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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
Amendments |
In effect December 1, 2001.
Amended on May 20, 2004
Amendments in effect September
12, 2008 |
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
Amendments |
In effect December 1, 2001.
Amended on May 20, 2004
Amendments in effect September
12, 2008 |
Companion Policy to National Instrument 21-101 Marketplace Operation |
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21-301 |
Multilateral Staff Notice |
Canadian Venture Exchange |
In effect 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 |
In effect 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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21-305 |
CSA Staff Notice |
Extension of Approval
of Information Processor for Corporate Fixed Income
Securities |
In effect October 27, 2006 |
Gives notice that CanPX Inc.'s
approval as an information processor for corporate fixed
income securities under NI 21-101 Marketplace Operations
has been extended from Dec. 1, 2006 to Dec. 1, 2007. |
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21-901 |
General Exemption Order |
Market Facilitation
Activities by Issuers in Their Own Securities |
In effect September 7, 2005 |
Grants the necessary exemptions to permit an issuer to
carry out certain activities that facilitate trades in
its own securities. |
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23 |
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23-101 |
National Instrument |
Trading Rules
Amendments |
In effect Dec 1, 2001
Amended on May 20, 2004
In effect September 12, 2008
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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
Amendments |
In effect Dec 1, 2001
Amended on May 20, 2004
Amendments in effect September
12, 2008
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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 |
In effect 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. |
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23-302 |
CSA Staff Notice |
Joint Regulatory Notice
- Electronic Audit Trail Initiative (TREATS) |
In effect April 15, 2005 |
Provides an update on the
Transaction Reporting Electronic Audit Trail System
(TREATS). TREATS is to fulfill the audit trail
requirements introduced in
NI
23-101 Trading Rules |
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23-304 |
Joint CSA/SRO Notice |
Status of the Transaction Reporting and Electronic Audit
Trail System (TREATS) |
In effect March 17, 2006 |
Gives on update on the status
of TREATS, a proposed system to facilitate compliance with
the audit trail requirements introduced in NI 23-101
Trading Rules. |
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24 |
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24-101 |
National Instrument |
Institutional Trade Matching and Settlement
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In effect April 1, 2007 |
Provides a general framework in
provincial securities regulation for ensuring more
efficient and timely settlement processing of trades,
particularly institutional trades. |
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Form
24-101F1 Registrant Exception Report of DAP/RAP Trade
Reporting and Matching |
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Form
24-101F2 Clearing Agency Quarterly Operations Report of
Institutional Trade Reporting and Matching
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Form
24-101F3 Matching Service Utility Notice of Operations
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Form
24-101F4 Matching Service Utility Notice of Cessation of
Operations |
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Form
24-101F5 Matching Service Utility Quarterly Operations
Report of Institutional Trade Reporting and Matching
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24-101CP |
Companion Policy |
Institutional Trade Matching and Settlement |
In effect April 1, 2007 |
Companion Policy to National
Instrument 24-101
Institutional Trade Matching
and Settlement |
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24-301 |
CSA Staff Notice |
Responses to Comments on Discussion Paper 24-401 on
Straight Through Processing and Proposed NI 24-101
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In effect Feb 11, 2005. |
Provides an update on industry
and regulatory developments on straight through processing
and a summary of the comments received on Discussion Paper
24-401 released on April 16, 2004. |
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Discussion Paper 24-401 |
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24-302 |
CSA Notice |
Entitlement to Payments
to The Canadian Depository for Securities Limited (CDS) |
In effect March 3, 2006 |
Encourages issuers and offerors
that pay entitlements in Canadian dollars to CDS for
distribution to CDS participants, to make such payments
using the Large Value Transfer System (LVTS) operated by
the Canadian Payments Association. |
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24-303 |
CSA Notice |
Report of the CSA SRO
Oversight Project Committee |
In effect December 8, 2006 |
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24-305 |
CSA Notice |
Frequently Asked
Questions about NI 24-101 Institutional Trade Matching
and Settlement |
December 14, 2007 |
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24-306 |
CSA Notice |
Exception Reporting under NI
24-101 Institutional Trade Matching and Settlement |
In effect February 1, 2008 |
Sets out information on how to
make exception reports under NI 24-101 |
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24-307 |
CSA Notice |
CSA Notice 24-307 Exemption from Transitional Rule:
Extension of Transitional Phase in Period in National
Instrument 24-101 Institutional Trade Matching and
Settlement |
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Informs stakeholders of the
decision of the CSA to extend the transitional phase-in
period in NI 24-101 by an additional 24 months.
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24-801 |
General Exemption Order |
Extension of Transitional
Phase-In Period in NI 24-101 |
In effect June 30, 2008 |
Defers the current July 1,
2008 effective date in NI 24-101 for the midnight on the
T matching requirement to July 10, 2010 and extends the
transitional phase-in period for the registrant
exception reporting requirement by an additional 24
months. |
