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Investment Industry Regulatory Organization of Canada
Results: 695

#	Item
111	Administrative Notice General Dealer Member Rules Contact: Keith Persaud Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-04 09:31:04 Financial economics Financial regulation Investment Industry Regulatory Organization of Canada Tax Underwriting Securities Finance Business
112	IIROC OCRCVM ANDREW J. KRIEGLER Add to Reading List Source URL: ccmr-ocrmc.ca Language: English - Date: 2014-12-19 14:04:01 Canadian securities regulation Business Financial regulation Investment Industry Regulatory Organization of Canada Securities
113	For further information, please contact: Karen Archer Senior Media and Public Affairs Specialist[removed]removed] Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-12-17 10:51:04 Mathematical finance Investment Algorithmic trading High-frequency trading Universal Market Integrity Rules Investment Industry Regulatory Organization of Canada Canadian securities regulation Stock market Market maker Financial markets Financial economics Finance
114	For Immediate Release December 15, 2014 Canadian Securities Regulators Articulate Concerns on Routing Retail Equity Orders to U.S. Dealers Toronto – Members of the Canadian Securities Administrators (CSA) today set out Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-12-15 11:04:47 Financial system Canadian law Canadian securities regulation Canadian Securities Administrators Capital market Investment Industry Regulatory Organization of Canada Securities Commission Autorité des marchés financiers Financial economics Economy of Canada Securities
115	December 4, 2014 IIROC Response The Canadian Securities Administrators (CSA) plays an important oversight role and we appreciate receiving this valuable feedback and analysis of our operations. We are pleased with the fi Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-04 12:16:09 Canadian securities regulation Financial economics Regulatory compliance Business Financial system Financial regulation Investment Industry Regulatory Organization of Canada Securities
116	IIROC’s Debt Transaction Reporting IIROC News Releases, notices and related documents: December 11, 2014 – News Release: IIROC proposes fee model for debt market regulation December 11, 2014 – Administrative Notice Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-12 10:56:04 Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Debt Financial economics Finance Economics
117	The Commission Last updated April 2014 Purpose: The Commission’s mandate is to provide investors with protection from practices and activities that tend to undermine investor confidence in the fairness and efficiency o Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-05-08 08:05:35 73rd United States Congress United States Securities and Exchange Commission Canadian law Canadian securities regulation Finance Securities Securities Act Securities regulation in the United States Investment Industry Regulatory Organization of Canada United States securities law Financial economics Financial system
118	COMPLIANCE ANALYST We’re Investors Group – a Canadian leader in providing personal financial planning services, and dedicated to building lasting client relationships. This is your opportunity to build a career with Add to Reading List Source URL: www.investorsgroup.com Language: English - Date: 2014-10-24 16:44:19 Business Financial adviser Canadian securities regulation Regulatory compliance Financial planner Collective investment scheme Investment Industry Regulatory Organization of Canada Canadian Investment Manager Financial economics Investment Finance
119	Manager, IIROC Compliance _________________________________________________________________________________________________ We’re Investors Group – a Canadian leader in providing personal financial planning services, Add to Reading List Source URL: www.investorsgroup.com Language: English - Date: 2014-10-16 13:56:38 Business Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Financial adviser Regulatory compliance Canadian Investment Manager Financial economics Finance Investment
120	INVESTOR KNOWLEDGE QUIZ A helpful guide to learning Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-10 16:17:51 Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canadian securities regulation Rate of return Business Financial economics Finance Banking in Canada

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