| #0291-P |
12/20/07 |
Policy |
Housekeeping Amendments to Form 1 - Financial Questionnaire and Report |
 |
 |
| #0290-M |
12/11/07 |
Resignation |
ING Wealth Management Inc. |
|
|
| #0289-M |
12/11/07 |
Resignation |
JDM Financial Ltd. |
|
|
| #0288-M |
12/10/07 |
Notice of Intention to Resign |
Confident Financial Services (1969) Limited |
|
|
| #0287-M |
12/07/07 |
Notice of Intention to Resign |
QFS Financial Services Ltd. |
|
|
| #0286-M |
12/07/07 |
Membership Information |
Publication of MFDA IPC Working Group Report and MFDA IPC Board of Directors' Response |
|
|
| #0285-M |
12/04/07 |
Membership Information |
2007 Annual General and Special Meeting of Members |
|
|
| #0284-P |
11/20/07 |
Policy |
MFDA Policy Advisory Committee - New Members |
|
|
| #0283-M |
11/20/07 |
Resignation |
Opus 2 Securities Inc. |
|
|
| #0282-P |
11/15/07 |
Policy |
Notice of Exemption Granted Pursuant to Section 37 of By-Law No. 1 |
|
|
| #0281-M |
11/13/07 |
Change of Name |
Monarch Wealth and Investment Group Inc. to Monarch Wealth Corporation |
|
|
| #0280-P |
10/10/07 |
Policy |
Manitoba Securities Commission ("MSC") Staff Notice 2007-37 and Order No. 5494 – Registration Exemption for Salespersons' Corporations |
|
|
| #0279-M |
10/01/07 |
Membership Information |
2007/2008 Financial Filing Deadlines |
|
|
| #0278-C |
09/19/07 |
Compliance |
Algonquin Power Venture Fund – Proposed Conversion of Fund Units |
|
|
| #0277-P |
09/07/07 |
Policy |
Commingling Prohibitions of Part 11 of National Instrument NI 81-102 – Mutual Funds (“NI 81-102”): Blanket Relief Issued by Various Securities Commissions |
|
|
| #0276-M |
08/23/07 |
Notice of Intention to Resign |
Opus 2 Securities Inc. |
|
|
| #0275-P |
08/14/07 |
Policy |
Recognition of the MFDA as a Self-Regulatory Organization in New Brunswick |
|
|
| #0274-P |
08/13/07 |
Policy |
Applications for Membership on Policy Advisory Committee |
|
|
| #0273-M |
08/08/07 |
Membership Information |
The Proceeds of Crime (Money Laundering) and Terrorist Financing Act ("Act") and Regulations ("Regulations") – Changes to Obligations for Reporting Entities (Securities Dealers) |
|
|
| #0272-M |
08/03/07 |
Change of Name |
CWB Canadian Western Financial Ltd. |
|
|
| #0271-M |
08/03/07 |
Notice of Intention to Resign |
ING Wealth Management Inc. |
|
|
| #0270-P |
07/20/07 |
Policy |
Amendments to MFDA By-law No. 1 - Section 19.9 (Hearing Panels) |
|
|
| #0269-M |
07/19/07 |
New Member |
Connor Financial Corporation |
|
|
| #0268-M |
07/10/07 |
Notice of Intention to Resign |
AXA Financial Services Inc. |
|
|
| #0267-M |
07/05/07 |
Change of Name |
Clarica Investco Inc. to Sun Life Financial Investment Services (Canada) Inc. |
|
|
| #0266-P |
07/03/07 |
Policy |
MFDA Policy 6 (Information Reporting Requirements) and amendments to MFDA Policy 3, MFDA Rule 1.2.5 and MFDA Rule 1.2.6 |
|
|
| #0265-P |
06/20/07 |
Policy |
MFDA Policy 6 (Information Reporting Requirements) and Amendments to MFDA Rule 1.2.5, MFDA Rule 1.2.6 and MFDA Policy 3 |
|
|
| #0264-M |
06/11/07 |
Amalgamation |
Assante Financial Management Ltd. and IQON Financial Inc. |
|
|
| #0263-C |
06/04/07 |
Compliance |
Member Regulation Notice MR-0051 (Capital Provisions for Unresolved Differences in Nominee Name Assets) |
|
|
| #0262-P |
06/01/07 |
Policy |
Recognition of the MFDA as a Self-Regulatory Organization in Manitoba |
|
|
| #0261-M |
05/24/07 |
Resignation |
Fiscal Agents Ltd. |
|
|
| #0260-M |
05/15/07 |
Resignation |
Leaders Wealth Management Inc. |
|
|
| #0259-M |
05/14/07 |
Membership Information |
2007 Annual General and Special Meeting of Members |
|
|
| #0258-M |
05/03/07 |
Change of Name |
Agora Financial Services Inc. |
|
|
| #0257-M |
04/24/07 |
Investor Alert |
Suspicious Investment Scheme Operating in Manitoba |
|
|
| #0256-M |
04/23/07 |
New Member |
Carte Wealth Management Inc. |
|
|
| #0255-E |
03/29/07 |
Enforcement |
Regional Councils - Membership Suspension - Merchant Capital Wealth Management Corporation |
|
|
| #0254-M |
03/27/07 |
Resignation |
NBG Securities Inc. |
|
|
| #0253-M |
03/22/07 |
Membership Information |
Address Change - MFDA Prairie Regional Office |
|
|
| #0252-M |
03/22/07 |
New Member |
Steadyhand Investment Funds Inc. |
|
|
| #0251-M |
03/15/07 |
Membership Information |
2006 Year in Review |
|
|
| #0250-M |
03/14/07 |
Membership Information |
Member Regulation Notice MR-0058 |
|
|
| #0249-M |
02/22/07 |
Change of Name |
GP Capital Corporation |
|
|
| #0248-P |
02/22/07 |
Policy |
New National Instrument 31-103 Registration Requirements - CSA Seeking Public Comment |
|
|
| #0247-M |
01/18/07 |
Resignation |
First Leaside Finance Inc. |
|
|
| #0246-P |
01/08/07 |
Policy |
Housekeeping Amendments to MFDA Rule 1.2.4 Currency of Courses and Section 1 of MFDA By-Law No. 1 |
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