Securities Law & Instruments

Displaying comments for

Comments Received (comment period closes on September 19, 2014)
September 26, 2014 Cindy Petlock & Joacim Wiklander (Aequitas Neo Exchange Inc.) 208.10Kb
September 25, 2014 Richard Carleton (Canadian Securities Exchange) 285.26Kb
September 24, 2014 Jim Dale (Leede Financial) 141.68Kb
September 19, 2014 Doug Clark (ITG Canada Corp.) 142.67Kb
September 19, 2014 Chi-X Canada ATS Limited 331.86Kb
September 19, 2014 Stephen A. Bain (RBC Capital Markets) 127.62Kb
September 19, 2014 CSTA Trading Issues Committee (Canadian Securities Traders Association Trading, Inc.) 424.58Kb
September 19, 2014 David Panko (TD Securities) 130.72Kb
September 19, 2014 Susan Copland (Investment Industry Association of Canada) 191.84Kb
September 19, 2014 John Reilly (RBC Dominion Securities Inc.) 31.17Kb
September 19, 2014 Cecilia Wong (Canadian Advocacy Council for Canadian CFA Institute Societies) 221.40Kb
September 19, 2014 Daniel Schlaepfer (True North Vantage) 1085.78Kb
September 19, 2014 Sesto Deluca (W.D. Latimer Co. Limited) 459.03Kb
September 19, 2014 Andrew O'Hara (Tradebot Systems, Inc.) 210.60Kb
September 19, 2014 Robert Young (Liquidnet Canada Inc.) 1458.93Kb
September 19, 2014 Thomas Kalafatis (CIBC World Markets Inc.) 87.72Kb
September 19, 2014 Simon A. Romano (Stikeman Elliott LLP) 45.71Kb
September 19, 2014 Katya Malinova & Andreas Park (Department of Economics, University of Toronto) 115.74Kb
September 19, 2014 Myja Miller (Acumen Capital Finance Partners Limited) 496.06Kb
September 19, 2014 Noel Archard (BlackRock Asset Management Canada Limited) 180.51Kb
September 19, 2014 Richard J.A. Millar (Omega Securities Inc.) 363.59Kb
September 19, 2014 Kevan Cowan (TMX Group Limited) 213.32Kb
September 19, 2014 Evan Young & Sean Kersey (Scotia Capital Inc.) 363.03Kb
September 19, 2014 Rizwan Awan & James Ehrensperger (BMO Capital Markets) 258.12Kb
September 17, 2014 Daniel E. Chornous (RBC Global Asset Management) 562.67Kb
September 15, 2014 Etienne Dubuc & Patrick McEntyre (National Bank Financial Inc.) 2953.62Kb
September 15, 2014 Tim Wiggan (TD Asset Management) 328.03Kb
Comments Received (comment period closed June 16, 2011)
July 5, 2011 Randee Pavalow (Alpha Group) eMail 1572.45Kb
June 20, 2011 Thomas Kalafatis (CIBC World Markets Inc.) 1007.81Kb
June 17, 2011 Greg Mills (RBC Dominion Securities Inc.) eMail 64.81Kb
June 16, 2011 Craig Gaskin (TD Asset Management Inc.) 1636.16Kb
June 16, 2011 Chi-X Canada 140.95Kb
June 16, 2011 Torstein Braaten (TriAct Canada Marketplace LP) 82.55Kb
June 16, 2011 Kevan Cowan (TMX Group Inc.) 149.20Kb
June 16, 2011 David Panko (TD Securities) eMail 295.86Kb
June 15, 2011 Cindy Petlock (CNSX Markets Inc.) 153.84Kb
June 14, 2011 Robert Young and Sophia Lee (Liquidnet Canada Inc.) 12316.78Kb
June 14, 2011 Susan Copland (Investment Industry Association of Canada) 110.75Kb
June 13, 2011 Aubrey Baillie (CanDeal) 158.77Kb
Comments Received (comment period closed January 15, 2009)
January 30, 2009 Cindy Petlock (CNSX Markets Inc.) 204.78Kb
January 30, 2009 J. Greg Mills (RBC Dominion Securities) 290.49Kb
January 30, 2009 Ken Hight (Liquidnet Canada Inc.) 2025.24Kb
January 30, 2009 Peter Haynes & Ray Tucker (TD Securities Inc.) 307.75Kb
January 27, 2009 Aubrey Baillie (CanDeal) 179.05Kb
January 21, 2009 Wendy Rudd (TriAct Canada Marketplace) 75.54Kb
January 16, 2009 Mario Josipovic & Greg King (Omega ATS Inc.) 141.26Kb
January 16, 2009 Paul Riccardi (CIBC World Markets) 30.75Kb
January 15, 2009 Daniel E. Chornous (RBC Asset Management Inc. and Phillips, Hager & North Investment Management Ltd.) 51.47Kb
January 15, 2009 Jos Schmitt (Alpha ATS) 2655.69Kb
January 15, 2009 K. J. Klepacki (Chi-X Canada ATS Limited) 896.56Kb
January 15, 2009 Kevan Cowan (TMX Group) 92.42Kb
January 15, 2009 Torstein Braaten (ITG Canada Corp.) 701.66Kb
January 14, 2009 Barbara F. Palk (TD Asset Management Inc.) 401.46Kb
January 14, 2009 James Ehrensperger (BMO Financial Group) 39.66Kb
January 9, 2009 Ian C. W. Russell (Investment Industry Association of Canada) 173.74Kb
December 24, 2008 Sonney Lennon, Eric Kougioumoutzakis, Jesse Janzen, Kate Branscombe, Maxime Tull (Canadian Security Traders Association, Inc.) 38.64Kb
December 15, 2008 Simon Romano (Stikeman Elliott LLP) 282.71Kb
Comments Received (comment period closed July 23, 2007)
July 23, 2007 Scotia Capital Inc. 496.30Kb
July 20, 2007 Judith Robertson & Mario Josipovic (Perimeter Markets Inc.) 172.83Kb
July 19, 2007 Brian Pynn & Spencer MacCosham (Raymond James Ltd) 1839.37Kb
July 19, 2007 Timothy S. Baikie (CNQ) 602.80Kb
July 19, 2007 Daniel E. Chornous & Frank Lippa (RBC Asset Management) 51.53Kb
July 19, 2007 Colin Fraser (Canadian Security Traders Association) 41.31Kb
July 19, 2007 Rik Parkhill (TSX Group) 99.74Kb
July 19, 2007 John Reilly & Kelley J. Hoffer (RBC Dominion Securities) 86.80Kb
July 19, 2007 Ian C. W. Russell (Investment Industry Association of Canada) 116.34Kb
July 19, 2007 Robert Young (Liquidnet Canada Inc.) 858.25Kb
July 18, 2007 Wade Cox (egXCanada) 45.28Kb
Comments Received (comment period closed October 23, 2006)
October 23, 2006 James P. Magee (IDBA) 57.28Kb
October 11, 2006 Hank Cunningham (Blackmont Capital) 44.47Kb
October 11, 2006 Jim Hopkins (Ministry of Finance, British Columbia) 1390.91Kb
Comments Received (comment period closed September 11, 2003)
September 11, 2003 Laurence Rose (CBID) 11.79Kb
September 10, 2003 Joseph J. Oliver (IDA) 90.20Kb
September 4, 2003 Sheryl Kennedy & Bob Hamilton (Bank of Canada) 17.06Kb
September 2, 2003 Jayson Horner (CanDeal) 98.92Kb
July 22, 2003 Simon Romano (Stikeman Elliott) 13.31Kb
Comments Received 3 - closed October 24, 2000
October 20, 2000 Kevin M. Foley (Bloomberg) 38.83Kb
October 20, 2000 Susan Cantlie (CDS) 13.72Kb
October 19, 2000 William L. Hess, Q.C. (CDNX) 50.79Kb
October 19, 2000 Barbara G. Stymiest (TSE) 47.38Kb
October 16, 2000 James P. Magee (Shorcan Brokers Limited) 22.57Kb
October 13, 2000 W. T. Wright (Investors Group) 17.20Kb
October 10, 2000 Joie P. Watts (Instinet Canada Limited) 17.15Kb
October 10, 2000 Gregory L. Davies (ITG Canada Corp.) 18.33Kb
October 10, 2000 Lara Edwards (Groia & Company on behalf of Canadian Security Traders Association, Inc.) 27.79Kb
September 29, 2000 Richard Van Nest (RBC Dominion Securities) - NI - 23-101 - Trading Rules and Companion Policy 23-101CP 7.37Kb
September 29, 2000 Tim Noel & Bob Hamilton (Bank of Canada) 84.71Kb
September 29, 2000 Gerry Rocchi (Barclays Global Investors) 33.81Kb
September 29, 2000 Richard Robicheau (Competition Bureau) 15.30Kb
September 28, 2000 Peter S. Jarvis (Ontario Municipal Employees Retirement System) 9.25Kb
September 28, 2000 Andrea S. Rosen & Mark E. Faircloth (TD Securities) 34.65Kb
September 28, 2000 Robert G. Bertram (Ontario Teachers' Pension Plan Board) 24.01Kb
September 20, 2000 Phipps Lounsbery (IDA Capital Market Committee) 219.30Kb
August 21, 2000 Peter Beck (Swift Trade) 21.63Kb
Comments Received November 24, 1999
November 24, 1999 P. Morgan McCague (Teachers' Pension Plan Board) 27.73Kb
November 2, 1999 Joie P. Watts (Instinet Canada Limited) 41.92Kb
October 14, 1999 W. T. Wright (Investors Group) 19.14Kb
October 13, 1999 Cindy Lewis (Institutional Equity Traders Association) 23.76Kb