23-101 - Trading Rules [NI - Rescinded]
| Published Date: | 2008-10-01 |
|---|---|
| Effective Date: | 2008-09-12 |
| Rescinded Date: | 2010-01-28 |
| Document(s): |
Concurrently Published:
Table of Contents
PART TITLE
PART 1 DEFINITION AND INTERPRETATION
1.1 Definition
1.2 Interpretation - NI 21-101
PART 2 APPLICATION OF THIS INSTRUMENT
2.1 Application of this Instrument
PART 3 MANIPULATION AND FRAUD
3.1 Manipulation and Fraud
PART 4 BEST EXECUTION
4.1 Application of this Part
4.2 Best Execution
4.3 Order and Trade Information
PART 5 REGULATORY HALTS
5.1 Regulatory Halts
PART 6 TRADING HOURS
6.1 Trading Hours
PART 7 MONITORING AND ENFORCEMENT OF REQUIREMENTS SET BY A RECOGNIZED EXCHANGE AND A RECOGNIZED QUOTATION AND TRADE REPORTING SYSTEM
7.1 Requirements for a Recognized Exchange
7.2 Agreement between a Recognized Exchange and a Regulation Services Provider
7.3 Requirements for a Recognized Quotation and Trade Reporting System
7.4 Agreement between a Recognized Quotation and Trade Reporting System and a Regulation Services Provider
7.5 Co-ordination of Monitoring and Enforcement
PART 8 MONITORING AND ENFORCEMENT REQUIREMENTS FOR AN ATS
8.1 Pre-condition to Trading on an ATS
8.2 Requirements Set by a Regulation Services Provider for an ATS
8.3 Agreement between an ATS and a Regulation Services Provider
8.4 Agreement between an ATS and its Subscriber
8.5 [Repealed]
PART 9 MONITORING AND ENFORCEMENT REQUIREMENTS FOR AN INTER-DEALER BOND BROKER
9.1 Requirements Set by a Regulation Services Provider for an Inter-Dealer Bond Broker
9.2 Agreement between an Inter-Dealer Bond Broker and a Regulation Services Provider
9.3 Exemption for an Inter-Dealer Bond Broker
PART 10 MONITORING AND ENFORCEMENT REQUIREMENTS FOR A DEALER EXECUTING TRADES OF UNLISTED DEBT SECURITIES OUTSIDE OF A MARKETPLACE
10.1 Requirements Set by a Regulation Services Provider for a Dealer Executing Trades of Unlisted Debt Securities Outside of a Marketplace
10.2 Agreement between a Dealer Executing Trades of Unlisted Debt Securities Outside of a Marketplace and a Regulation Services Provider
10.3 [Repealed]
PART 11 AUDIT TRAIL REQUIREMENTS
11.1 Application of this Part
11.2 Audit Trail Requirements for Dealers and Inter-Dealer Bond Brokers
11.3 Transmission in Electronic Form
PART 12 EXEMPTION
12.1 Exemption
PART 13 EFFECTIVE DATE
13.1 Effective Date