Rule Amendments

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Section Title Amendment Date Bulletin No.
1.1.1 Business Structures (a)(i) amended; (a)(ii) added Jan. 7, 2004 0050-M
1.1.3 Service Arrangements (a) amended Dec. 5, 2003 0050-M
1.1.6 Introducing and Carrying Arrangement (a)(iv) amended; (b)(viii)(ix) amended; (x) added; (x)(xi) renumbered Dec. 5, 2003 0050-M
1.1.7 Business Names, Styles, Etc. (d) amended Dec. 5, 2003 0050-M
1.1.7 Business Names, Styles, Etc. amended Nov. 22, 2004 0114-P
1.1.7 Business Names, Styles, Etc. amended Nov. 26, 2008 0344-P
1.2.2 Branch Managers - Proficiency Requirements (a) amended Dec. 5, 2003 0050-M
1.2.4 Currency of Courses (a) amended, renumbered; (a)(i) added; (a)(ii) added; (b) amended, renumbered Jan. 08, 2007 0246-P
1.2.5 Reporting Requirements renamed, amended July 3, 2007 0266-P
1.2.6 Notification of Termination of Approved Persons added Feb. 9, 2004 0058-M
removed July 3, 2007 0266-P
2.1.4 Conflicts of Interest (a) amended; (b) amended, renumbered; (c) amended, renumbered; (d) renumbered Feb. 27, 2006 0186-P
2.2.1 "Know-Your-Client" (c) amended; (d) added Dec. 5, 2003 0050-M
preamble amended Dec. 13, 2005 0178-P
2.2.3 New Account Approval amended Dec. 5, 2003 0050-M
2.3.1 Power of Attorney/LTA (b) added Dec. 5, 2003 0050-M
2.3.1 Power of Attorney/LTA (a) amended; (b) amended Dec. 11, 2008 0346-P
2.3.4 No Discretionary Trading removed Dec. 11, 2008 0346-P
2.4.1 Remuneration, Commissions and Fees (a) amended March 29, 2010 0429-P
    (b) added March 29, 2010 0429-P
    (c) added March 29, 2010 0429-P
2.8.3 Rates of Return (b) added Dec. 5, 2003 0050-M
2.12 Transfers of Account 2.12.1(a); 2.12.2 amended Dec. 5, 2003 0050-M
3.2.1 Client Lending and Margin amended Dec. 5, 2003 0050-M
3.2.2 Member Capital (a) amended; (b) added Dec. 1, 2006 0240-P
3.2.5 Notice Regarding Accelerated Payment of Long Term Debt added Dec. 1, 2006 0240-P
3.4.2 Early Warning (b)(vi) amended Dec. 5, 2003 0050-M
3.4.2 Early Warning (b)(ii)(C) amended Dec. 11, 2008 0346-P
3.4.3 Restrictions amended Dec. 11, 2008 0346-P
3.4.4 Early Warning - Duration amended Aug. 20, 2004 0093-P
3.5.1 Filing Requirements amended Sep. 13, 2004 0097-P
3.5.2 Consolidated Financial Statements amended to Combined Financial Statements Dec. 11, 2008 0346-P
3.5.3 Related Members removed Dec. 11, 2008 0346-P
3.5.4 Members' Auditors renumbered to 3.5.3; (b) amended Dec. 11, 2008 0346-P
3.5.5. Assessments renumbered to 3.5.4 Dec. 11, 2008 0346-P
3.6.1 Audit Requirements amended Dec. 11, 2008 0346-P
3.6.2 Scope (a) amended; (b) amended Dec. 11, 2008 0346-P
3.6.3 Insurance and Subsequent Events renamed to Additional Reporting Dec. 11, 2008 0346-P
3.6.4 Systems Review amended Dec. 11, 2008 0346-P
3.6.5 Retention amended Dec. 11, 2008 0346-P
3.6.7 Reliance amended Dec. 11, 2008 0346-P
4.1 Mail Insurance amended Dec. 10, 2003 0050-M
4.2 Notice of Termination amended Dec. 11, 2008 0346-P
4.3 Termination or Cancellation amended Dec. 11, 2008 0346-P
4.7 Global Financial Institution Bonds (b) amended Dec. 11, 2008 0346-P
5.3.1 Delivery of Account Statements (a)(b)(c) renumbered as (a)(i)(ii)(iii); (c)(d) added Jan. 13, 2004 0050-M

Please note, the Bulletins that describe the above-mentioned amendments can be accessed in English and in French on the Bulletins Page of this web site.



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