Member Regulation Notices are intended to assist Members and their Approved Persons in the interpretation, application of and compliance with MFDA By-laws and Rules. Notices set out MFDA staff's interpretation of how to comply with requirements under MFDA By-laws and Rules. Unlike MFDA By-laws and Rules, Member Regulation Notices are not prescriptive and are intended to provide guidance only. Members may adopt an approach to complying with a requirement under a MFDA By-law or Rule which differs from staff's interpretation as set out in a Member Regulation Notice provided such an approach fully satisfies the principle and objective of the By-law or Rule. As non-binding instruments, Member Regulation Notices are not subject to the approval of the MFDA Board of Directors or the recognizing securities commissions, however all Member Regulation Notices are referred to the MFDA Policy Advisory Committee to obtain industry input and comment before issuance.

Document	Language
MR-0079 – Approved Person Transfers (issued March 4, 2011)
MR-0078 – MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records) (issued February 22, 2011)
MR-0077 – Approved Person Proficiency Requirements (issued December 7, 2010)
MR-0076 – Performance Reporting (issued December 3, 2010)
MR-0075 – Relationship Disclosure (issued December 3, 2010)
MR-0074 – Leverage Risk Disclosure (issued April 6, 2010, reissued May 19, 2010)
MR-0073 – Complaint Handling - MFDA Policy No. 3 (issued April 6, 2010)
MR-0072 – Payment of Commissions to Unregistered Corporation (issued March 29, 2010)
MR-0071 – Referral Arrangements with Other Securities Registrants (issued February 10, 2009)
MR-0070 – Misleading Communications Regarding Leverage (issued May 12, 2008)
MR-0069 – Suitability Guidelines (issued April 14, 2008)
MR-0068 – Servicing of Client Accounts in Transition (issued March 20, 2008)
MR-0067 – Stealth Advising (issued November 14, 2007)
MR-0066 – Prohibition on Use of Pre-signed Forms (Issued October 31, 2007)
MR-0065 – Churning (Issued October 4, 2007)
MR-0064 – Maintaining Evidence of Disclosure (Issued August 22, 2007)
MR-0063 – Extension to Effective Date of Acceptable Securities Locations Requirement (Issued June 18, 2007)
MR-0062 – Exempt Securities of Non-Arm's Length Issuers (Issued May 24, 2007)
MR-0061 – Member Obligations Regarding Outsourcing (Issued February 14, 2007)
MR-0060 – Penalty Guidelines (Issued January 18, 2007)
MR-0059 – Complaint Handling Obligations (Replaced by MR-0073) (Issued December 20, 2006)
MR-0058 – Acceptable Securities Locations (Issued December 14, 2006)
MR-0057 – Joint Regulatory Notice on the Role of Compliance and Supervision (Issued December 5, 2006)
MR-0056 – Business Continuity Planning (Issued October 23, 2006)
MR-0055 – Undivided Interests in Land (Issued July 06, 2006)
MR-0054 – Conflicts of Interest – MFDA Rule 2.1.4 (Issued June 22, 2006)
MR-0053 – Obligation of Members to Communicate Regulatory Information to Approved Persons and Relevant Employees (Issued December 29, 2005)
MR-0052 – MFDA Financial Questionnaire and Report - Basis of Presentation Note Disclosure (Issued December 22, 2005)
MR-0051 – Capital Provisions for Unresolved Differences in Nominee Name Assets (Issued December 22, 2005)
MR-0050 – Related Member Guarantees (Issued: December 22, 2005)
MR-0049 – Charitable Donation Programs (Issued December 5, 2005)
MR-0048 – Know-Your-Product (Issued: October 31, 2005)
MR-0047 – Personal Financial Dealings With Clients (Issued October 3, 2005)
MR-0046 – Out of Province Registration - Multilateral Instrument 11-101 - Principal Regulator System (Issued September 29, 2005)
MR-0045 – Joint Representative Codes (Issued September 19, 2005)
MR-0044 – Member Obligations Regarding Service Providers (Issued July 6, 2005)
MR-0043 – Referral Arrangements in Respect of Specific Securities (Issued July 5, 2005)
MR-0042 – Limited Trading Authorizations and Intermediary Accounts (Issued: June 16, 2005)
MR-0041 – Automatic Conversion of Deferred Sales Charge to 0% - Front End Load Units Without Client Knowledge or Consent (Issued: June 8, 2005)
MR-0040 – Outside Business Activities (Issued: May 20, 2005)
MR-0039 – Implementation Date for Revised Limited Trading Authorization Form for New Accounts (Individual and Joint) (Issued: April 26, 2005)
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)
MR-0037 – Compliance Responsibilities (Issued: March 16, 2005)
MR-0036 – MFDA Access to Information - Service Arrangements and Introducing/Carrying Arrangements (Issued December 21, 2004)
MR-0035 – Recording and Maintaining Evidence of Client Trade Instructions (Issued December 10, 2004)
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.)
MR-0033 – Websites of Approved Persons of MFDA Members (Issued November 22, 2004)
MR-0032 – MFDA Rule 1.1.7 - Use of Business, Style or Trade Names by Members and Approved Persons (Issued November 22, 2004)
MR-0031 – Powers of Attorney - Rule 2.3.1 - Exception for Family Members of Approved Persons (Issued October 29, 2004)
MR-0030 – Referral Arrangements (Issued: September 20, 2004)
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)
MR-0028 – Out of Province Registration (Expiration of Transition Period) (Issued: May 21, 2004)
MR-0027 – Notification of Termination of Approved Persons (Issued: March 29, 2004)
MR-0026 - Transition Periods (Issued: February 27, 2004)
MR-0025 – Suitability Obligations for Unsolicited Orders (Issued: February 24, 2004)
MR-0024 – Portfolio Summaries (Issued: February 24, 2004)
MR-0023 – Late Trading and Market Timing (Issued: December 19, 2003)
Joint Regulatory Notice on Federal and Provincial Privacy Legislation
MR-0022 – Out of Province Registration (Issued: October 29, 2003)
MR-0021 – Late Filing Fees (Issued: October 23, 2003)
MR-0020 – Client Complaint Information (Replaced by MR-0073) (Issued: October 21, 2003)
MR-0019 – Member Resignations and Reorganizations (Issued: May 5, 2003)
MR-0018 – Extension of Certain Transition Periods (Issued: April 17, 2003)
MR-0017 – Transfer of Client Accounts (Issued: March 28, 2003)
MR-0016 – Electronic Signatures (Issued: January 23, 2003)
MR-0015 – Electronic Delivery of Documents (Issued: January 23, 2003)
MR-0014 – Supervision Requirements for Licensed Assistants at Branch Offices (Issued: October 2, 2002)
MR-0013 – Undertaking Regarding Retractable Preferred Shares (Issued: July 12, 2002)
MR-0012 – Revised Limited Trading Authorization Form and Guidelines (Replaced by MR-0038) (Replaces MR-0007 and MR-0010) (Issued: April 5, 2002)
MR-0011 – Agency Agreements (Issued: November 28, 2001)
MR-0010 – Amendments to Limited Trading Authorization Form and Guidelines (Replaced by MR-0012; replaces MR-0007) (Issued: November 12, 2001)
MR-0009 – Dual Occupations - Selling Deposit Instruments and Providing Non-Securities-Related Financial Planning Services (Issued: October 1, 2001)
MR-0008 – Policies and Procedures Manual (Issued: March 16, 2001)
MR-0007 – Limited Trading Authorizations (Replaced by MR-0010) (Issued: March 16, 2001)
MR-0006 – Borrowing Money to Buy Securities (Leveraging) (Replaced by MR-0074) (Issued: March 16, 2001)
MR-0005 – Financial Questionnaire and Report - Related Transition Periods (Issued: March 16, 2001)
MR-0004 – Member Fee Guidelines (Issued: March 16, 2001)
MR-0003 – Introducing/Carrying Dealer Arrangements (Issued: March 16, 2001)
MR-0002 – Payment of Commissions to Non-Registered Entities (Replaced by MR-0072) (Issued: May 15, 2001)
MR-0001 – Transition Periods (Replaced by MR-0026) (Issued: March 16, 2001)

Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at membershipservices@mfda.ca, or via telephone at 416-361-6332 or 1-888-466-6332.