Effective as of September 26, 2014 (the effective …

Revised on March 25, 2009: Best practices for …

This guidance is based on a similar notice issued by the Financial Industry Regulatory Authority (“FINRA”) in April 2005 and findings from …

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RULE 1 INTERPRETATION AND EFFECT

RULE 1 . INTERPRETATION AND EFFECT . 1.1. In these . Rules unless the context otherwise requires, the expression: “ Affiliate ” or “ Affiliated Corporation

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RULE 2900 PROFICIENCY AND EDUCATION: PART I …

RULE 2900 . PROFICIENCY AND EDUCATION: PART I – PROFICIENCY REQUIREMENTS . INTRODUCTION . This Part I outlines the proficiency requirements for Approved Persons.

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RULE 200 MINIMUM RECORDS - Investment …

(c) “market value” of a security means: (i) For securities, precious metals bullion and commodity futures contracts quoted on an active market, the published price quotation using:

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RULE 300 AUDIT REQUIREMENTS

RULE 300 . AUDIT REQUIREMENTS . 300.1. The audit under Rule 16 shall be conducted in accordance with generally accepted auditing standards and shall include a review of the accounting system, the internal accounting and control

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Rule 2600 - Internal Control Policy Statements

RULE 2600 INTERNAL CONTROL POLICY STATEMENTS TABLE OF CONTENTS POLICY STATEMENT Statement 1 - General Matters Statement 2 - Capital Adequacy Statement 3 - Insurance

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For IIROC Dealer Members

Cybersecurity Best Practices Guide For IIROC Dealer Members 2 Table of Contents Executive Summary .....3

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List of IIROC Dealer Members by Peer Group …

Goldman Sachs Canada Inc.* HSBC Securities (Canada) Inc.* Instinet Canada Limited* ITG Canada Corp.* J.P. Morgan Securities Canada Inc.* Jefferies Securities, Inc.

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Rule 3100 - Reporting and Recordkeeping …

RULE 3100 REPORTING AND RECORDKEEPING REQUIREMENTS Introduction This Rule establishes minimum requirements concerning information that registrants are required

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RULE 100 MARGIN REQUIREMENTS

RULE 100 . MARGIN REQUIREMENTS . 100.1. In this Rule 100 and, unless the contrary is specified, in each Rule, Ruling or Form of the Corporation, each term used which is not defined herein or therein, but is defined or used in Form 1

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GOVERNMENT NOTICE DEPARTMENT OF HEALTH …

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LOCAL RULES OF PRACTICE Effective 6.1

Page 4 of 84 Rule 2002‐2. Notice to the United States or Federal Agency ..... 26

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Notice of Eligibility and Rights & Responsibilities ...

Notice of Eligibility and Rights & U.S. Department of Labor Responsibilities Wage and Hour Division (Family and Medical Leave Act) _ OMB Control Number: 1235-0003

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LABOUR RELATIONS AMENDMENT ACT - …

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INTERMITTENT LEAVE UNDER THE FAMILY AND …

Under the FMLA (2004) for a general description of medical certifications and their required content.) When the employee has requested reduced schedule leave, or intermittent leave, because

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SWIFT Message Type Reference

Chapter 3 Section 3.2 Using the SWIFT OTD Library SWIFT Message Type Reference SWIFT OTD Library User’s Guide 18 Sun Microsystems, Inc. 3.2.2 Category 2 Messages Table 3 lists the Category 2 message types, Fina ncial Institution Transf ers, with the type

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National Credit Amendment Act - is

4 No. 37665 GOVERNMENT GAZETTE, 19 May 2014 Act No. 19 of 2014 National Credit Amendment Act, 2014 (f) by the insertion after the definition of ‘‘pawn transaction’’of the following

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Attorneys Amendment Act - SAFLII

4 . No.l1939 GOVERNMENT GAZETTE, 14JUNE 1989 Act No. 87, 1989 ATIORNEYS AMENDMENT ACf, 1989 (d) by the insertion after the …