<< Return to Rules
| 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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