21-101CP - Marketplace Operation [CP - Rescinded]

Concurrently Published:

• 21-101 - Marketplace Operation [NI - Rescinded]

Table of Contents

PART  TITLE

PART 1  INTRODUCTION
1.1  Introduction
1.2  Definition of Exchange-Traded Security

PART 2  MARKETPLACE
2.1  Marketplace

PART 3  CHARACTERISTICS OF EXCHANGES, QUOTATION AND TRADE REPORTING SYSTEMS AND ATSs
3.1  Exchange
3.2  Quotation and Trade Reporting System
3.3  Definition of an ATS 
3.4  Requirements Applicable to ATSs

PART 4  RECOGNITION AS AN EXCHANGE OR QUOTATION AND TRADE REPORTING SYSTEM
4.1  Recognition as an Exchange or Quotation and Trade Reporting System

PART 5  ORDERS
5.1  Orders

PART 6  FORMS FILED BY MARKETPLACES
6.1  Forms Filed by Marketplaces
6.2  Forms Filed in Electronic Format

PART 7  CERTAIN REQUIREMENTS APPLICABLE ONLY TO EXCHANGES AND QUOTATION AND TRADE REPORTING SYSTEMS
7.1  Access Requirements
7.2  Compliance Rules
7.3  Filing of Rules

PART 8  REQUIREMENTS ONLY APPLICABLE TO ATSs
8.1  Confidential Treatment of Trading Information by ATSs
8.2  Access Requirements

PART 9  INFORMATION TRANSPARENCY REQUIREMENTS FOR EXCHANGE-TRADED SECURITIES
9.1  Information Transparency Requirements for Exchange-Traded Securities
9.2  [Repealed]

PART 10 INFORMATION TRANSPARENCY REQUIREMENTS FOR UNLISTED DEBT SECURITIES
10.1  Information Transparency Requirements for Unlisted Debt Securities
10.2  [Repealed]
10.3  Consolidated Feed

PART 11 MARKET INTEGRATION
11.1  [Repealed]
11.2  [Repealed]
11.3  [Repealed]
11.4  [Repealed]
11.5  Market Integration

PART 12 DISCLOSURE OF TRADING FEES FOR MARKETPLACES
12.1  Disclosure of Trading Fees by Marketplaces

PART 13 RECORDKEEPING REQUIREMENTS FOR MARKETPLACES
13.1  Recordkeeping Requirements for Marketplaces
13.2  Synchronization of Clocks

PART 14 CAPACITY, INTEGRITY AND SECURITY OF MARKETPLACE SYSTEMS
14.1  Capacity, Integrity and Security of Marketplace Systems

PART 15 CLEARING AND SETTLEMENT
15.1  Clearing and Settlement
15.2  Reporting and Settling a Trade

PART 16 INFORMATION PROCESSOR
16.1  Information Processor
16.2  Selection of an Information Processor
16.3  Change to Information