Closed June 13, 2022 Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements Date Opened January 13, 2022 Status Closed Date Closed April 14, 2022 Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers Date Opened August 31, 2021 Status Closed Date Closed December 29, 2021 Proposed Amendments – IIROC Exemptions for Bulk Account Movements Date Opened October 8, 2020 Status Closed Date Closed December 7, 2020 Consultation Paper — Competency Profiles for Registered Representatives and Investment Representatives, Retail and Institutional Date Opened August 18, 2020 Status Closed Date Closed November 16, 2020 Proposed early adoption of certain IIROC Rules into the Dealer Member Rules Date Opened July 23, 2020 Status Closed Date Closed September 8, 2020 Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC Date Opened October 17, 2019 Status Closed Date Closed November 18, 2019 Proposed Amendments Respecting Non-Clients Date Opened November 5, 2019 Status Closed Date Closed December 4, 2019 Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations Date Opened August 29, 2019 Status Closed Date Closed September 30, 2019 First page « First Previous page ‹ Page 1 Page 2 Current page 3 Page 4 Page 5 Next page › Last page Last »
Proposed Amendments Respecting the Codification of Certain UMIR Exemptions Date Opened April 14, 2022 Status Closed Date Closed July 13, 2022
Re-publication of Proposed Derivatives Rule Modernization, Stage 1 Date Opened April 14, 2022 Status Closed Date Closed June 13, 2022
Proposed Amendments respecting Reporting, Internal Investigation and Client Complaint Requirements Date Opened January 13, 2022 Status Closed Date Closed April 14, 2022
Competency Profiles for Directors, Executives, Ultimate Designated Persons, Chief Compliance Officers, and Chief Financial Officers Date Opened August 31, 2021 Status Closed Date Closed December 29, 2021
Proposed Amendments – IIROC Exemptions for Bulk Account Movements Date Opened October 8, 2020 Status Closed Date Closed December 7, 2020
Consultation Paper — Competency Profiles for Registered Representatives and Investment Representatives, Retail and Institutional Date Opened August 18, 2020 Status Closed Date Closed November 16, 2020
Proposed early adoption of certain IIROC Rules into the Dealer Member Rules Date Opened July 23, 2020 Status Closed Date Closed September 8, 2020
Proposed Amendments Respecting Disclosure of Information by Ombudsman Service to IIROC Date Opened October 17, 2019 Status Closed Date Closed November 18, 2019
Proposed Amendments Respecting Non-Clients Date Opened November 5, 2019 Status Closed Date Closed December 4, 2019
Republication of Proposed Amendments to Dealer Member Rules and Form 1 regarding the securities concentration test and designated rating organizations Date Opened August 29, 2019 Status Closed Date Closed September 30, 2019