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Securities Law

11-102 - Passport System [MI Amendment Proposed - Lapsed]

Published Date: 2011-08-19
Rescinded Date: 2012-10-25
Document(s):

Concurrently Published:

1. Multilateral Instrument 11-102 Passport System is amended by this Instrument.

2. Appendix D is amended by repealing the row that contains “Marketplace operation” in the Provision column and substituting the following row:

Marketplace
operation 

 NI 21-101
(only Parts 3, 4, 7, 8, 11 and 13 and sections 5.1(1), 5.1(2), 5.9, 5.10, 6.1, 6.2, 6.3, 6.7, 6.9 and 6.11, as those parts and sections apply to an ATS )

 

 

 

3. Appendix D is amended by adding the following row immediately below the row that contains “Use of client brokerage commissions” in the Provision column:

Electronic trading and direct electronic access to marketplaces

 NI 23-103
(only sections 3(1), 3(2), 3(3)(a) to 3(3)(d), 3(4) to 3(7), 4, 5(2), 6, 7, 8(b), 8(c), 8(e) to 8(h), 9 and 11)

 

 

 

4. The provisions of this Instrument come into force on the dates set out below:
(a) section 2 on *;
(b) section 3 on *.