21-101CP - Marketplace Operation [CP - Rescinded]
Published Date: | 2010-02-04 |
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Effective Date: | 2010-01-28 |
Rescinded Date: | 2012-07-06 |
Document(s): |
Table of Contents
PART 1 INTRODUCTION
1.1 Introduction
1.2 Definition of Exchange-Traded Security
PART 2 MARKETPLACE
2.1 Marketplace
PART 3 CHARACTERISTICS OF EXCHANGES, QUOTATION AND TRADE REPORTING SYSTEMS AND ATSs
3.1 Exchange
3.2 Quotation and Trade Reporting System
3.3 Definition of an ATS
3.4 Requirements Applicable to ATSs
PART 4 RECOGNITION AS AN EXCHANGE OR QUOTATION AND TRADE REPORTING SYSTEM
4.1 Recognition as an Exchange or Quotation and Trade Reporting System
PART 5 ORDERS
5.1 Orders
PART 6 FORMS FILED BY MARKETPLACES
6.1 Forms Filed by Marketplaces
6.2 Forms Filed in Electronic Format
PART 7 CERTAIN REQUIREMENTS APPLICABLE ONLY TO EXCHANGES AND QUOTATION AND TRADE REPORTING SYSTEMS
7.1 Access Requirements
7.2 Compliance Rules
7.3 Filing of Rules
PART 8 REQUIREMENTS ONLY APPLICABLE TO ATSs
8.1 Confidential Treatment of Trading Information by ATSs
8.2 Access Requirements
PART 9 INFORMATION TRANSPARENCY REQUIREMENTS FOR EXCHANGE-TRADED SECURITIES
9.1 Information Transparency Requirements for Exchange-Traded Securities
9.2 [Repealed]
PART 10 INFORMATION TRANSPARENCY REQUIREMENTS FOR UNLISTED DEBT SECURITIES
10.1 Information Transparency Requirements for Unlisted Debt Securities
10.2 [Repealed]
10.3 Consolidated Feed
PART 11 MARKET INTEGRATION
11.1 [Repealed]
11.2 [Repealed]
11.3 [Repealed]
11.4 [Repealed]
11.5 Market Integration
PART 12 DISCLOSURE OF TRADING FEES FOR MARKETPLACES
12.1 Disclosure of Trading Fees by Marketplaces
PART 13 RECORDKEEPING REQUIREMENTS FOR MARKETPLACES
13.1 Recordkeeping Requirements for Marketplaces
13.2 Synchronization of Clocks
PART 14 CAPACITY, INTEGRITY AND SECURITY OF MARKETPLACE SYSTEMS
14.1 Capacity, Integrity and Security of Marketplace Systems
PART 15 CLEARING AND SETTLEMENT
15.1 Clearing and Settlement
15.2 Reporting and Settling a Trade
PART 16 INFORMATION PROCESSOR
16.1 Information Processor
16.2 Selection of an Information Processor
16.3 Change to Information