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Securities Law

21-101 Marketplace Operation

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21-101 Marketplace Operation [NI]
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2020-10-15 2020-09-14
21-101CP Marketplace Operation [CP]
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2020-10-15 2020-09-14

Advance Notices

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21-101 Marketplace Operation [NI Blackline Amendment Advance Notice]
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2020-06-18 2020-09-14
21-101 Marketplace Operation [NI Amendment Advance Notice]
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2020-06-18 2020-09-14
21-101 Marketplace Operation [NI Blackline Amendment Advance Notice]
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2020-06-04 2020-08-31
21-101 Marketplace Operation [NI Amendment Advance Notice]
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2020-06-04 2020-08-31
21-101 CSA Notice of Approval Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy [CSA Notice]
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2020-06-04 ---
21-101 CSA Notice of Approval Amendments to National Instrument 21-101 Marketplace Operation and Changes to Companion Policy 21-101CP Marketplace Operation [CSA Notice]
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2020-06-18 ---
21-101CP Marketplace Operation [CP Amendment Advance Notice]
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2020-06-18 2020-09-14
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Forms

Document Published Effective
21-101F1 Information Statement Exchange or Quotation and Trade Reporting System [F]
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2020-10-15 2020-09-14
21-101F2 Information Statement Alternative Trading System [F]
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2020-10-15 2020-09-14
21-101F3 Quarterly Report of Marketplace Activities [F]
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2020-10-15 2020-09-14
21-101F4 Cessation of Operations Report for Alternative Trading System [F]
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2015-10-01 2015-10-01
21-101F5 Information Statement Information Processor [F]
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2020-10-15 2020-09-14
21-101F6 Cessation Of Operations Report For Information Processor [F]
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2015-10-01 2015-10-01
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Proposed Amendments

Document Published Effective
21-101 Proposed Amendments to National Instrument 21-101 Marketplace Operation and Proposed Changes to Companion Policy 21-101CP Marketplace Operation [CSA Notice and Request for Comment]
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2019-04-18 ---

CSA Related Documents

Document Published Effective
21-304 Request for filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors [CSA Staff Notice - Rescinded]
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2006-08-11 2006-07-14
21-306 Notice of Filing of Forms 21-101F5 Initial Operation Report For Information Processor [CSA Staff Notice - Rescinded]
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2007-04-20 ---
21-315 CSA Staff Notice and Request for Comment 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market [CSA Staff Notice]
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2015-09-17 ---
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 [CSA Staff Notice and Request for Comment]
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2018-05-24 ---