MFDA Policies set minimum industry standards that expand on prescriptive requirements that Members are required to comply with.
|Policy No. 1||March 17, 2016|
New Registrant Training and Supervision
|Policy No. 2||December 31, 2021|
Minimum Standards for Account Supervision
|Policy No. 3||February 1, 2010|
Complaint Handling, Supervisory Investigations and Internal Discipline
|Policy No. 4||April 30, 2012|
Internal Control Policy Statements
|Policy No. 5||January 19, 2017|
Branch Review Requirements
|Policy No. 6||March 17, 2016|
Information Reporting Requirements
|Policy No. 7||January 4, 2018|
|Policy No. 8||July 20, 2017|
Proficiency Standard for Approved Persons selling Exchange Traded Funds (“ETFs”)
|Policy No. 9||December 1, 2021|
Continuing Education (“CE”) Requirements
|Policy No. 10||December 31, 2018|
Disclosure of MFDA Membership
Please click here to view a list of policy amendments.
Questions regarding any aspect of our Rule Book should be directed to Membership Services via e-mail at firstname.lastname@example.org, or via telephone at 416-361-6332 or 1-888-466-6332.