MFDA Policy No. 1 - New Registrant Training and Supervision (First published February 23, 2001)

1. Supervision Policy, The First 90 Day Period and The Subsequent 90 Day Period amended effective December 11, 2008

MFDA Policy No. 2 - Minimum Standards for Account Supervision (First published February 23, 2001)

1. Transition periods for Client Relationship Model Proposals effective December 3, 2011
2. End of transition periods effective December 3, 2011
3. Amendments reflect the requirements under Rule 2.2.1(f), effective February 22, 2013.

MFDA Policy No. 3 - Complaint Handling, Supervisory Investigations and Internal Discipline (First published February 23, 2001)

1. Complaint Procedure, section 4 amended effective January 13, 2004
2. "Settlement Agreements and Dispositions of Securities-Related Claims" section added effective January 13, 2004
3. Complaint Procedure, section 4; Complaint Reporting, all; and Settlement Agreements and Disposition of Claims sections (i) and (ii) deleted effective July 3, 2007
4. Title, "Handling Client Complaints" renamed "Complaint Handling, Supervisory Investigations and Internal Discipline"; Policy No. 3 reworded in its entirety effective February 1, 2010.

MFDA Policy No. 4 - Internal Control Policy Statements (First published February 23, 2001)

1. MFDA Internal Control Policy Statements 1 through 5 collectively renamed "MFDA Policy No. 4 - Internal Control Policy Statements" effective December 13, 2005
2. MFDA Internal Control Policy Statement 1 – General Matters amended December 11, 2008
3. MFDA Internal Control Policy Statement 4 – Cash and Securities amended April 30, 2012

MFDA Policy No. 6 - Information Reporting Requirements (First published July 3, 2007)

1. Section 4, Approved Person Reporting Requirements, Section 6, General Events to be Reported and Section 7, Reporting of Updates and Resolution of Events amended effective February 1, 2010.
2. Section 14.1 - Consequential amendment resulting from National Instrument 31 - 103 Registration Requirements and Exemptions effective December 3, 2010.

Please note, the above-mentioned amendments are described in Bulletins that can be accessed in English and in French on the Bulletins Page of this website.

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.