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Securities Law

2 - Certain Capital Market Participants

Document
21-101 Marketplace Operation
21-312 Update on Consultation Paper 21-401 Real Time Market Data Fees
21-315 CSA Staff Notice and Request for Comment 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market
21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market
21-318 Information Processor for Corporate Debt Securities
21-319 Data Fees Methodology
21-320 Update: National Instrument 21-101 Marketplace Operation and Related Companion Policy - Dealing with Government Debt Transparency
21-322 Applicability of Regulation to the Operation of MTFs or OTFs in Canada
21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Proposed Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy
21-325 Follow-up on Marketplace Systems Incidents
21-326 Guidance for Reporting Material Systems Incidents
21-327 Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets
21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities
21-329 Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements
21-330 Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-330 – Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use
21-331 Information Processor for Exchange-Traded Securities other than Options
21-332 Crypto Asset Trading Platforms: Pre-Registration Undertakings
21-333 Crypto Asset Trading Platforms: Terms and Conditions for Trading Value-Referenced Crypto Assets with Clients
21-334 Next Steps to Facilitate Access to Real-Time Market Data
21-401 Real-Time Market Data Fees
21-402 Proposed Framework for Crypto-Asset Trading Platforms
21-403 Access to Real-Time Market Data
21-501 Recognition of Exchanges, Self Regulatory Bodies, and Jurisdictions
21-502 Exemption from Certain Filing Requirements for Out-of-province Alternative Trading Systems
21-504 Exemption from filing period requirement for change in Form 21-101F1 Exhibit N
21-505 Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying On Business in British Columbia
21-602 Canadian Venture Exchange Listings
22-502 Registration by the Investment Industry Regulatory Organization of Canada
22-503 Extension of Relief from National Instrument 21-101 Marketplace Operation - Information Transparency Requirements for Government Debt Securities
23-101 Trading Rules
23-102 Use of Client Brokerage Commissions
23-103 Electronic Trading and Direct Electronic Access to Marketplaces
23-303 Update on Concept Paper 23-402 Best execution and soft dollar arrangements
23-308 Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 “Dark Pools, Dark Orders and Other Developments in Market Structure in Canada” and Next Steps
23-311 Joint CSA/IIROC - Staff Notice 23-311 – Regulatory approach to dark liquidity in the Canadian market
23-312 Request for Comment - Canadian Securities Administrators / Investment Industry Regulatory Organization of Canada Joint Notice 23-312 Transparency of Short Selling and Failed Trades
23-313 Blanket Orders Exempting Marketplace Participants from Certain Provisions of National Instrument 23-103 Electronic Trading and Related OSC Staff Position
23-314 Frequently Asked Questions about National Instrument 23-103 Electronic Trading
23-315 Summary of Comments on CSA/IIROC Notice 23-312 Request for Comments - Transparency of Short Selling and Failed Trades
23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules
23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada
23-321 Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019
23-323 Trading Fee Rebate Pilot Study
23-324 Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020
23-325 Trading Fee Rebate Pilot Study
23-326 Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021
23-327 Update on Internalization within the Canadian Equity Market
23-328 Order Protection Rule: Market Share Threshold for the Period April 1, 2021 to March 31, 2022
23-329 Short Selling in Canada
23-330 Order Protection Rule: Market Share Threshold Effective as of April 1, 2023
23-331 Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets
23-332 Summary of Comments and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada
23-333 Order Protection Rule: Market Share Threshold Effective as of April 1, 2024
23-401 Request for Comment - Proposed Universal Market Integrity Rules of TSE RS and CDNX
23-402 Concept Paper 23-402 Best Execution and Soft Dollar Arrangements
23-403 Market Structure Developments and Trade-Through Obligations
23-404 Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
23-405 Dark Liquidity in the Canadian Market
23-406 Internalization within the Canadian Equity Market
23-501 Exemption from National Instrument 23-103
23-502 Exemption from Certain Requirements in Part 6 of National Instrument 23-101 – Trading Rules
24-101 Institutional Trade Matching and Settlement
24-102 Clearing Agency Requirements
24-301 Responses to comments received on Discussion Paper 24-401 on Straight-through Processing, Proposed National Instrument 24-101 Post-trade Matching and Settlement, and Proposed Companion Policy 24-101CP to National Instrument 24-101 Post-trade Matching and Settlement
24-302 Entitlement Payments to The Canadian Depository for Securities Limited (CDS)
24-303 CSA SRO Oversight Project Review of Oversight of Self-Regulatory Organizations and Market Infrastructure Entities
24-304 CSA-Industry Working Group on National Instrument 24-101 - Institutional Trade Matching and Settlement
24-305 Frequently Asked Questions About National Instrument 24-101 — Institutional Trade Matching and Settlement and Related Companion Policy
24-306 National Instrument 24-101 - Institutional Trade Matching And Settlement — Exception Reporting
24-309 Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba
24-311 Qualifying Central Counterparties
24-312 Preparing for the Implementation of T+2 Settlement
24-313 CSA Staff’s Review of Proposed Amendments to Fee Schedule of The Canadian Depository for Securities Limited (CDS Limited) and CDS Clearing and Depository Services Inc. (CDS Clearing) (collectively, CDS)
24-314 Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms
24-315 Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets
24-316 Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment
24-317 Notice of Relief from Certain Filing Provisions under National Instrument 24-101 Institutional Trade Matching and Settlement
24-318 Preparing for the Implementation of T+1 Settlement
24-319 Regarding National Instrument 24-101 Institutional Trade Matching and Settlement – Update and Staff Recommendation
24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment
24-501 Exemption from the filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement
24-930 Coordinated Blanket Order 24-930 Exemption from certain filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement
25-101 Designated Rating Organizations
25-102 Designated Benchmarks and Benchmark Administrators
25-201 Guidance for Proxy Advisory Firms
25-301 Update on Consultation Paper 25-401
25-302 Matters Relating to CDOR, LIBOR and Other Interest Rate Benchmarks
25-304 Application for Recognition of New Self-Regulatory Organization
25-305 Application for Approval of the New Investor Protection Fund
25-306 Activist Short Selling Update
25-307 Recognition of New Self-Regulatory Organization of Canada
25-308 Approval and Acceptance of Canadian Investor Protection Fund
25-309 Matters Relating to Cessation of CDOR and Expected Cessation of Bankers’ Acceptances
25-310 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds
25-311 2023 Annual Activities Report on the Oversight of Canadian Investment Regulatory Organization and Canadian Investment Protection Fund
25-312 Reminder of Cessation of CDOR on June 28, 2024
25-401 Potential Regulation of Proxy Advisory Firms
25-402 Consultation on the Self-Regulatory Organization Framework
25-403 Activist Short Selling
25-404 New Self-Regulatory Organization Framework
Document
21-101 Marketplace Operation
21-301 Canadian Venture Exchange
21-302 Confidentiality of forms filed under National Instrument 21-101 Marketplace Operation
21-304 Request for filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors
21-305 Extension of Approval of Information Processor
21-306 Notice of Filing of Forms 21-101F5 Initial Operation Report For Information Processor
21-308 Update on Applications to Become an Information Processor
21-309 Information Processor for Exchange-Traded Securities Other Than Options
21-310 Information Processor for Corporate Debt Securities
21-313 Information Processor for Exchange-Traded Securities other than Options
21-314 Information Processor for Corporate Debt Securities
21-316 Information Processor for Corporate Debt Securities
21-324 Information Processor for Exchange-Traded Securities other than Options
21-326 Guidance for Reporting Material Systems Incidents
21-501 Recognition of exchanges, self regulatory bodies, and jurisdictions
21-502 Exemption from Certain Filing Requirements for Out-of-province Alternative Trading Systems
21-503 Exemptions under National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules
21-601 Recognition of Exchanges, Self Regulatory Bodies and Jurisdictions
22-501 Recognition of Exchanges for Trading in Exchange Contracts
22-502 Registration by the Investment Industry Regulatory Organization of Canada
23-101 Trading Rules
23-102 Use of Client Brokerage Commissions
23-103 Electronic Trading
23-301 Electronic Audit Trails
23-302 Joint Regulatory Notice-Electronic Audit Trail Initiative (TREATS)
23-304 Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)
23-305 Joint Notice of the Staff of the Canadian Securities Administrators, Market Regulation Services Inc., Bourse de Montréal Inc., and the Investment Dealers Association Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)
23-307 Order Protection Rule - Implementation Milestones
23-309 Frequently Asked Questions about the Order Protection Rule and Internationally Locked or Crossed Markets - Part 6 of National Instrument 23-101 and Related Companion Policy
23-322 Trading Fee Rebate Pilot Study
24-101 Institutional Trade Matching and Settlement
24-102 Clearing Agency Requirements
24-305 Frequently Asked Questions About NI 24-101 - Institutional Trade Matching and Settlement and Related Companion Policy
24-307 Exemption from Transitional Rule: Extension of Transitional Phase-In Period in National Instrument 24-101 - Institutional Trade Matching and Settlement
24-310 Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies
24-501 Exemption from the filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement
24-502 Extension of Transitional Phase-In Period in National Instrument 24-101 Institutional Trade Matching and Settlement
25-101 Consequential Amendments to Registration, Prospectus and Continuous Disclosure Rules
25-102 Designated Benchmarks and Benchmark Administrators
25-201 Guidance for Proxy Advisory Firms
25-303 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds