Search results with tag "Rules amp policies"

Rules & Policies - Investment Industry Regulatory ...

Part 6 - Order Entry and Exposure UMIR 6.2-4 September 15, 2017 (April 28, 2010). Guidance: See IIROC Notice 12-0295 – “Specific Questions Related To Dark Liquidity Rule Amendments" (October 9, 2012). Guidance: See IIROC Notice 12-0300 – “Guidance on “Short Sale“ and “Short-Marking Exempt“ Order Designations” (October 11, 2012).

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