MFDA Staff Notices

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MSN-0054 - Conflicts of Interest – MFDA Rule 2.1.4 (WITHDRAWN June 30, 2021)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-0053 - Obligation of Members to Communicate Regulatory Information to Approved Persons and Relevant Employees

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MSN-0050 - Related Member Guarantees (withdrawn March 4, 2013)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-0041 - Automatic Conversion of Deferred Sales Charge to 0% Front End Load Units Without Client Knowledge or Consent

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-0034 - Joint Regulatory Notice – Update to Joint Service and Omnibus Arrangements Between IDA and MFDA Members

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