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ARTICLE · 16 JANUARY 2013
IIROC Proposes Changes To Disclosure Requirements For Electronic Research Reports
Stikeman Elliott LLP
The released proposed amendments from the Investment Industry Regulatory Organization of Canada to its Dealer Member Rules that would result in the repeal of Dealer Member Rule 3400, Requirement 15 in its entirety and replace it with a requirement that would permit Dealer Members to include in paper based research reports covering more than six issuers, directions as to where the Rule 3400 Disclosures may be found.
CanadaFinance and Banking
