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PART 2 -
CERTAIN CAPITAL MARKET PARTICIPANTS |
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Exchanges |
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21-101 |
National Instrument |
Marketplace Operation |
Dec 1, 2001
Amended on May 20, 2004
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Regulates all securities marketplaces operating in Canada including exchanges, quotation and trade reporting systems and alternate trading systems. |
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21-101CP |
Companion Policy |
Marketplace Operation |
Dec 1, 2001
Amended on May 20, 2004
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Companion Policy to National Instrument 21-101 Marketplace Operation |
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21-301 |
Multilateral Staff Notice |
Canadian Venture Exchange |
November 26, 1999. |
States that references to the VSE and ASE in existing regulations, rules, orders and the like may be interpreted as references to CDNX. |
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21-302 |
CSA Staff Notice |
Confidentiality of
forms filed under National Instrument 21-101 Marketplace
Operations |
January 24, 2003 |
Gives notice that the securities regulators will keep
confidential the forms that that marketplaces and
information processes are required to file under National
Instrument 21-101 Marketplace Operations. |
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23-101 |
National Instrument |
Trading Rules |
Dec 1, 2001
Amended on May 20, 2004
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Sets out common trading rules that apply to all trading whether on a marketplace or not. |
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23-101CP |
Companion Policy |
Trading Rules |
Dec 1, 2001
Amended on May 20, 2004
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Companion Policy to National Instrument 23-101 Trading Rules |
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23-301 |
CSA Staff Notice |
Electronic
Audit Trails |
March 21, 2003 |
CSA Staff, the Investment
Dealers Association and the Bourse de Montreal announce
that they are working to determine an implementation plan
for electronic audit trail and transmission requirements
for records relating to orders and trades. |
