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Securities Law

21-101F3 - Quarterly Report of Alternative Trading System Activities [F Proposed - Lapsed]

Published Date: 2000-07-28
Document(s):

NATIONAL INSTRUMENT 21-101

FORM 21-101F3

QUARTERLY REPORT OF ALTERNATIVE TRADING SYSTEM ACTIVITIES

 

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. Provide the total unit and dollar value of transactions in the following securities during regular trading hours. Enter "None", "N/A" or "0" where appropriate.

Category of Securities

Total Unit Volume of
Transactions

Total Dollar Volume of Transactions (Cdn$)

A. Listed shares
Domestic
Foreign

 

 

 

B. Listed debt securities (non-government)
Domestic
Foreign

 

 

 

C. Unlisted shares
Domestic
Foreign

 

 

 

D. Unlisted debt securities (non-government)
Domestic|
Foreign

 

 

 

E. Government debt securities
Domestic
Foreign

 

 

 

F. Listed Options
Domestic
Foreign

 

 

 

G. Unlisted options
Domestic
Foreign

 

 

 

H. Other
Specify types of securities

 

 

5. Provide the total unit and dollar value of transactions in the following securities for after-hours trading. Enter "None", "N/A" or "0" where appropriate.

Category of Securities

Total Unit Volume of
Transactions

Total Dollar Volume of
Transactions (Cdn$)

A. Listed shares
Domestic
Foreign

 

 

 

B. Listed debt securities (non-government
Domestic
Foreign

 

 

 

C. Unlisted shares
Domestic
Foreign

 

 

 

D. Unlisted debt securities (non-government)
Domestic
Foreign

 

 

 

E. Government debt securities
Domestic
Foreign

 

 

 

F. Listed options
Domestic
Foreign

 

 

 

G. Unlisted options
Domestic
Foreign

 

 

 

H. Other
Specify types of 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)