Skip Navigation
Securities Law

21-101 - Marketplace Operation [NI Blackline Amendment Proposed - Lapsed]

Published Date: 2011-03-18
Rescinded Date: 2012-03-23
Document(s):

Concurrently Published:

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5.6 Filing of Annual Audited Financial Statements[Repealed]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 ATS
6.4 Reporting Requirements [Repealed]
6.5 Ceasing to Carry on Business as an ATS[Repealed]
6.6 Notification of Intent to Carry on Exchange Activities[Repealed]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 Threshold
6.8 Confidential Treatment of Trading Information[Repealed]
6.9 Name
6.10 Risk Disclosure for Trades in Foreign Exchange-Traded Securities[Repealed]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