Securities Law

21-101CP - Marketplace Operation [CP Amendment Advance Notice - Lapsed]

Published Date: 2008-06-20
Effective Date: 2008-09-12
Document(s):

Concurrently Published:

PART 1           AMENDMENT

 

1.1       Amendment

 

(1)        This amends Companion Policy 21-101CP - to National Instrument 21-101 Marketplace Operation.

 

(2)        Section 1.2 is amended by striking out the last sentence and substituting “A security that is listed on a foreign exchange or quoted on a foreign quotation and trade reporting system, and is not listed or quoted on a domestic exchange or quotation and trade reporting system, falls within the definition of “foreign exchange-traded security”.”.

 

(3)        Subsection 5.1(3) is amended by striking out the last sentence and substituting the following:

 

               “For the purpose of sections 7.1, 7.3, 8.1 and 8.2 of the Instrument, the  Canadian securities regulatory authorities do not consider special terms orders that are not immediately executable or that trade in special terms books, such as all-or-none, minimum fill or cash or delayed delivery, to be orders that must be provided to an information processor or, if there is no information processor, to an information vendor for consolidation.”.

 

(4)        Part 9 is amended by repealing subsections 9.1(3) and 9.1(4).

 

(5)        Section 12.1 is amended by:

 

(a)        striking out all references to “transaction fees” and substituting “trading fees”; and

 

(b)        adding after the first sentence “The schedule should include all trading fees and provide the minimum and maximum fees payable for certain representative transactions.”.

 

1.2       Effective Date - This policy comes into effect on September 12, 2008.