21-101 - Marketplace Operation [NI - Rescinded]

Concurrently Published:

• 21-101CP - Marketplace Operation [CP - Rescinded]

Table of Contents

PART  TYPE

PART 1  DEFINITIONS AND INTERPRETATION
1.1  Definitions
1.2  Interpretation - Marketplace
1.3  Interpretation - Affiliated Entity, Controlled Entity and Subsidiary Entity
1.4  Interpretation - Security

PART 2  APPLICATION
2.1  Application

PART 3  EXCHANGE - RECOGNITION
3.1  Application for Recognition
3.2  Change in Information After Recognition

PART 4  QUOTATION AND TRADE REPORTING SYSTEM - RECOGNITION
4.1  Application for Recognition
4.2  Change in Information After Recognition

PART 5  REQUIREMENTS APPLICABLE ONLY TO RECOGNIZED EXCHANGES AND RECOGNIZED QUOTATION AND TRADE REPORTING SYSTEMS
5.1  Access Requirements
5.2  No Restrictions on Trading on Another Marketplace
5.3  Public Interest Rules
5.4  Compliance Rules
5.5  Filing of Rules
5.6  Filing of Annual Audited Financial Statements

PART 6  REQUIREMENTS APPLICABLE ONLY TO ATSs
6.1  Registration
6.2  Registration Exemption Not Available
6.3  Securities Permitted to be Traded on an ATS
6.4  Reporting Requirements
6.5  Ceasing to Carry on Business as an ATS
6.6  Notification of Intent to Carry on Exchange Activities
6.7  Notification of Threshold
6.8  Confidential Treatment of Trading Information
6.9  Name
6.10  Risk Disclosure for Trades in Foreign Exchange-Traded Securities
6.11  Risk Disclosure to Non-Registered Subscribers
6.12  No Restrictions on Trading on Another Marketplace
6.13  Access Requirements

PART 7  INFORMATION TRANSPARENCY REQUIREMENTS FOR MARKETPLACES DEALING IN EXCHANGE-TRADED SECURITIES AND FOREIGN EXCHANGE-TRADED SECURITIES
7.1  Pre-Trade Information Transparency - Exchange-Traded Securities
7.2  Post-Trade Information Transparency - Exchange-Traded Securities
7.3  Pre-Trade Information Transparency - Foreign Exchange-Traded Securities
7.4  Post-Trade Information Transparency - Foreign Exchange-Traded Securities
7.5  Exemption for Options

PART 8  INFORMATION TRANSPARENCY REQUIREMENTS FOR MARKETPLACES  DEALING IN UNLISTED DEBT SECURITIES, INTER-DEALER BOND BROKERS AND DEALERS
8.1  Pre-Trade and Post-Trade Information Transparency Requirements - Government Debt Securities
8.2  Pre-Trade and Post-Trade Information Transparency Requirements - Corporate Debt Securities
8.3  Consolidated Feed - Unlisted Debt Securities
8.4  Compliance with Requirements of an Information Processor
8.5  Filing Requirements for the Information Processor
8.6  Exemption for Government Debt Securities

PART 9  [Repealed]

PART 10 DISCLOSURE OF TRADING FEES FOR MARKETPLACES
10.1  Disclosure of Trading Fees by Marketplaces
10.2  [Repealed]

PART 11 RECORDKEEPING REQUIREMENTS FOR MARKETPLACES
11.1  Business Records
11.2  Other Records
11.3  Record Preservation Requirements
11.4  Means of Record Preservation
11.5   Synchronization of Clocks

PART 12 CAPACITY, INTEGRITY AND SECURITY OF MARKETPLACE SYSTEMS
12.1  System Requirements
12.2  Application

PART 13 CLEARING AND SETTLEMENT
13.1  Clearing and Settlement

PART 14 REQUIREMENTS FOR AN INFORMATION PROCESSOR
14.1  Filing Requirements for an Information Processor
14.2  Change in Information
14.3  Ceasing to Carry on Business as an Information Processor
14.4  Requirements Applicable to an Information Processor
14.5  System Requirements

PART 15 EXEMPTION
15.1  Exemption

PART 16 EFFECTIVE DATE
16.1  Effective Date

FORM 21-101F1 INFORMATION STATEMENT - EXCHANGE OR QUOTATION AND TRADE REPORTING SYSTEM
FORM 21-101F2 INITIAL OPERATION REPORT - ALTERNATIVE TRADING SYSTEM
FORM 21-101F3 QUARTERLY REPORT OF ALTERNATIVE TRADING SYSTEM ACTIVITIES
FORM 21-101F4 CESSATION OF OPERATIONS REPORT FOR ALTERNATIVE TRADING SYSTEM
FORM 21-101F5 INITIAL OPERATION REPORT FOR INFORMATION PROCESSOR
FORM 21-101F6 CESSATION OF OPERATIONS REPORT FOR INFORMATION PROCESSOR