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Ch1

Canadian securities industry registrant code of ethics and standards of conduct

1

Ch2

Regulation of the securities industry

2

Ch3

Registrant of securities industry participants

3

Ch4

Account opening procedures

4

Ch5

Sales and trading conduct

5

Ch6

Placing orders for securities

6

Ch7

Cash and margin account rules

7

Ch8

Communications with clients

8

Ch9

Bringing new issues to market

9

Ch10

Take-over bids, insider bids and issuer bids