Section |
Title |
Amendment |
Date |
Bulletin No. |
|---|---|---|---|---|
|
1.1.1 |
Business Structures |
(a)(i) amended; (a)(ii) added |
7-Jan-04 |
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(a)(ii) amended |
21-Jan-21 |
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|
1.1.2 |
Compliance by Approved Persons |
renamed Compliance by Members and Approved Persons; (a) added; (b) amended; (b)(i) added; (b)(ii) added |
7-July-22 |
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|
1.1.3 |
Service Arrangements |
(a) amended |
5-Dec-03 |
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|
1.1.6 |
Introducing and Carrying Arrangement |
(a)(iv) amended; (b)(viii)(ix) amended; (x) added; (x)(xi) renumbered |
5-Dec-03 |
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(b)(viii) amended; (ix) amended; (x) amended; (xi) amended; (xii) renumbered to xiii; (xii) added |
3-Dec-10 |
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|
(b)(viii) end of transition period |
28-Sep-11 |
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|
1.1.7 |
Business Names, Styles, Etc. |
(d) amended |
5-Dec-03 |
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amended |
22-Nov-04 |
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|
amended |
26-Nov-08 |
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|
1.2 |
Individual Qualifications |
Paragraphs (1) Definitions and (2) added |
22-Jul-21 |
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1.2.1 |
Course Requirements |
(a) removed |
3-Dec-10 |
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Salespersons |
(b) renumbered; (c) renumbered; (d) renumbered; (e) renumbered; |
3-Dec-10 |
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|
(a) renamed, renumbered; (b) renumbered; (c) removed; (d) renumbered |
17-Mar-16 |
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|
Compliance with MFDA Requirements |
renamed |
17-Mar-16 |
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|
1.2.2 |
Branch Managers – Proficiency Requirements |
(a) amended |
5-Dec-03 |
|
|
Branch Managers |
removed |
3-Dec-10 |
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|
Reporting Requirements |
added |
3-Dec-10 |
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|
renumbered to 1.4 |
17-Mar-16 |
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|
Registration |
added |
17-Mar-16 |
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|
1.2.3 |
Trading Partners, Directors, Officers and Compliance Officers |
removed |
3-Dec-10 |
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|
Education, Training and Experience |
added |
17-Mar-16 |
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|
amended |
31-Dec-21 |
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|
1.2.4 |
Currency of Courses |
(a) amended, renumbered; (a)(i) added; (a)(ii) added; (b) amended, renumbered |
8-Jan-07 |
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|
Currency of Courses |
removed |
3-Dec-10 |
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|
Training and Supervision |
added |
17-Mar-16 |
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|
Paragraph numbering added; 1) added; 2) amended; |
31-Dec-21 |
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|
1.2.5 |
Notification of Changes in Registration Information |
Amended |
20-Jun-07 |
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Reporting Requirements |
renamed, amended |
3-Jul-07 |
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|
renumbered to 1.2.2 |
3-Dec-10 |
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|
Misleading Business Titles Prohibited |
added |
17-Mar-16 |
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|
Misleading Communications |
renamed; amended |
31-Dec-21 |
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|
1.2.6 |
Notification of Termination of Approved Persons |
added |
9-Feb-04 |
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|
amended |
20-Jun-07 |
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|
removed |
3-Jul-07 |
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|
Continuing Education (CE) |
added |
22-Jul-21 |
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|
1.3 |
Outside Activity |
added |
17-Mar-16 |
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|
1.3.1 |
Definition |
added |
17-Mar-16 |
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1.3.2 |
Requirements for Outside Activity |
added |
17-Mar-16 |
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1.4 |
Reporting Requirements |
renumbered from 1.2.2 |
17-Mar-16 |
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2.1.4 |
Conflicts of Interest |
(a) amended; (b) amended, renumbered; (c) amended, renumbered; (d) renumbered |
27-Feb-06 |
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|
deleted and replaced by 2.1.4 (1) and 2.1.4 (2) |
30-Jun-21 |
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|
2.1.4 (1) |
Identifying, addressing and disclosing material conflicts of interest – Member |
added |
30-Jun-21 |
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2.1.4 (2) |
Identifying, reporting and addressing material conflicts of interest – Approved Person |
added |
30-Jun-21 |
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2.1.5 |
Borrowing From Clients |
new |
31-Dec-21 |
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2.2 |
Client Accounts |
definitions added |
31-Dec-21 |
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2.2.1 |
“Know-Your-Client” |
(c) amended; (d) added |
5-Dec-03 |
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preamble amended |
13-Dec-05 |
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(b) amended; (c) amended; (d)amended; (e) added; (f) added |
3-Dec-10 |
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|
end of transition period |
3-Dec-11 |
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|
(c) amended; (d) amended; (e) amended; (f) added |
22-Feb-13 |
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|
(1)(c ) amended; (d) amended |
31-Dec-21 |
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|
amended. 2.2.1(1) (a) and (b) added; 2.2.1(2) added |
31-Dec-21 |
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|
2.2.2 |
New Accounts |
title amended; (a) added; (b) amended |
3-Dec-10 |
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2.2.3 |
New Account Approval |
amended |
5-Dec-03 |
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|
amended |
3-Dec-10 |
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|
2.2.4 |
Updating Know Your Client Information |
title amended; (a) added; (b) renumbered, amended; (c) added; (d) added; (e) renumbered, amended |
3-Dec-10 |
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|
Updating Client Information |
end of transition period |
3-Dec-11 |
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|
(a)(b)(c) amended; (f)(i)(ii) added |
31-Dec-21 |
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|
2.2.5 |
Relationship Disclosure |
added |
3-Dec-10 |
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|
end of transition period |
28-Sep-11 |
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|
end of transition period |
3-Dec-13 |
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|
(f) amended, (g) amended, (h) added |
15-Jul-14 |
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(h) renumbered to (i); (h) added |
19-Dec-14 |
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|
Know Your Product |
renamed; amended. (Relationship Disclosure becomes 2.2.7) |
31-Dec-21 |
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|
2.2.6 |
Suitability Determination |
new |
31-Dec-21 |
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2.2.7 |
Relationship Disclosure |
(Formerly 2.2.5). (1)(g) amended; (n) added |
31-Dec-21 |
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definitions added; 1) amended; 2) added |
31-Dec-21 |
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|
2.2.8 |
Conditions for Temporary Hold |
new |
31-Dec-21 |
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2.3 |
Power of Attorney/LTA |
Renamed to Control or Authority |
19-Jan-17 |
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2.3.1 |
Power of Attorney/LTA |
(b) added |
5-Dec-03 |
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|
(a) amended; (b) amended |
11-Dec-08 |
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|
2.3.1 |
Control or Authority |
(a) amended; (b) amended; (c) amended |
19-Jan-17 |
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2.3.2 |
Limited Trading Authorization |
removed |
7-July-22 |
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2.3.3 |
Designation |
removed |
7-July-22 |
|
|
2.3.4 |
No Discretionary Trading |
removed |
11-Dec-08 |
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|
2.4.1 |
Remuneration, Commissions and Fees |
(a) amended; (b) added; (c) added |
29-Mar-10 |
|
|
2.4.2 |
Referral Arrangements |
amended |
08-Apr-15 |
|
|
(a) amended |
31-Dec-21 |
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|
2.4.3 |
Service Fees or Charges |
renamed to Operating Charges; (a) amended; |
19-Dec-14 |
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2.4.4 |
Transaction Fees or Charges |
added |
22-Feb-11 |
|
|
amended, (a) added, (b) added, (c) added |
30-May-14 |
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|
amended; (a) amended; (b) amended; (c) amended |
19-Dec-14 |
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|
(d) added; (e) added |
31-Dec-21 |
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|
2.5.2 |
Chief Compliance Officer |
title amended; renumbered to 2.5.3; (a) amended; (b) amended; (c) amended |
3-Dec-10 |
|
|
2.5.2 |
Ultimate Designated Person |
added |
3-Dec-10 |
|
|
2.5.2 |
Compliance Officer |
renumbered to 2.5.3; amended |
3-Dec-10 |
|
|
2.5.3 |
Branch Manager |
renumbered to 2.5.5; (a) amended; (b) added; (c) added; (d) amended; (e) amended |
3-Dec-10 |
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|
2.5.4 |
Maintenance of Supervisory Review Documentation |
renumbered to 2.5.7 |
3-Dec-10 |
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2.5.4 |
Access to Board |
added |
3-Dec-10 |
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|
2.5.5 |
No Delegation |
renumbered to 2.5.8 |
3-Dec-10 |
|
|
Branch Manager |
(a) amended; (b) renumbered to (d); (b) added; (c) added; (d) amended; (e) amended; (f) amended; (g) amended |
12-Sep-13 |
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|
2.5.6 |
Currency of Examination |
added |
3-Dec-10 |
|
|
2.8.3 |
Rates of Return |
(b) added |
5-Dec-03 |
|
|
(a) amended; (b) added; (c) renumbered, amended |
3-Dec-10 |
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|
(a) amended; (c) removed |
15-Jul-16 |
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|
2.11 |
Complaints |
amended |
3-Dec-10 |
|
|
2.12 |
Transfers of Account |
2.12.1(a); 2.12.2 amended |
5-Dec-03 |
|
|
2.13 |
Disclosure of MFDA Membership |
added |
12-Apr-18 |
|
|
3.1.1 |
Minimum Levels |
(a) renumbered, amended; (b) added |
21-Jan-11 |
|
|
3.2.1 |
Client Lending and Margin |
amended |
5-Dec-03 |
|
|
amended; (a), (b) and (c) added |
31-Dec-21 |
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|
3.2.2 |
Member Capital |
(a) amended; (b) added |
1-Dec-06 |
|
|
3.2.5 |
Notice Regarding Accelerated Payment of Long Term Debt |
added |
1-Dec-06 |
|
|
3.3.2 |
Segregation of Client Property – Cash |
(e), (f), (g), (h) removed; (e) added |
30-Apr-12 |
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|
3.4.2 |
Early Warning |
(b)(vi) amended |
5-Dec-03 |
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|
(b)(ii)(C) amended |
11-Dec-08 |
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|
3.4.3 |
Restrictions |
amended |
11-Dec-08 |
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|
3.4.4 |
Early Warning – Duration |
amended |
20-Aug-04 |
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3.5.1 |
Filing Requirements |
amended |
13-Sep-04 |
|
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3.5.2 |
Consolidated Financial Statements |
amended |
11-Dec-08 |
|
|
3.5.3 |
Related Members |
removed |
11-Dec-08 |
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|
3.5.4 |
Members’ Auditors |
renumbered to 3.5.3; (b) amended |
11-Dec-08 |
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3.5.5. |
Assessments |
renumbered to 3.5.4 |
11-Dec-08 |
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3.6.1 |
Audit Requirements |
amended |
11-Dec-08 |
|
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3.6.2 |
Scope |
(a) amended; (b) amended |
11-Dec-08 |
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3.6.3 |
Insurance and Subsequent Events |
renamed to Additional Reporting |
11-Dec-08 |
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3.6.4 |
Systems Review |
amended |
11-Dec-08 |
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3.6.5 |
Retention |
amended |
11-Dec-08 |
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3.6.7 |
Reliance |
amended |
11-Dec-08 |
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4.1 |
Mail Insurance |
amended |
5-Dec-03 |
|
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4.2 |
Notice of Termination |
amended |
11-Dec-08 |
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4.3 |
Termination or Cancellation |
amended |
11-Dec-08 |
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4.7 |
Global Financial Institution Bonds |
(b) amended |
11-Dec-08 |
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|
5.1
|
Requirement for Records
|
(b)(iv) added |
22-Feb-11 |
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(k) through (r) added |
31-Dec-21 |
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(s) added |
31-Dec-21 |
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(b)(v) added; (h) amended |
7-July-22 |
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|
5.3 |
Client Reporting |
(1) definitions added |
15-Jul-15 |
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Extension of transition period |
31-Dec-15 |
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(1) amended; (j) added; (k-m) renumbered |
29-Jun-15 |
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End of transition period |
31-Dec-15 |
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|
5.3 (1) |
Definitions |
5.3(1)(c) amended; 5.3(1)(c)(i) amended; 5.3(1)(c)(ii) amended; 5.3(1)(c)(iii) amended. 5.3(1)(j) deleted; (k) to (m) renumbered |
4-Jan-18 |
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|
5.3.1 |
Delivery of Account Statement |
(a)(b)(c) renumbered as (a)(i)(ii)(iii); (c)(d) added |
13-Jan-04 |
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(a) amended; (c)(vii) amended |
3-Dec-10 |
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|
(a) amended |
2-Mar-12 |
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|
amended; (a) to (d) removed |
19-Dec-14 |
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|
5.3.2 |
Automatic Payment Plans |
deleted |
2-Mar-12 |
|
|
Content of Account Statement |
amended |
15-Jul-15 |
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|
Extension of transition period |
31-Dec-15 |
|||
|
End of transition period |
31-Dec-15 |
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|
(c)(ii)(C) amended; (c)(ii)(H) amended |
4-Jan-18 |
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|
5.3.3 |
Content of Account Statement |
(c)(iii) removed; (c)(iv) renumbered; (c)(v) renumbered; (c)(vi) renumbered |
3-Dec-10 |
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|
renumbered to 5.3.2 |
2-Mar-12 |
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|
Member Business Only |
renamed to Report on Charges and Other Compensation; (1) added; (2) added; (3) added; (4) added; (5) added |
15-Jul-16 |
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|
5.3.4 |
Member Business Only |
renumbered to 5.3.3 |
2-Mar-12 |
|
|
Performance Report |
added |
15-Jul-16 |
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|
5.3.5 |
Account Performance Reporting |
added |
3-Dec-10 |
|
|
proposed Suspension |
20-Oct-11 |
|||
|
suspended |
2-Dec-11 |
|||
|
Delivery of Report on Charges and Other Compensation and Performance Report |
added |
15-Jul-16 |
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|
5.3.6 |
Exempt Market Dealers and Scholarship Plan Dealers – Client Reporting |
added |
19-Dec-14 |
|
|
5.4.2 |
Automatic Payment Plans |
amended |
30-May-14 |
|
|
5.4.3 |
Content |
(a) to (m) amended; (n) added |
15-Jul-16 |
|
|
5.6 |
Record Retention |
amended |
3-Dec-10 |
