Part 11 - Administration of UMIR
Defined Terms:
NI 14-101 section 1.1(3) – “securities regulatory authority”
UMIR section 1.1 – “Market Regulator”, “Policy” and “UMIR”
Regulatory History:
In connection with the recognition of IIROC and its adoption of UMIR, the applicable securities commissions approved amendments to Rule 11.2 that came into force on June 1, 2008 to replace the word “Rule” with “provision of UMIR”. See Footnote 1 of Status of Amendments.
Effective December 9, 2013, the applicable securities commissions approved amendments to the French version of UMIR. See IIROC Notice 13-0294 - “Rules Notice – Notice of Approval and Implementation – UMIR – Amendments to the French version of UMIR” (December 9, 2013).
There is no history log for this rule.