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NEW AND NOTABLE January 15, 2019 IIROC releases Compliance Priorities Report for 2018/19 December 7, 2018 Prince Edward Island strengthens investor protection with passage of Bill 47 November 13, 2018 IIROC to Begin Publishing Bankers’ Acceptance Rates November 8, 2018 National Survey: Investors Support Proposed IIROC Enforcement Alternatives November 2, 2018 IIROC secures greater enforcement authority in Northwest Territories, Nunavut and Yukon IIROC SUBMISSIONS AND LETTERS June 17, 2016 Expert Committee on financial planning — Ontario March 31, 2017 news release: IIROC encouraged by Ontario Government’s support of financial planning recommendations December 1, 2015 Review of mandates of financial services regulators — Ontario IIROC submission tool bar Who We Regulate List of regulated dealer firms List of Exchanges and ATSs Individuals (IIROC AdvisorReport) Rule Book IIROC Dealer Member Rules •Supporting Rule Resources » Regulatory Documents »Agreements » Acceptable Institutions • Form 1 (Financial Report) • Form 2 (New Client Application Form) Universal Market Integrity Rules (UMIR) •Supporting Rule Resources » Circuit Breaker Levels » List of SSCB Stocks » List of Highly Liquid Stocks »List of Acceptable Foreign Trade Reporting Facilities » List of Exempt ETFs » List of Designated Indexes »List of Protected and Unprotected Marketplaces April 2018-March 2019 »List of Protected and Unprotected Marketplaces April 2017-March 2018 »List of Protected and Unprotected Marketplaces July 2016–March 2017 Consolidated Rules Continuing Education Rules Transition Rule •Transition Rule (as at September 1, 2016) •Former Transition Rule Notices All Notices Enforcement Notices Rules Notices •UMIR Notices – All » UMIR Request for Comments » Archived RS Notices • Dealer Rules - All » Request for Comments » Proposed Policy » Archived IDA Notices & Bulletins Membership Notices Marketplace Notices Education Notices Administration Notices Registration Review Hearings News Releases Mos... Read more↗
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|Keywords||iirocshortpositioncalculationand en pdf short position calculation and reporting user guide|
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