2006 Bulletins

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Bulletin#	Date	Type	Description
#0245-M	12/20/06	Resignation	Performa Financial Group Limited / Groupe Financier Performa Limitée
#0244-M	12/19/06	Resignation	Avenue Wealth Management Inc.
#0243-M	12/14/06	Resignation	Chartwell Financial Inc.
#0242-M	12/13/06	Resignation	FBANX Securities Inc.
#0241-M	12/13/06	Resignation	Bluestone Financial Corporation
#0240-P	12/08/06	Policy	Amendments to MFDA Rule 3.2.2 (Member Capital) and 3.2.5 (Notice Regarding Accelerated Payment of Long Term Debt) and Amendment to MFDA Financial Questionnaire and Report
#0239-M	12/05/06	Membership Information	2006 Annual General and Special Meeting of Members
#0238-M	11/29/06	Resignation	KidsFutures Investments Inc.
#0237-M	11/28/06	Change of Name	Generation Financial Corp.
#0236-M	11/23/06	Withdrawal of Intention to Resign	Agora Financial Services Inc.
#0235-M	11/23/06	Notice of Intention to Resign	NBG Securities Inc.
#0234-M	11/17/06	Membership Information	Rule 2.4.1 (Payment of Commissions to Non-Registered Entities) - Extension of Transition Period to December 31, 2008
#0233-P	11/13/06	Policy	Recognition of the MFDA as a Self-Regulatory Organization in New Brunswick
#0232-M	11/06/06	Membership Information	Search Feature Added to MFDA Website (www.mfda.ca)
#0231-M	10/27/06	Notice of Intention to Resign	JDM Financial Ltd.
#0230-M	10/27/06	Resignation	META Financial Management Ltd.
#0229-M	10/26/06	Membership Information	2006/2007 Financial Filing Deadlines
#0228-M	10/25/06	Membership Information	Referral Arrangements with Lakeshore Asset Management Inc. and Meridian Global Investors Inc.
#0227-M	10/16/06	Change of Name	Optifund Investments Inc. to Desjardins Financial Security Investment Inc.
#0226-M	10/12/06	Notice of Intention to Resign	KidsFutures Investments Inc.
#0225-M	10/05/06	Amalgamation	FundEx Investments Inc. and FundTrade Financial Corp.
#0224-M	10/04/06	Cease Trade Order	Promittere Retirement Trust & Promittere S&P 500 Limited
#0223-M	10/04/06	New Member	Queen Financial Group Inc.
#0222-M	10/03/06	Notice of Intention to Resign	First Leaside Finance Inc.
#0221-M	10/03/06	Resignation	McKay Financial Management Limited
#0220-P	09/29/06	Membership Termination Bulletin	Ontario Regional Council - Membership Termination Hearings - Olympus United Group Inc. and iForum Financial Services Inc.
#0219-P	09/21/06	Membership Termination Bulletin	Atlantic Regional Council - Membership Termination Hearing - Tandem Wealth Management Inc.
#0218-M	09/13/06	Notice of Intention to Resign	Fiscal Agents Ltd.
#0217-M	09/06/06	Withdrawal of the Intention to Resign	KidsFutures Investments Inc.
#0216-M	08/30/06	Notice of Intention to Resign	Bluestone Financial Corporation
#0215-M	08/24/06	Investor Alert	Clients with On-Line Accounts at IDA Member Firms
#0214-M	08/24/06	Change of Name	Goldstein Snider Investments Inc. to Goldstein Financial Investments Inc.
#0213-M	08/23/06	Notice of Intention to Resign	KidsFutures Investments Inc.
#0212-M	08/17/06	Notice of Intention to Resign	Leaders Wealth Management Inc.
#0211-P	07/28/06	Policy	Notice of Exemption Granted Pursuant to Section 37 of By-law No. 1
#0210-P	07/24/06	Policy	MFDA Policy 5 - Branch Review Requirements
#0209-P	07/24/06	Policy	Notice of Exemption Granted Pursuant to Section 37 of By-law No. 1
#0208-P	07/14/06	Policy	Exemptive Relief from MFDA Rule 3.3.2(e) (Commingling Prohibition)
#0207-M	07/11/06	Notice of Intention to Resign	FBANX Securities Inc.
#0206-P	07/10/06	Policy	Exemptive Relief from MFDA Rule 3.3.2(e) (Commingling Prohibition)
#0205-E	07/05/06	Enforcement	MFDA imposes lifetime ban and $35,000 fine on Ernest Lo
#0204-E	07/05/06	Enforcement	MFDA imposes lifetime ban and $10,000 fine on Donald Kent Coleman
#0203-M	07/05/06	Notice of Intention to Resign	Agora Financial Services Inc.
#0202-E	06/23/06	Enforcement	MFDA imposes lifetime ban and fines on Joseph Van Der Velden and Andrew Stokman
#0201-E	06/23/06	Enforcement	MFDA imposes lifeftime ban and $200,000 fine on Robin Andersen
#0200-E	06/23/06	Enforcement	MFDA imposes lifetime ban and $150,000 fine on Stephan Headley
#0199-P	06/23/06	Policy	Regional Councils - Membership Suspension Hearings
#0198-M	06/15/06	Resignation	The Western Mutual Fund Company Ltd.
#0197-P	06/08/06	Policy	MFDA Policy Advisory Committee - New Members
#0196-P	06/07/06	Policy	Requirements for Registrants in Nova Scotia Engaging or Intending to Engage in a Business or Employment Activity Outside That of the Sponsoring Firm
#0195-P	06/06/06	Policy	Regional Councils - Appointment of Chairs and Vice-Chairs
#0194-P	05/18/06	Policy	Regional Council Update - Election Process Concludes
#0193-C	05/18/06	Compliance	Compliance Examination - Document Request Lists and Examination Questionnaire
#0192-M	04/24/06	Notice of Intention to Resign	McKay Financial Management Limited
#0191-M	04/17/06	Notice of Intention to Resign	Chartwell Financial Inc.
#0190-P	04/13/06	Policy	Regional Council Update - Election Ballot Process for Ontario Region
#0189-M	04/07/06	Notice of Intention to Resign	Performa Financial Group Limited
#0188-P	03/24/06	Policy	Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)
#0187-P	03/02/06	Policy	Regional Council Nomination and Election Process
#0186-P	02/27/06	Policy	Amendments to MFDA Rule 2.1.4 (Conflicts of Interest)
#0185-P	02/15/06	Policy	MFDA Policy Advisory Committee – New Members
#0184-M	02/02/06	Resignation	Capstone Consultants Limited
#0183-C	01/27/06	Compliance	Second Round of Compliance Examinations
#0182-P	01/20/06	Policy	FINTRAC Interpretation Notice No. 3: Opening an Account for a Person or Entity Engaged in the Business of Dealing in Securities Only Outside of Canada
#0181-M	01/11/06	Change of Name	Cameron MacIntosh & Co. Ltd. to MacIntosh Financial Group Ltd.
#0180-M	01/05/06	Notice of Intention to Resign	Merchant Capital Wealth Management Corporation.