| MR-0071 – Referral Arrangements with Other Securities Registrants (issued February 10, 2009) |
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| MR-0070 – Misleading Communications Regarding Leverage (issued May 12, 2008) |
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| MR-0069 – Suitability Guidelines (issued April 14, 2008) |
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| MR-0068 – Servicing of Client Accounts in Transition (issued March 20, 2008) |
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| MR-0067 – Stealth Advising (issued November 14, 2007) |
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| MR-0066 – Prohibition on Use of Pre-signed Forms (Issued October 31, 2007) |
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| MR-0065 – Churning (Issued October 4, 2007) |
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| MR-0064 – Maintaining Evidence of Disclosure (Issued August 22, 2007) |
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| MR-0063 – Extension to Effective Date of Acceptable Securities Locations Requirement (Issued June 18, 2007) |
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| MR-0062 – Exempt Securities of Non-Arm's Length Issuers (Issued May 24, 2007) |
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| MR-0061 – Member Obligations Regarding Outsourcing (Issued February 14, 2007) |
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| MR-0060 – Penalty Guidelines (Issued January 18, 2007) |
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| MR-0059 – Complaint Handling Obligations (Issued December 20, 2006) |
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| MR-0058 – Acceptable Securities Locations (Issued December 14, 2006) |
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| MR-0057 – Joint Regulatory Notice on the Role of Compliance and Supervision (Issued December 5, 2006) |
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| MR-0056 – Business Continuity Planning (Issued October 23, 2006) |
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| MR-0055 – Undivided Interests in Land (Issued July 06, 2006) |
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| MR-0054 – Conflicts of Interest – MFDA Rule 2.1.4 (Issued June 22, 2006) |
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| MR-0053 – Obligation of Members to Communicate Regulatory Information to Approved Persons and Relevant Employees (Issued December 29, 2005) |
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| MR-0052 – MFDA Financial Questionnaire and Report - Basis of Presentation Note Disclosure (Issued December 22, 2005) |
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| MR-0051 – Capital Provisions for Unresolved Differences in Nominee Name Assets (Issued December 22, 2005) |
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| MR-0050 – Related Member Guarantees (Issued: December 22, 2005) |
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| MR-0049 – Charitable Donation Programs (Issued December 5, 2005) |
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| MR-0048 – Know-Your-Product (Issued: October 31, 2005) |
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| MR-0047 – Personal Financial Dealings With Clients (Issued October 3, 2005) |
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| MR-0046 – Out of Province Registration - Multilateral Instrument 11-101 - Principal Regulator System (Issued September 29, 2005) |
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| MR-0045 – Joint Representative Codes (Issued September 19, 2005) |
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| MR-0044 – Member Obligations Regarding Service Providers (Issued July 6, 2005) |
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| MR-0043 – Referral Arrangements in Respect of Specific Securities (Issued July 5, 2005) |
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| MR-0042 – Limited Trading Authorizations and Intermediary Accounts (Issued: June 16, 2005) |
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| MR-0041 – Automatic Conversion of Deferred Sales Charge to 0% - Front End Load Units Without Client Knowledge or Consent (Issued: June 8, 2005) |
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| MR-0040 – Outside Business Activities (Issued: May 20, 2005) |
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| MR-0039 – Implementation Date for Revised Limited Trading Authorization Form for New Accounts (Individual and Joint) (Issued: April 15, 2005) |
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| MR-0038 – Revised Limited Trading Authorization Form and Guidelines for Individual and Joint Accounts (Refer to MR-0039 for revised Guidelines) (Replaces MR-0012) (Issued: April 15, 2005) |
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| MR-0037 – Compliance Responsibilities (Issued: March 16, 2005) |
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| MR-0036 – MFDA Access to Information - Service Arrangements and Introducing/Carrying Arrangements (Issued December 21, 2004) |
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| MR-0035 – Recording and Maintaining Evidence of Client Trade Instructions (Issued December 10, 2004) |
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MR-0034 – Joint Regulatory Notice - Update to Joint Service and Omnibus Arrangements Between IDA and MFDA Members (Issued November 30, 2004)
(See also OSC Staff Notice 31-712 available on the Ontario Securities Commission's web site and the IDA/MFDA Joint Arrangement Project Report to the OSC.) |
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| MR-0033 – Websites of Approved Persons of MFDA Members (Issued November 22, 2004) |
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| MR-0032 – MFDA Rule 1.1.7 - Use of Business, Style or Trade Names by Members and Approved Persons (Issued November 22, 2004) |
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| MR-0031 – Powers of Attorney - Rule 2.3.1 - Exception for Family Members of Approved Persons (Issued October 29, 2004) |
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| MR-0030 – Referral Arrangements (Issued: September 20, 2004) |
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MR-0029 – Joint Regulatory Notice - Joint Service and Omnibus Arrangements Between IDA and MFDA Members (Issued: June 11, 2004)
(See also OSC Staff Notice 31-712 available on the Ontario Securities Commission's web site) |
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| MR-0028 – Out of Province Registration (Expiration of Transition Period) (Issued: May 21, 2004) |
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| MR-0027 – Notification of Termination of Approved Persons (Issued: March 29, 2004) |
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| MR-0026 - Transition Periods (Issued: February 27, 2004) |
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| MR-0025 – Suitability Obligations for Unsolicited Orders (Issued: February 24, 2004) |
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| MR-0024 – Portfolio Summaries (Issued: February 24, 2004) |
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| MR-0023 – Late Trading and Market Timing (Issued: December 19, 2003) |
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| Joint Regulatory Notice on Federal and Provincial Privacy Legislation |
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MR-0022 – Out of Province Registration (Issued: October 29, 2003)
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MR-0021 – Late Filing Fees (Issued: October 23, 2003)
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MR-0020 – Client Complaint Information (Issued: October 21, 2003)
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MR-0019 – Member Resignations and Reorganizations (Issued: May 5, 2003)
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MR-0018 – Extension of Certain Transition Periods (Issued: April 17, 2003)
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MR-0017 – Transfer of Client Accounts (Issued: March 28, 2003)
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MR-0016 – Electronic Signatures (Issued: January 23, 2003)
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MR-0015 – Electronic Delivery of Documents (Issued: January 23, 2003)
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MR-0014 – Supervision Requirements for Licensed Assistants at Branch Offices (Issued: October 2, 2002)
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MR-0013 – Undertaking Regarding Retractable Preferred Shares (Issued: July 12, 2002)
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MR-0012 – Revised Limited Trading Authorization Form and Guidelines (Replaces MR-0007 and MR-0010) (Issued: April 5, 2002)
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| MR-0011 – Agency Agreements (Issued: November 28, 2001) |
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| MR-0010 – Amendments to Limited Trading Authorization Form and Guidelines (Replaced by MR-0012; replaces MR-0007) (Issued: November 12, 2001) |
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| MR-0009 – Dual Occupations - Selling Deposit Instruments and Providing Non-Securities-Related Financial Planning Services (Issued: October 1, 2001) |
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| MR-0008 – Policies and Procedures Manual (Issued: March 16, 2001) |
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| MR-0007 – Limited Trading Authorizations (Replaced by MR-0010) (Issued: March 16, 2001) |
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| MR-0006 – Borrowing Money to Buy Securities (Leveraging) (Issued: March 16, 2001) |
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| MR-0005 – Financial Questionnaire and Report - Related Transition Periods (Issued: March 16, 2001) |
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| MR-0004 – Member Fee Guidelines (Issued: March 16, 2001) |
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| MR-0003 – Introducing/Carrying Dealer Arrangements (Issued: March 16, 2001) |
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| MR-0002 – Payment of Commissions to Non-Registered Entities (Issued: May 15, 2001) |
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| MR-0001 – Transition Periods (Replaced by MR-0026) (Issued: March 16, 2001) |
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