Jan 7, 2011
IIROC Request for Comment Plain language rule re-write project – Dealing with clients, Proposed Rules 3400-3900
Jan 14, 2011
OSC Investor Advisory Panel (“IAP”) Seeks Input
Jan 25, 2011
Limitation on IIROC Enforcement Proceedings
Feb 18, 2011
REPORT – A Decade of Financial Scandals
Feb 25, 2011
Proposed Incorporation of Individual Representatives of Registered Dealers and Advisers
Mar 8, 2011
IIROC Proposals to Implement the Core Principles of the Client Relationship Model
Apr 8, 2011
IIROC Guidance on Advertising and Client Communications
Apr 27, 2011
Ontario Securities Commission Notice 11-765 – 2011-2012 Statement of Priorities (Draft for Comment)
May 13, 2011
Proposed Changes to the CFP Code of Ethics
May 27, 2011
Alpha Exchange Application