21-101 - Marketplace Operation [NI Blackline Amendment Proposed - Lapsed]
Published Date: | 2011-03-18 |
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Rescinded Date: | 2012-03-23 |
Document(s): |
Concurrently Published:
- 21-101CP - Marketplace Operation [CP Blackline Amendment Proposed - Lapsed]
- BCN 2011/03 - Notice of Proposed Amendments to National Instrument 21-101 Marketplace Operation and National Instrument 23-101 Trading Rules [BCN - Lapsed]
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
1.5 Interpretation – NI 23-101
PART 2 APPLICATION
2.1 Application
PART 3 EXCHANGE - RECOGNITION
3.1 Application for Recognition
3.2 Change in Information After Recognition
PART 3 MARKETPLACE INFORMATION
3.1 Initial Filing of Information
3.2 Change in Information
3.3 Reporting Requirements
3.4 Ceasing to Carry on Business as an ATS
3.5 Forms Filed in Electronic Form
PART 4 QUOTATION AND TRADE REPORTING SYSTEM - RECOGNITION
4.1 Application for Recognition
4.2 Change in Information After Recognition
PART 4 MARKETPLACE FILING OF AUDITED FINANCIAL STATEMENTS
4.1 Filing of Initial Audited Financial Statements
4.2 Filing of Annual Audited Financial Statements
PART 5 REQUIREMENTS APPLICABLE ONLY TO RECOGNIZED EXCHANGES AND RECOGNIZED QUOTATION AND TRADE REPORTING SYSTEMS
5.1 Access Requirements
PART 5 MARKETPLACE REQUIREMENTS
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5.6 Filing of Annual Audited Financial Statements[Repealed]
5.7 Fair and Orderly Markets
5.8 Discriminatory Terms
5.9 Risk Disclosure for Trades in Foreign Exchange-Traded Securities
5.10 Confidential Treatment of Trading Information
5.11 Management of Conflicts of Interest
5.12 Outsourcing
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6.3 Securities Permitted to be Traded on an ATS6.4 Reporting Requirements [Repealed]6.5 Ceasing to Carry on Business as an ATS[Repealed]6.6 Notification of Intent to Carry on Exchange Activities[Repealed]
6.7 Notification of Threshold6.8 Confidential Treatment of Trading Information[Repealed]
6.9 Name6.10 Risk Disclosure for Trades in Foreign Exchange-Traded Securities[Repealed]
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 Consolidated Feed - Exchange-Traded Securities
7.6 Compliance with Requirements of an Information Processor
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 TRADING FEES FOR MARKETPLACES
10.1 Disclosure of Trading Fees by Marketplaces
10.2 [Repealed]
10.3 Discriminatory Terms
PART 11 RECORDKEEPING REQUIREMENTS FOR MARKETPLACES
11.1 Business Records
11.2 Other Records
11.2.1 Transmission in Electronic Form
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 System Reviews
12.3 Availability of Technology Specifications and Testing Facilities
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 21-101 F1 INFORMATION STATEMENT - EXCHANGE OR QUOTATION AND TRADE REPORTING SYSTEM
FORM 21-101 F2 INITIAL OPERATION REPORT - ALTERNATIVE TRADING SYSTEM
FORM 21-101 F3 QUARTERLY REPORT OF ALTERNATIVE TRADING SYSTEM ACTIVITIES
FORM 21-101 F4 CESSATION OF OPERATIONS REPORT FOR ALTERNATIVE TRADING SYSTEM
FORM 21-101 F5 INITIAL OPERATION REPORT FOR INFORMATION PROCESSOR
FORM 21-101 F6 CESSATION OF OPERATIONS REPORT FOR INFORMATION PROCESSOR