Securities Law

23-101CP - Trading Rules [CP Blackline Amendment Proposed - Lapsed]

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

Concurrently Published:

Table of Contents

PART     TITLE

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 AND DEFINITIONS
2.1 Application and Definitions
2.2  Definition of Automated Functionality
2.3 Definition of Calculated Price Order
2.4 Definition of Inter-Market Sweep Order
2.5 Definition of Non-Standard Order
2.6 Definition of Protected Order

PART 3 MANIPULATION AND FRAUD
3.1 Manipulation and Fraud

PART 4 BEST EXECUTION
4.1 Best Execution
4.2  Reporting Requirements Applicable to Dealers

PART 5 REGULATORY HALTS
5.1 Regulatory Halts

PART 6   TRADE-THROUGH PROTECTION
6.1 Trade-through Protection
6.2 List of Trade-throughs
6.3 Locked and Crossed Markets
6.4 Anti-Avoidance Provision

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 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