Securities Law & Instruments

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Comments Received (comment period closes on September 19, 2014)
Date Comment Letters
September 26, 2014 Cindy Petlock & Joacim Wiklander (Aequitas Neo Exchange Inc.)
September 25, 2014 Richard Carleton (Canadian Securities Exchange)
September 24, 2014 Jim Dale (Leede Financial)
September 19, 2014 Doug Clark (ITG Canada Corp.)
September 19, 2014 Sesto Deluca (W.D. Latimer Co. Limited)
September 19, 2014 Daniel Schlaepfer (True North Vantage)
September 19, 2014 CSTA Trading Issues Committee (Canadian Securities Traders Association Trading, Inc.)
September 19, 2014 Noel Archard (BlackRock Asset Management Canada Limited)
September 19, 2014 Susan Copland (Investment Industry Association of Canada)
September 19, 2014 Stephen A. Bain (RBC Capital Markets)
September 19, 2014 John Reilly (RBC Dominion Securities Inc.)
September 19, 2014 Andrew O'Hara (Tradebot Systems, Inc.)
September 19, 2014 Cecilia Wong (Canadian Advocacy Council for Canadian CFA Institute Societies)
September 19, 2014 David Panko (TD Securities)
September 19, 2014 Myja Miller (Acumen Capital Finance Partners Limited)
September 19, 2014 Rizwan Awan & James Ehrensperger (BMO Capital Markets)
September 19, 2014 Thomas Kalafatis (CIBC World Markets Inc.)
September 19, 2014 Evan Young & Sean Kersey (Scotia Capital Inc.)
September 19, 2014 Robert Young (Liquidnet Canada Inc.)
September 19, 2014 Katya Malinova & Andreas Park (Department of Economics, University of Toronto)
September 19, 2014 Richard J.A. Millar (Omega Securities Inc.)
September 19, 2014 Kevan Cowan (TMX Group Limited)
September 19, 2014 Chi-X Canada ATS Limited
September 19, 2014 Simon A. Romano (Stikeman Elliott LLP)
September 17, 2014 Daniel E. Chornous (RBC Global Asset Management)
September 15, 2014 Etienne Dubuc & Patrick McEntyre (National Bank Financial Inc.)
September 15, 2014 Tim Wiggan (TD Asset Management)
Comments Received (comment period closed June 16, 2011)
Date Comment Letters
July 5, 2011 Randee Pavalow (Alpha Group) eMail
June 20, 2011 Thomas Kalafatis (CIBC World Markets Inc.)
June 17, 2011 Greg Mills (RBC Dominion Securities Inc.) eMail
June 16, 2011 Chi-X Canada
June 16, 2011 David Panko (TD Securities) eMail
June 16, 2011 Torstein Braaten (TriAct Canada Marketplace LP)
June 16, 2011 Craig Gaskin (TD Asset Management Inc.)
June 16, 2011 Kevan Cowan (TMX Group Inc.)
June 15, 2011 Cindy Petlock (CNSX Markets Inc.)
June 14, 2011 Robert Young and Sophia Lee (Liquidnet Canada Inc.)
June 14, 2011 Susan Copland (Investment Industry Association of Canada)
June 13, 2011 Aubrey Baillie (CanDeal)
Comments Received (comment period closed January 15, 2009)
Date Comment Letters
January 30, 2009 Cindy Petlock (CNSX Markets Inc.)
January 30, 2009 J. Greg Mills (RBC Dominion Securities)
January 30, 2009 Ken Hight (Liquidnet Canada Inc.)
January 30, 2009 Peter Haynes & Ray Tucker (TD Securities Inc.)
January 27, 2009 Aubrey Baillie (CanDeal)
January 21, 2009 Wendy Rudd (TriAct Canada Marketplace)
January 16, 2009 Mario Josipovic & Greg King (Omega ATS Inc.)
January 16, 2009 Paul Riccardi (CIBC World Markets)
January 15, 2009 Daniel E. Chornous (RBC Asset Management Inc. and Phillips, Hager & North Investment Management Ltd.)
January 15, 2009 Jos Schmitt (Alpha ATS)
January 15, 2009 K. J. Klepacki (Chi-X Canada ATS Limited)
January 15, 2009 Kevan Cowan (TMX Group)
January 15, 2009 Torstein Braaten (ITG Canada Corp.)
January 14, 2009 Barbara F. Palk (TD Asset Management Inc.)
January 14, 2009 James Ehrensperger (BMO Financial Group)
January 9, 2009 Ian C. W. Russell (Investment Industry Association of Canada)
December 24, 2008 Sonney Lennon, Eric Kougioumoutzakis, Jesse Janzen, Kate Branscombe, Maxime Tull (Canadian Security Traders Association, Inc.)
December 15, 2008 Simon Romano (Stikeman Elliott LLP)
Comments Received (comment period closed July 23, 2007)
Date Comment Letters
July 23, 2007 Scotia Capital Inc.
July 20, 2007 Judith Robertson & Mario Josipovic (Perimeter Markets Inc.)
July 19, 2007 Brian Pynn & Spencer MacCosham (Raymond James Ltd)
July 19, 2007 Timothy S. Baikie (CNQ)
July 19, 2007 Daniel E. Chornous & Frank Lippa (RBC Asset Management)
July 19, 2007 Colin Fraser (Canadian Security Traders Association)
July 19, 2007 Rik Parkhill (TSX Group)
July 19, 2007 John Reilly & Kelley J. Hoffer (RBC Dominion Securities)
July 19, 2007 Ian C. W. Russell (Investment Industry Association of Canada)
July 19, 2007 Robert Young (Liquidnet Canada Inc.)
July 18, 2007 Wade Cox (egXCanada)
Comments Received (comment period closed October 23, 2006)
Date Comment Letters
October 23, 2006 James P. Magee (IDBA)
October 11, 2006 Hank Cunningham (Blackmont Capital)
October 11, 2006 Jim Hopkins (Ministry of Finance, British Columbia)
Comments Received (comment period closed September 11, 2003)
Date Comment Letters
September 11, 2003 Laurence Rose (CBID)
September 10, 2003 Joseph J. Oliver (IDA)
September 4, 2003 Sheryl Kennedy & Bob Hamilton (Bank of Canada)
September 2, 2003 Jayson Horner (CanDeal)
July 22, 2003 Simon Romano (Stikeman Elliott)
Comments Received 3 - closed October 24, 2000
Date Comment Letters
October 20, 2000 Kevin M. Foley (Bloomberg)
October 20, 2000 Susan Cantlie (CDS)
October 19, 2000 William L. Hess, Q.C. (CDNX)
October 19, 2000 Barbara G. Stymiest (TSE)
October 16, 2000 James P. Magee (Shorcan Brokers Limited)
October 13, 2000 W. T. Wright (Investors Group)
October 10, 2000 Joie P. Watts (Instinet Canada Limited)
October 10, 2000 Gregory L. Davies (ITG Canada Corp.)
October 10, 2000 Lara Edwards (Groia & Company on behalf of Canadian Security Traders Association, Inc.)
September 29, 2000 Richard Van Nest (RBC Dominion Securities) - NI - 23-101 - Trading Rules and Companion Policy 23-101CP
September 29, 2000 Tim Noel & Bob Hamilton (Bank of Canada)
September 29, 2000 Gerry Rocchi (Barclays Global Investors)
September 29, 2000 Richard Robicheau (Competition Bureau)
September 28, 2000 Peter S. Jarvis (Ontario Municipal Employees Retirement System)
September 28, 2000 Andrea S. Rosen & Mark E. Faircloth (TD Securities)
September 28, 2000 Robert G. Bertram (Ontario Teachers' Pension Plan Board)
September 20, 2000 Phipps Lounsbery (IDA Capital Market Committee)
August 21, 2000 Peter Beck (Swift Trade)
Comments Received November 24, 1999
Date Comment Letters
November 24, 1999 P. Morgan McCague (Teachers' Pension Plan Board)
November 2, 1999 Joie P. Watts (Instinet Canada Limited)
October 14, 1999 W. T. Wright (Investors Group)
October 13, 1999 Cindy Lewis (Institutional Equity Traders Association)