On January 9, the Investment Industry Regulatory Organization of Canada (IIROC) published guidance regarding the procedures to be followed by a Participant (dealer) wishing to guarantee a trade price for a client order that outperforms a benchmark price.
Tag Archive: dealers
IIROC Releases Guidance Allowing Dealers To Guarantee Trade Prices
Written on January 19, 2012 in Canadian Securities
0 Comments - Leave a comment!
Tags: dealers, IIROC, securities
- Site search
- Subscribe to email updates
- Connect with me
- Recent blog posts
- Are You Running a Personal Services Business?
- Say nothing without your tax advisor present
- Wanted: MFDA and IIROC member assets
- IIROC Releases Guidance Allowing Dealers To Guarantee Trade Prices
- The B.C. Securities Commission Extends Conditions For Registration Of Investment Dealers Trading In U.S. OTC Markets
- Changes Affecting Canada’s Payments and Cards Industry in 2011
- Beneficial Ownership Reports to Be Filed with the SEC by February 14
- B.C. allows personal real estate corporations
- Click below for subject categories>>
- Older blog posts
- February 2012
- January 2012
- December 2011
- November 2011
- October 2011
- September 2011
- August 2011
- July 2011
- June 2011
- May 2011
- April 2011
- March 2011
- February 2011
- January 2011
- December 2010
- November 2010
- October 2010
- September 2010
- August 2010
- July 2010
- June 2010
- May 2010
- April 2010
- March 2010
- February 2010
- January 2010
- December 2009
- November 2009
- October 2009
- September 2009
- August 2009