2010 Bulletins

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Bulletin #	Date	Type	Description	Language
#0460-C	12/23/10	Compliance	Transition to International Financial Reporting Standards (“IFRS”) – Informational Webinar Posted to MFDA Website
#0459-P	12/03/10	Policy	Transition Periods for MFDA Rule and Policy Amendments Implementing the Client Relationship Model Proposals
#0458-P	12/03/10	Policy	Amendments to MFDA By-law No. 1, Rules and Form 1 – Financial Questionnaire and Report
#0457-M	12/02/10	Member Information	Annual General & Special Meeting of Members
#0456-M	11/29/10	Member Information	Enforcement Activity History Requests
#0455-P	11/23/10	Policy	Proposed New MFDA Rule 2.4.4 (Transaction Fees and Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)
#0454-M	11/10/10	Resignation	Bick Financial Security Corporation
#0453-P	11/02/10	Policy	Proposed Consequential Amendments to MFDA Rules Resulting from National Instrument 31 – 103 Registration Requirements and Exemptions
#0452-M	10/26/10	Member Information	Changes regarding the MFDA Investor Protection Corporation
#0451-M	10/08/10	Resignation	ATB Investment Services Inc. and ATB Securities Inc.
#0450-M	10/08/10	Notice of Intention to Resign	Wealth Advisory Services Ltd.
#0449-M	10/06/10	Resignation	Members Mutual Management Corp.
#0448-M	10/01/10	Change of Name	Sceptre Mutual Fund Dealer Inc. has changed its name to: Fiera Sceptre Funds Inc. / Fonds Fiera Sceptre Inc.
#0447-M	09/13/10	Notice of Intention to Resign	Status Financial Inc.
#0446-P	08/12/10	Policy	MFDA Policy Advisory Committee – New Members
#0445-P	08/16/10	Policy	Proposed Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and MFDA Form 1 – Financial Questionnaire and Report
#0444-P	07/26/10	Policy	Proposed Amendments to 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)
#0443-M	07/21/10	New Member	Greg Pompeo Enterprises Inc.
#0442-P	07/16/10	Policy	Approval of Proposed Amendments to MFDA Rules of Procedure
#0441-M	07/13/10	Resignation	Legacy Associates Inc.
#0440-M	07/06/10	Notice of Intention to Resign	Members Mutual Management Corp.
#0439-P	06/28/10	Policy	Proposed New MFDA Rule 2.4.4 (Transaction Fees or Charges) and Proposed Amendments to MFDA Rule 5.1 (Requirement for Records)
#0438-P	06/28/10	Policy	Proposed Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash)
#0437-M	06/17/10	Membership Information	Request for Comment on Recommendations of MFDA IPC Issues Committee
#0436-P	06/15/10	Policy	Applications for Membership on Policy Advisory Committee
#0435-M	06/09/10	Membership Information	G20 Summit in Toronto
0434-M	06/03/10	Regional Councils	Regional Council Update
#0433-P	05/19/10	Policy	Revisions to MR-0074 Leverage Risk Disclosure and Leverage Supervision Guide
#0432-M	05/04/10	Amalgamation	Brownstone Investment Planning Inc. and Wellington West Financial Services Inc.
#0431-C	04/07/10	Compliance	Leverage Guide, Leverage Review Worksheet & Approved Person Leveraging Analysis Template
#0430-P	04/06/10	Policy	Guide to Creating a Summary of Member Complaint Handling Procedures
#0429-P	03/29/10	Policy	Approval of Proposed Amendments to MFDA Rule 2.4.1 (Payment of Commissions to Unregistered Corporation)
#0428-C	03/22/10	Compliance	Auditor Working Paper Review – Common Deficiencies
#0427-C	03/22/10	Compliance	Significant Financial Compliance Deficiencies Noted During On-site Examinations of Members
#0426-M	03/08/10	Membership Information	Annual General Meeting of Members
#0425-M	02/11/10	Membership Information	Regional Council Nomination and Election Process
#0424-M	02/09/10	Notice of Intention to Resign	Connor Financial Corporation
#0423-M	01/28/10	Notice of Intention to Resign	Gateway Capital Growth Inc.
#0422-P	01/25/10	Policy	Notice of Exemption Granted Pursuant to Section 37 of By-law No.1
#0421-M	01/25/10	Membership Information	Annual General Meeting of Members
#0420-M	01/13/10	Membership Information	Public Directors Appointed to MFDA Board of Directors