Mutual Fund Dealers Association (MFDA)

Rule Review

 Document Published Format
Request for Comment: Proposed Amendments to MFDA Rule 1.2.5 (Misleading Business Titles Prohibited) 2016-10-27  
Request for Comment: Proposed New MFDA Policy No. 8 Proficiency Standard for Approved Persons Selling Exchange Traded Funds (“ETFs”) 2016-06-30  
Notice of BCSC Non-objection to Proposed Amendments to MFDA Rules 1.2 (Individual Qualifications), 1.3 (Outside Activity) and 1.4 (Reporting Requirements) 2016-03-17  
Request for Comment: Proposed Amendments to MFDA Rule 2.3 (Power of Attorney Limited Trading Authorization Discretionary Trading) 2016-03-10  
Housekeeping Amendments to MFDA Rule 5.3 (Client Reporting) and MFDA Policy No. 7 (Performance Reporting) 2015-06-25  
Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 5.3.2 (Content of Account Statement) 2015-06-18  
Mutual Fund Dealers Association of Canada Proposed Amendments to MFDA Rule 1.2 (Individual Qualifications) 2015-06-18  
Notice of BCSC Deemed Non-Objection to Proposed Amendments to MFDA Rule 2.4.2 (Referral Arrangements) 2015-03-19
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) 2014-12-18
Notice of BCSC Non-Objection to Proposed Amendments to MFDA By-law No. 1 and Articles of Continuance 2014-07-03
Request for Comment: Proposed Amendments to MFDA Rules 2.8.3 (Rates of Return), 5.3 (Client Reporting) and 5.4 (Trade Confirmations) 2014-06-12
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.2.5 (Relationship Disclosure), Rule 2.4.4 (Transaction Fees or Charges) and Rule 5.4.2 (Trade Confirmations–Automatic Payment Plans) 2014-05-29
Request for Comment: Proposed Amendments to MFDA Rules 2.2.5 (Relationship Disclosure), 2.4.4 (Transaction Fees or Charges) and 5.4.2 (Trade Confirmations - Automatic Payment Plans) 2013-10-10 ---
Notice of BCSC Non-Objection to Proposed Amendments to MFDA By-law No. 1 (Definitions), Rule 2.5.5 (Branch Manager) and Policy No. 2 Minimum Standards for Account Supervision 2013-09-12 ---
Request for Comment: Proposed Amendments to MFDA By-law No. 1 to Transition to Canada Not-for-profit Corporations Act 2013-07-25 ---
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Rule 2.2.1 (Know-Your-Client) and Policy No. 2 (Minimum Standards for Account Supervision) 2013-02-07 ---
Notice of BCSC Non-Objection to Proposed Amendments to MFDA Form 1 2013-01-31 ---
Request for Comment: Proposed amendments to MFDA By-law No. 1 (Definitions), MFDA Rule 2.5.5 (Branch Manager) and MFDA Policy No. 2 (Minimum Standards for Account Supervision) 2013-01-04 ---
Notice of BCSC Revocation of Non-Objection to Proposed Amendments to Sections 1 (Definitions) and 3 (Directors) of MFDA By-Law No. 1 2012-12-13 ---
Notice of BCSC Non-Objection to Proposed Amendments to Section 1 (Definitions) and 3 (Directors) of MFDA By-law No. 1 2012-10-25 ---
Notice of BCSC Non-Objection to Proposed Public Interest Amendments to MFDA Rule 3.3.2 (Segregation of Client Property – Cash) 2012-04-13 ---
Notice of BCSC Non-Objection to Proposed Public Interest Amendments to MFDA Rule 5.3 – Client Reporting 2012-03-02 ---