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#	Item
571	Microsoft Word - 08_1_20052_59_16PM__Securities Division Warns of Phony Regulators.doc Add to Reading List Source URL: tn.gov Language: English - Date: 2013-02-13 10:39:46 Securities regulation in the United States Securities Economics Finance Canadian securities regulation Government Securities and Exchange Commission Securities Commission of New Zealand International Organization of Securities Commissions Financial regulation
572	November 2, 2011 Mr. Randall W. Roy Associate Director Division of Trading and Markets Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-11-03 09:26:13 Canadian securities regulation U.S. Securities and Exchange Commission Financial regulation Business United States securities law Money Finance Nationally recognized statistical rating organization Structured product
573	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-05-22 13:06:03 Securities Financial system Canadian Investment Manager Professional certification in finance Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Canadian securities regulation Securities Act Exempt market dealer Financial economics Business United States Securities and Exchange Commission
574	Universal Market Integrity Rules Rules & Policies PART 3 – SHORT SELLING 3.1 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-05-09 15:08:40 Financial markets Stock market United States Securities and Exchange Commission United States securities law Securities Act Universal Market Integrity Rules Alternative Trading Systems Short Canadian securities regulation Financial economics Investment Finance
575	List of IIROC Dealer Members by Peer Group (at March 31, 2014) Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-11 15:14:42 Primary dealers CanDeal RBC Dominion Securities Canadian Imperial Bank of Commerce TD Securities Merrill Lynch Investment banks Companies listed on the New York Stock Exchange Mizuho Securities Investment banking Investment Financial services
576	Rules Notice Request for Comments Dealer Member Rules and UMIR Please distribute internally to: Legal and Compliance Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-02-12 15:06:08 Financial system Economy of Canada Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial economics Securities Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organizations United States securities law Financial regulation
577	Recommendation Regarding Relaxing or Modifying Restrictions on General Solicitation in Certain Private Offerings of Securities Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2012-01-09 10:57:13 Regulation D Securities Act U.S. Securities and Exchange Commission Finance Government SEC filing Canadian securities regulation United States Securities and Exchange Commission United States securities law Financial regulation
578	Marketplace Notice Please distribute internally to: Legal and Compliance Trading Desk Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-01-09 10:41:03 Investment Industry Regulatory Organization of Canada Securities Stock market TSX Venture Exchange Canadian securities regulation Financial economics Economy of Canada Canada Financial regulation
579	Marketplace Notice Lynx ATS Contact: Deanna Dobrowsky Vice President, Market Regulation Policy Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2013-11-22 08:11:03 Canadian Securities Administrators TSX Venture Exchange Canadian securities regulation Financial markets Economy of Canada Canada CNSX
580	COMPANION POLICY 23-101CP TO NATIONAL INSTRUMENT[removed]TRADING RULES TABLE OF CONTENTS PART Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-09 12:45:36 United States Securities and Exchange Commission Financial system Stock market Finance Financial markets Securities Act Security Canadian securities regulation Securities Exchange Act United States securities law Financial economics 73rd United States Congress

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