Notice from the Office of the Secretary: In the Matter of Julian Robert Ricci

IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c. S.5, AS AMENDED

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IN THE MATTER OF A REQUEST FOR A HEARING AND REVIEW OF A DECISION
OF A HEARING PANEL OF THE INVESTMENT INDUSTRY REGULATORY ORGANIZATION
OF CANADA

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IN THE MATTER OF THE RULES OF INVESTMENT INDUSTRY REGULATORY
ORGANIZATION OF CANADA

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IN THE MATTER OF JULIAN ROBERT RICCI

TORONTO – On October 24, 2014, the Commission issued a Notice of Hearing pursuant to section 21.7 of the Securities Act to consider the Application made by Julian Robert Ricci for a review of the Penalty Decision of the Investment Industry Regulatory Organization of Canada dated June 9, 2014.

The hearing will be held on November 24, 2014 at 10:00 a.m. or as soon thereafter as the hearing can be held at Commission’s offices at 20 Queen Street West, 17th Floor, Toronto, Ontario.

A copy of the Notice of Hearing dated October 24, 2014 and the Application dated July 9, 2014 are available www.osc.gov.on.ca.

OFFICE OF THE SECRETARY
JOSÉE TURCOTTE
ACTING SECRETARY