23-101CP - Trading Rules [CP - Rescinded]
| Published Date: | 2011-02-09 |
|---|---|
| Effective Date: | 2011-02-01 |
| Rescinded Date: | 2012-07-06 |
| Document(s): |
Concurrently Published:
Table of Contents
PART 1 INTRODUCTION
1.1 Introduction
1.2 Just and Equitable Principles of Trade
PART 1.1 DEFINITIONS
1.1.1 Definition of best execution
PART 2 APPLICATION OF THE INSTRUMENT
2.1 Application of the Instrument
PART3 MANIPULATION AND FRAUD
3.1 Manipulation and Fraud
PART 4 BEST EXECUTION
4.1 Best Execution
PART 5 REGULATORY HALTS
5.1 Regulatory Halts
PART 6 ORDER PROTECTION
6.1 Marketplace Requirements for Order Protection
6.2 Marketplace Participant Requirements for Order Protection
6.3 List of Trade-throughs
6.4 Locked and Crossed Markets
6.5 Anti-Avoidance Provision
PART 7 MONITORING AND ENFORCEMENT
7.1 Monitoring and Enforcement Requirements Set By a Recognized Exchange or Recognized Quotation and Trade Reporting System
7.2 Monitoring and Enforcement Requirements for an ATS
7.3 Monitoring and Enforcement Requirements for an Inter-Dealer Bond Broker
7.4 Monitoring and Enforcement Requirements for a Dealer Executing Trades of Unlisted Debt Securities Outside of a Marketplace
7.5 Agreement Between a Marketplace and a Regulation Services Provider
7.6 Coordination of Monitoring and Enforcement
PART 8 AUDIT TRAIL REQUIREMENTS
8.1 Audit Trail Requirements
8.2 Transmission of Information to a Regulation Services Provider
8.3 Electronic Form