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

Concurrently Published:

• 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 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9.2  [Repealed]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11.1  [Repealed]
11.2  [Repealed]
11.3  [Repealed]
11.4  [Repealed]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  Discriminatory Terms

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  System 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