23-101CP - Trading Rules [CP - Rescinded]
Published Date: | 2010-02-04 |
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Effective Date: | 2010-01-28 |
Rescinded Date: | 2011-02-01 |
Document(s): |
Table of Contents
PART 1 INTRODUCTION
1.1 Introduction
1.2 Just and Equitable Principles of Trade
PART 1.1 DEFINITIONS
1.1.1 Definition of best execution
PART 2 APPLICATION OF THE INSTRUMENT
2.1 Application of the Instrument
PART3 MANIPULATION AND FRAUD
3.1 Manipulation and Fraud
PART 4 BEST EXECUTION
4.1 Best Execution
PART 5 REGULATORY HALTS
5.1 Regulatory Halts
PART 6 TRADING HOURS AND LOCKED OR CROSSED MARKETS
6.1 Trading Hours
6.2 Locked and Crossed Markets
PART 7 MONITORING AND ENFORCEMENT
7.1 Monitoring and Enforcement Requirements Set By a Recognized Exchange or Recognized Quotation and Trade Reporting System
7.2 Monitoring and Enforcement Requirements for an ATS
7.3 Monitoring and Enforcement Requirements for an Inter-Dealer Bond Broker
7.4 Monitoring and Enforcement Requirements for a Dealer Executing Trades of Unlisted Debt Securities Outside of a Marketplace
7.5 Agreement Between a Marketplace and a Regulation Services Provider
7.6 Coordination of Monitoring and Enforcement
PART 8 AUDIT TRAIL REQUIREMENTS
8.1 Audit Trail Requirements
8.2 Transmission of Information to a Regulation Services Provider
8.3 Electronic Form