Securities Law & Instruments
Instruments, Rules & Policies
Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:
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2 - Certain Capital Market Participants
- 21-101 - Marketplace Operation, Companion Policy, Forms 21-101F1, 21-101F2, 21-101F3 and 21-101F4
- 21-301 - Canadian Venture Exchange (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 21-302 - Confidentiality of Forms Filed under National Instrument 21-101 Marketplace Operation (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 21-304 - Request for Filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors
- 21-305 - Extension of Approval of Information Processor for Corporate Fixed Income Securities
- 21-306 - Notice of Filing of Forms 21-101F5 - Initial Operation Report for Information Processor
- 21-307 - Extension of Approval of Information Processor for Corporate Fixed Income Securities
- 21-308 - Update on Applications to Become an Information Processor
- 21-309 - Information Processor for Exchange-Traded Securities other than Options
- 21-310 - Information Processor for Corporate Debt Securities
- 21-401 - Real-Time Market Data Fees
- 21-501 - Deferral of Information Transparency Requirements for Government Debt Securities in National Instrument 21-101 - Marketplace Operation
- 21-702 - Regulatory Approach for Foreign-Based Stock Exchanges
- 21-703 - Transparency of the Operations of Stock Exchanges and Alternative Trading Systems
- 21-704 - 2010 Market Regulation Branch Annual Report
- 21-705 - Process for Marketplace Filings and Proposed Rules of Exchanges
- 21-706 - Marketplaces’ Initial Operations and Material System Changes
- 21-901 - Recognition of Certain Stock Exhanges
- 22-801 - Non-SRO Electronic Trading Systems and Market Fragmentation
- 23-101 - Trading Rules and Companion Policy 23-101CP
- 23-102 - Use of Client Brokerage Commissions as Payment for Order Execution Services or Research Services
- 23-103 - Electronic Trading and Direct Electronic Access to Marketplaces
- 23-301 - Joint Notice of the Staff of the Canadian Securities Administrators, Market Regulation Services Inc., Bourse de Montréal Inc., and the Investment Dealers Association - Electronic Audit Trails
- 23-302 - Joint Regulatory Notice - Electronic Audit Trail Initiative (TREATS)
- 23-303 - Update on Concept Paper 23-402 Best Execution and Soft Dollar Arrangements
- 23-304 - Joint CSA/SRO Notice - Status of the Transaction Reporting and Electronic Audit Trail System
- 23-305 - Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) (Withdrawn by CSA Notice 11-313, February 19, 2010)
- 23-306 - Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)
- 23-307 - Order Protection Rule - Implementation Milestones (Withdrawn by CSA Notice 11-317, June 21, 2012)
- 23-308 - Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 “Dark Pools, Dark Orders and Other Developments in Market Structure in Canada” and Next Steps
- 23-309 - Frequently Asked Questions about the Order Protection Rule and Intentionally Locked or Crossed Markets – Part 6 of National Instrument 23-101 and Related Companion Policy
- 23-311 - Regulatory Approach to Dark Liquidity in the Canadian Market
- 23-312 - Transparency of Short Selling and Failed Trades
- 23-313 - Blanket Orders Exempting Marketplace Participants From Certain Provisions of National Instrument 23-103 Electronic Trading and Related OSC Staff Position
- 23-314 - Frequently Asked Questions about National Instrument 23-103 Electronic Trading
- 23-315 - Summary of Comments on CSA/IIROC Joint Notice 23-312 - Request for Comments - Transparency of Short Selling and Failed Trades
- 23-401 - TSE Universal Market Integrity Rules
- 23-402 - Best Execution and Soft Dollar Arrangements
- 23-403 - CSA Discussion Paper - Market Structure Developments and Trade-Through Obligations
- 23-404 - CSA/IIROC Consultation Paper - Dark Pools, Dark Orders, and other Developments in Market Structure in Canada
- 23-405 - Dark Liquidity in the Canadian Market
- 23-501 - Designation as Market Participant
- 23-701 - Electronic Trading Risk Analysis
- 24-101 - Institutional Trade Matching and Settlements
- 24-301 - Responses to Comments Received on Discussion Paper 24-401
- 24-302 - Entitlement Payments to CDS
- 24-303 - CSA SRO Oversight Project - Review of Oversight of Self-Regulatory Organizations and Market Infrastructure Entities - Report of the CSA SRO Oversight Project Committee - December 2006
- 24-304 - CSA Industry Working Group on NI 24-101 - Institutional Trade Matching and Settlement
- 24-305 - Frequently Asked Questions About NI 24-101 -- Institutional Trade Matching and Settlement and Related Companion Policy
- 24-306 - National Instrument 24-101 - Institutional Trade Matching and Settlement — Exception Reporting
- 24-307 - Exemption from Transitional Rule: Extension of Transitional Phase-In Period in NI 24-101
- 24-401 - Discussion Paper on Straight-through Processing
- 24-501 - Designation as a Market Participant
- 24-502 - Exemption from Transitional Rule: Extension of Transitional Phase-In Period in NI 24-101 (Revoked on July 1, 2010; see Annex H of April 16, 2010 CSA Notice of Amendments to NI 24-101 Institutional Trade Matching and Settlement)
- 24-702 - Regulatory Approach to Recognition and Exemption from Recognition of Clearing Agencies
- 25-101 - Designated Rating Organizations, Related Policies and Consequential Amendments
- 25-401 - Potential Regulation of Proxy Advisory Firms
