| Bulletin # |
Date |
Type |
Description |
Language |
| #0419-P |
12/23/09 |
Policy |
Proposed Consequential Amendments to MFDA Rules Resulting from National Instrument 31 – 103 Registration Requirements and Exemptions |
 |
 |
| #0418-M |
12/22/09 |
Membership Information |
Update re. Proposed amendments to By-law No. 1 |
|
|
| #0417-P |
12/21/09 |
Policy |
Amendments to MFDA Policy No. 3 Complaint Handling, Supervisory Investigations and Internal Discipline |
|
|
| #0416-M |
12/17/09 |
Resignation |
Covenant Financial Inc. |
|
|
| #0415-M |
12/16/09 |
Resignation |
Fidelity Retirement Services Company of Canada Limited |
|
|
| #0414-M |
12/09/09 |
Membership Information |
2010 Financial Filing Deadlines |
|
|
| #0413-M |
12/08/09 |
Resignation |
McLean Budden Funds Inc. |
|
|
| #0412-M |
11/30/09 |
Membership Information |
MFDA Investor Protection Corporation - Revised Coverage Policy and Brochure (Effective January 1, 2010) |
|
|
| #0411-C |
11/26/09 |
Compliance |
International Financial Reporting Standards (“IFRS”) – Follow up to MFDA Bulletin #0378-M, Conversion to IFRS |
|
|
| #0410-M |
11/11/09 |
Membership Information |
Annual General Meeting of Members |
|
|
| #0409-M |
11/11/09 |
Resignation |
Futureworth Financial Planners Corp. |
|
|
| #0408-M |
11/10/09 |
Membership Information |
Public Director Appointed to MFDA Board |
|
|
| #0407-P |
11/05/09 |
Membership Information |
H1N1 Flu |
|
|
| #0406-M |
10/29/09 |
New Member |
Promutuel Capital Financial Services Firm Inc. |
|
|
| #0405-M |
10/27/09 |
Membership Information |
Results of Member Ballot re: Industry Directors |
|
|
| #0404-M |
10/21/09 |
Change of Name |
Blueprint Investment Corp. to TeamMax Investment Corp. |
|
|
| #0403-P |
10/09/09 |
Policy |
National Instrument 31-103: Transitional Relief from Account Statement Delivery Requirements for Certain Exempt Market Dealers |
|
|
| #0402-M |
10/08/09 |
Notice of Intention to Resign |
Fidelity Retirement Services Company of Canada Limited |
|
|
| #0401-M |
10/05/09 |
Membership Information |
Special Meeting of Members |
|
|
| #0400-M |
09/30/09 |
Withdrawal of Intention to Resign |
PDQ Financial Services Inc. |
|
|
| #0399-P |
09/18/09 |
Policy |
National Instrument 31-103 Registration Requirements – Branch Managers |
|
|
| #0398-C |
09/17/09 |
Compliance |
B.E.S.T. Discoveries Fund – Conversion of Fund Units |
|
|
| #0397-M |
09/15/09 |
Notice of Intention to Resign |
Legacy Associates Inc. |
|
|
| #0396-P |
09/15/09 |
Policy |
National Instrument 31-103 Registration Requirements |
|
|
| #0395-C |
09/02/09 |
Compliance |
Policies and Procedures Manual Reference Guide |
|
|
| #0394-P |
08/28/09 |
Policy |
Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 |
|
|
| #0393-M |
08/24/09 |
Notice of Intention to Resign |
McLean Budden Funds Inc. |
|
|
| #0392-P |
08/21/09 |
Policy |
Sections 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 |
|
|
| #0391-P |
08/20/09 |
Policy |
MFDA Rules of Procedure |
|
|
| #0390-M |
08/18/09 |
Membership Information |
Final Report of Task Force on Governance Issues |
|
|
| #0389-P |
07/28/09 |
Policy |
MFDA Policy Development Process |
|
|
| #0388-P |
07/09/09 |
Policy |
Withdrawal of Proposed Amendments to MFDA Rules 1.1.7 (Business Names, Styles, Etc.) and 2.6 (Borrowing for Securities Purchases) and section 25.4 (Other Instruments) of MFDA By-law No. 1 |
|
|
| #0387-M |
07/07/09 |
Membership Information |
Special Meeting of Members |
|
|
| #0386-M |
07/06/09 |
Notice of Intention to Resign |
Bick Financial Security Corporation |
|
|
| #0385-P |
06/26/09 |
Policy |
Section 35 of MFDA By-law No. 1 (No Actions Against the Corporation) |
|
|
| #0384-M |
06/26/09 |
Membership Information |
Report of Task Force on Governance Issues – Comment Solicitation |
|
|
| #0383-M |
06/25/09 |
Resignation |
I.F.S. Securities Inc. |
|
|
| #0382-P |
06/23/09 |
Policy |
Rule 2.4.1 (Payment of Commissions to Unregistered Corporation) |
|
|
| #0381-M |
06/16/09 |
Membership Information |
MFDA Annual Product Questionnaire |
|
|
| #0380-M |
06/16/09 |
Resignation |
Levine Financial Group Inc. |
|
|
| #0379-M |
06/16/09 |
Resignation |
Target Investment Planners Inc. |
|
|
| #0378-M |
06/12/09 |
Membership Information |
Conversion to International Financial Reporting Standards (“IFRS”) – Discussion Paper / Request for Comment |
|
|
| #0377-M |
06/03/09 |
Membership Information |
Request for feedback, Proposed National Registration Search Engine |
|
|
| #0376-M |
06/01/09 |
Notice of Intention to Resign |
Covenant Financial Inc. |
|
|
| #0375-M |
05/20/09 |
Withdrawal of the Intention to Resign |
Excel Financial Growth Inc. |
|
|
| #0374-M |
05/12/09 |
Membership Information |
International Financial Reporting Standards (“IFRS”) Webcast |
|
|
| #0373-P |
05/08/09 |
Policy |
MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) – Correction |
|
|
| #0372-P |
04/28/09 |
Policy |
MFDA Rule 1.2.1(d)(vii) (Dual Occupations – Financial Planning) |
|
|
| #0371-M |
04/28/09 |
Membership Information |
Transfer of Hill & Crawford Investment Management Group Ltd. Client Accounts to Altimum Mutuals Inc. |
|
|
| #0370-P |
04/27/09 |
Policy |
MFDA Rule 2.2 (Client Accounts), Policy No. 2 Minimum Standards for Account Supervision, Rule 2.8 (Client Communications) and Rule 5.3 (Client Reporting) |
|
|
| #0369-M |
04/24/09 |
Membership Information |
2008 Year in Review |
|
|
| #0368-M |
04/21/09 |
Notice of Intention to Resign |
Futureworth Financial Planners Corp |
|
|
| #0367-M |
04/20/09 |
Notice of Intention to Resign |
Excel Financial Growth Inc. |
|
|
| #0366-M |
04/16/09 |
Membership Information |
Task Force on Governance Issues – Comment Solicitation |
|
|
| #0365-M |
03/30/09 |
Membership Information |
Task Force on Governance Issues |
|
|
| #0364-M |
03/27/09 |
Notice of Intention to Resign |
Hill & Crawford Investment Management Group Ltd. |
|
|
| #0363-M |
03/25/09 |
Resignation |
Coast Capital Investments |
|
|
| #0362-P |
03/18/09 |
Policy |
MFDA Policy No. 3 Complaint Handling, Supervisory Investigations and Internal Discipline |
|
|
| #0361-M |
03/16/09 |
Member Information |
MFDA launches new email subscription service |
|
|
| #0360-P |
03/10/09 |
Policy |
Summary of Comments – Principal Protected Notes ("PPNs") |
|
|
| #0359-M |
03/03/09 |
Resignation |
Laurier Capital Planning Inc. |
|
|
| #0358-M |
2/17/09 |
Resignation |
Odyssey Capital Corporation |
|
|
| #0357-E |
2/13/09 |
Membership Suspension |
Regional Councils - Membership Suspension Hearing (IOCT Financial Inc.) |
|
|
| #0356-M |
2/12/09 |
Membership Information |
Matters Arising from the Annual Meeting of MFDA Members |
|
|
| #0355-C |
1/28/09 |
Compliance |
Common Sales Compliance Deficiencies and Appropriate Corrective Action |
|
|
| #0354-P |
01/23/09 |
Policy |
Principal Protected Notes ("PPNs") |
|
|
| #0353-M |
01/14/09 |
Notice of Intention to Resign |
PDQ Financial Services Inc. |
|
|
| #0352-M |
01/09/09 |
Membership Information |
2009 Annual General and Special Meeting of Members |
|
|
| #0351-M |
01/02/09 |
Resignation |
L&A Financial Inc. |
|
|
