MSN-0085 - MFDA Member Intermediary Arrangements
MSN-0084 - Advance Instructions for Account Rebalancing
MSN-0083 - Account Statement Disclosure Respecting MFDA IPC Coverage
MSN-0082 - Branch Supervision
MSN-0081 - Sale of Principal Protected Notes by Approved Persons of MFDA Members
MSN-0080 - Payment of Interest on Client Cash Held in Trust
MSN-0079 - Approved Person Transfers
MSN-0078 - MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)
MSN-0077 - Approved Person Proficiency Requirements
MSN-0075 - Relationship Disclosure
MSN-0074 - Leverage Risk Disclosure
MSN-0073 - Complaint Handling – MFDA Policy No. 3
MSN-0071 - Referral Arrangements With Other Securities Registrants
MSN-0070 - Misleading Communications Regarding Leverage
MSN-0069 - Know-Your-Client (KYC) and Suitability
MSN-0068 - Servicing of Client Accounts in Transition
MSN-0067 - Stealth Advising
MSN-0066 - Signature Falsification
MSN-0065 - Excessive Trading
MSN-0064 - Maintaining Evidence of Disclosure
MSN-0062 - Exempt Securities of Non-Arm's Length Issuers
MSN-0061 - Member Obligations Regarding Outsourcing
MSN-0060 - Penalty Guidelines
MSN-0058 - Acceptable Securities Locations
MSN-0057 - Joint Regulatory Notice on the Role of Compliance and Supervision
MSN-0056 - Business Continuity Planning
MSN-0055 - Undivided Interests in Land
MSN-0054 - Conflicts of Interest – MFDA Rule 2.1.4 (WITHDRAWN June 30, 2021)
MSN-0052 - MFDA Financial Questionnaire and Report Basis of Presentation Note Disclosure
MSN-0051 - Capital Provisions for Unresolved Differences in Nominee Name Assets
MSN-0050 - Related Member Guarantees (withdrawn March 4, 2013)
MSN-0049 - Charitable Donation Programs
MSN-0048 - Know-Your-Product
MSN-0047 - Personal Financial Dealings with Clients
MSN-0045 - Joint Representative Codes
MSN-0044 - Member Obligations Regarding Service Providers
MSN-0043 - Referral Arrangements in Respect of Specific Securities
MSN-0042 - Limited Trading Authorizations and Intermediary Accounts
MSN-0040 - Outside Activity
MSN-0038 - Revised Limited Trading Authorization Form and Guidelines for Individual and Joint Accounts
MSN-0037 - Compliance Responsibilities
MSN-0036 - MFDA Access to Information – Service Arrangements and Introducing/Carrying Arrangements
MSN-0035 - Recording and Maintaining Evidence of Client Authorization and Trade Instructions
MSN-0033 - Websites of Approved Persons of MFDA Members
MSN-0032 - MFDA Rule 1.1.7 – Use of Business, Style or Trade Names by Members and Approved Persons
MSN-0031 - Control or Authority over the Financial Affairs of a Client – Rule 2.3.1
MSN-0029 - Joint Regulatory Notice – Joint Service and Omnibus Arrangements Between IDA and MFDA Members
MSN-0025 - Suitability Obligations for Unsolicited Orders
MSN-0024 - Portfolio Summaries
MSN-0023 - Late Trading and Market Timing
MSN-Privacy - Joint Regulatory Notice on Federal and Provincial Privacy Legislation
MSN-0021 - Late Filing Fees
MSN-0019 - Member Resignations and Reorganizations
MSN-0017 - Transfer of Client Accounts
MSN-0016 - Electronic Signatures
MSN-0014 - Supervision Requirements for Licensed Assistants at Branch Offices
MSN-0013 - Undertaking Regarding Retractable Preferred Shares
MSN-0011 - Agency Agreements
MSN-0008 - Policies and Procedures Manual
MSN-0003 - Introducing/Carrying Dealer Arrangements