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Weekly Reports

Updates for the week ending April 20, 2007

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Policies and Instruments

  • BC Notice 2007/19 - Request for comment Proposed Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules and related Universal Market Integrity Rules

    This notice announces the publication of a CSA/RS joint notice requesting comment on a trade-through proposal and proposed amendments to the alternative trading system rules to among other things, more broadly describe the factors to be considered in seeking best execution and establish requirements for non-dealers to gain access to a marketplace.  The comment period expires on July 19, 2007.
     
  • CSA Staff Notice 21-306 - Notice of Filing of Forms 21-101F5 Initial Operation Report For Information Processor

    This CSA staff notice requests comments from market participants on the attached summary of applications for the information processor role and to solicit feedback on a number of specific issues.  The comment period expires on June 4, 2007

News and Events

  • News Release 2007/24 - Foreign Currency Trading Is Not For Novices: Securities regulator warns investors about the risks
  • News Release 2007/25 - Canadian Regulators Seek Comment on Trade-Through Protection, Best Execution and Access to Marketplaces [CSA]

Decisions, Settlements, Hearings, and Temporary Orders

Cease Trade Orders and Revocations

Search for cease trade orders and revocations using  Canadian Securities Administrators National CTO database New window  

Exemptions and MRRS Orders