MFDA Bulletins Issued in 2010

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

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