Securities Law & Instruments

23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services

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History of 23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services
April 13, 2017 Unofficial Consolidation: NI 23-102 Use of Client Brokerage Commissions, effective February 1, 2017
June 1, 2015 Unofficial Consolidation: NI 23-102 Use of Client Brokerage Commissions
January 15, 2015 Amendments to NI 23-102 Use of Client Brokerage Commissions, NI 24-101 Institutional Trade Matching and Settlement, NI 81-107 Independent Review Committee for Investment Funds, and NI 11-102 Passport System
January 9, 2015 Notice of Ministerial Approval: Amendments to National Instrument 31-103 Registration Requirements, Exemptions And Ongoing Registrant Obligations And Related Instruments
December 25, 2009 NI 23-102 Use of Client Brokerage Commissions
December 25, 2009 Notice of Ministerial Approval: NI 23-102 Use of Client Brokerage Commissions
October 9, 2009 NI 23-102 Use of Client Brokerage Commissions and Companion Policy 23-102CP
October 9, 2009 Notice of Approval of NI 23-102 Use of Client Brokerage Commissions and Proposed Consequential Amendments
October 6, 2009 Notice of National Instrument 23-102 Use of Client Brokerage Commissions and Companion Policy 23-102CP
January 11, 2008 Notice of Proposed National Instrument: NI - 23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services
Comments Received
July 21, 2006 Notice of Proposed National Instrument: NI - 23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services
Comments Received