Alert:
A nationwide postal strike or lockout began on November 15, 2024. Dealer Members must take steps to ensure that document delivery requirements prescribed under CIRO Rules continue to be met.
MFDA Staff Notices
MSN-0085 - MFDA Member Intermediary Arrangements
MSN-0084 - Advance Instructions for Account Rebalancing
MSN-0083 - Account Statement Disclosure Respecting MFDA IPC Coverage
MSN-0082 - Branch Supervision
MSN-0081 - Sale of Principal Protected Notes by Approved Persons of MFDA Members
MSN-0080 - Payment of Interest on Client Cash Held in Trust
MSN-0079 - Approved Person Transfers
MSN-0078 - MFDA Rules 2.4.4 (Transaction Fees or Charges) and 5.1(b)(iv) (Requirement for Records)
MSN-0077 - Approved Person Proficiency Requirements
MSN-0075 - Relationship Disclosure
MSN-0074 - Leverage Risk Disclosure
MSN-0073 - Complaint Handling – MFDA Policy No. 3
MSN-0072 - Payment of Commissions to Unregistered Corporation
MSN-0071 - Referral Arrangements With Other Securities Registrants
MSN-0070 - Misleading Communications Regarding Leverage
MSN-0069 - Know-Your-Client (KYC) and Suitability
MSN-0068 - Servicing of Client Accounts in Transition
MSN-0067 - Stealth Advising
MSN-0066 - Signature Falsification
MSN-0065 - Excessive Trading
MSN-0064 - Maintaining Evidence of Disclosure
MSN-0062 - Exempt Securities of Non-Arm's Length Issuers
MSN-0061 - Member Obligations Regarding Outsourcing
MSN-0060 - Penalty Guidelines
MSN-0058 - Acceptable Securities Locations
MSN-0057 - Joint Regulatory Notice on the Role of Compliance and Supervision
MSN-0056 - Business Continuity Planning
MSN-0055 - Undivided Interests in Land
MSN-0054 - Conflicts of Interest – MFDA Rule 2.1.4 (WITHDRAWN June 30, 2021)
MSN-0052 - MFDA Financial Questionnaire and Report Basis of Presentation Note Disclosure
MSN-0051 - Capital Provisions for Unresolved Differences in Nominee Name Assets
MSN-0050 - Related Member Guarantees (withdrawn March 4, 2013)
MSN-0049 - Charitable Donation Programs
MSN-0048 - Know-Your-Product
MSN-0047 - Personal Financial Dealings with Clients
MSN-0045 - Joint Representative Codes
MSN-0044 - Member Obligations Regarding Service Providers
MSN-0043 - Referral Arrangements in Respect of Specific Securities
MSN-0042 - Limited Trading Authorizations and Intermediary Accounts
MSN-0040 - Outside Activity
MSN-0038 - Revised Limited Trading Authorization Form and Guidelines for Individual and Joint Accounts
MSN-0037 - Compliance Responsibilities
MSN-0036 - MFDA Access to Information – Service Arrangements and Introducing/Carrying Arrangements
MSN-0035 - Recording and Maintaining Evidence of Client Authorization and Trade Instructions
MSN-0033 - Websites of Approved Persons of MFDA Members
MSN-0032 - MFDA Rule 1.1.7 – Use of Business, Style or Trade Names by Members and Approved Persons
MSN-0031 - Control or Authority over the Financial Affairs of a Client – Rule 2.3.1
MSN-0029 - Joint Regulatory Notice – Joint Service and Omnibus Arrangements Between IDA and MFDA Members
MSN-0025 - Suitability Obligations for Unsolicited Orders
MSN-0024 - Portfolio Summaries
MSN-0023 - Late Trading and Market Timing
MSN-Privacy - Joint Regulatory Notice on Federal and Provincial Privacy Legislation
MSN-0021 - Late Filing Fees
MSN-0019 - Member Resignations and Reorganizations
MSN-0017 - Transfer of Client Accounts
MSN-0016 - Electronic Signatures
MSN-0014 - Supervision Requirements for Licensed Assistants at Branch Offices
MSN-0013 - Undertaking Regarding Retractable Preferred Shares
MSN-0011 - Agency Agreements
MSN-0008 - Policies and Procedures Manual
MSN-0003 - Introducing/Carrying Dealer Arrangements