Securities Law

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

Published Date: 2008-10-17
Document(s):

Concurrently Published:

Companion Policy 21-101CP
to National Instrument 21-101
Marketplace Operation

 

Table of Contents

 

PART                      TITLE

 

PART 1                  INTRODUCTION

1.1                          Introduction

1.2                          Definition of Exchange-Traded Security

1.3                          Definition of Foreign Exchange-Traded Security

1.4                          Definition of Regulation Services Provider

 

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9.2                          [Repealed]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                        Availability of Information

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

12.2                        Trading Fees for Trade-Through Purposes

 

 

PART 13                RECORDKEEPING REQUIREMENTS FOR MARKETPLACES

13.1                        Recordkeeping Requirements for Marketplaces

13.2                        Synchronization of Clocks

 

PART 13.1             REPORTING OF ORDER EXECUTION INFORMATION BY MARKETPLACES

13.1.1                     Reporting of Order Execution Information by Marketplaces

 

PART 14                CAPACITY, INTEGRITY AND SECURITY OF MARKETPLACE SYSTEMS

14.1                        Systems Requirements

14.2                        Availability of Technology Specifications and Testing Facilities

 

PART 15                CLEARING AND SETTLEMENT

15.1                        Clearing and Settlement

 

PART 16                INFORMATION PROCESSOR

16.1                        Information Processor

16.2                        Selection of an Information Processor

16.3                        Change to Information

16.4                        System Requirements