2 - Certain Capital Market Participants

21-101F3 Quarterly Report of Alternative Trading System Activities [F - Rescinded]
Published January 16, 2004
Effective December 1, 2001
Rescinded/Lapsed December 31, 2012
View Word version of 21-101F3 New window 

Amendments:

December 31, 2003 - See BCN 2003/55 Notice of adoption of amendments to National Instrument 21-101 Marketplace Operations and National Instrument 23-101 Trading Rules

Alternative Trading System Name:                                                                     

Period covered by this report:                                   to                               

1.      Identification:

A.      Full name of alternative trading system (if sole proprietor, last, first and middle name):

B.      Name(s) under which business is conducted, if different from item 1A:

C.     Alternative trading system's main street address:

2.      Attach as Exhibit A, a list of all subscribers at any time during the period covered by this report.

3.      Attach as Exhibit B, a list of all securities that were traded on the alternative trading system at any time during the period covered by this report.

4.      (a)        Provide the details requested in the form set out in the chart below for each type of security traded on the alternative trading system for transactions during regular trading hours during the quarter. Enter "None", "N/A" or "0" where appropriate.

         (b)        Provide the details requested in the form set out in the chart below for each type of security traded on the alternative trading system for transactions during after hours trading sessions during the quarter. Enter "None", "N/A" or "0" where appropriate.

Category of Securities

Average Daily Dollar Value of Trading Volume

Total Trading Volume

Total Number of Trades

A.    Exchange-traded securities

        Equity securities

        Preferred securities

        Debt securities

        Options

   

B.    Unlisted debt securities -Government debt securities

        Domestic

        Foreign

   

C.    Unlisted debt securities -

        Corporate debt securities

        Domestic

   

D.    Foreign Exchange-Traded Securities

        Equity securities

        Preferred securities

        Debt securities

        Options

   

E.    Other

Specify types of securities

   

5.      Provide the total trading volume for each security traded on the alternative trading system in the form set out in

the chart below. Enter "None", "N/A" or "0" where appropriate.

Category of Securities

Total Trading Volume for Each Security

A.    Exchange-traded securities

        Equity securities

        [name of securities]

        Preferred securities

        [name of securities]

        Debt securities

        [name of securities]

        Options

        [name of securities]

 

B.    Unlisted debt securities - Government debt securities

        Domestic

        [by issuer and maturity]

        Foreign

        [by issuer and maturity]

 

C.    Unlisted debt securities - Corporate debt securities

        Domestic

        [by issuer and maturity]

 

D.    Foreign Exchange-Traded Securities

        Equity securities

        [name of securities]

        Preferred securities

        [name of securities]

        Debt securities

        [name of securities]

        Options

        [name of securities]

 

E.    Other

Specify securities

 

6.     Attach as Exhibit C, a list of all persons granted, denied, or limited access to the alternative trading system during the period covered by this report, designating for each person (a) whether they were granted, denied, or limited access; (b) the date the alternative trading system took such action; (c) the effective date of such action; and (d) the nature of any denial or limitation of access.

    CERTIFICATE OF ALTERNATIVE TRADING SYSTEM

The undersigned certifies that the information given in this report relating to the alternative trading system is true and correct.

DATED at                                this             day of                                     20   

(Name of alternative trading system)

(Name of director, officer or partner - please type or print)

(Signature of director, officer or partner)

(Official capacity - please type or print)