2 – Certain Capital Market Participants

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Current Instruments & Policies

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Document
21-101 Marketplace Operation
21-304 Request for filing of Form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors
21-306 Notice of Filing of Forms 21-101F5 Initial Operation Report For Information Processor
21-312 Update on Consultation Paper 21-401 Real Time Market Data Fees
21-313 Information Processor for Exchange-Traded Securities other than Options
21-315 CSA Staff Notice and Request for Comment 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market
21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market
21-318 Information Processor for Corporate Debt Securities
21-319 Data Fees Methodology
21-401 Real-Time Market Data Fees
21-501 Recognition of exchanges, self regulatory bodies, and jurisdictions
21-502 Exemption from Certain Filing Requirements for Out-of-province Alternative Trading Systems
21-504 Exemption from filing period requirement for change in Form 21-101F1 Exhibit N
21-602 Canadian Venture Exchange Listings
22-502 Registration by the Investment Industry Regulatory Organization of Canada
22-503 Extension of Relief from National Instrument 21-101 Marketplace Operation - Information Transparency Requirements for Government Debt Securities
23-101 Trading Rules
23-102 Use of Client Brokerage Commissions
23-103 Electronic Trading and Direct Electronic Access to Marketplaces
23-301 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 Status of the Transaction Reporting and Electronic Audit Trail System (TREATS)
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
23-311 Joint CSA/IIROC - Staff Notice 23-311 – Regulatory approach to dark liquidity in the Canadian market
23-312 Request for Comment - Canadian Securities Administrators / Investment Industry Regulatory Organization of Canada Joint Notice 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 Notice 23-312 Request for Comments - Transparency of Short Selling and Failed Trades
23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules
23-401 Request for Comment - Proposed Universal Market Integrity Rules of TSE RS and CDNX
23-402 Concept Paper 23-402 Best Execution and Soft Dollar Arrangements
23-403 Market Structure Developments and Trade-Through Obligations
23-404 Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada
23-405 Dark Liquidity in the Canadian Market
23-501 Exemption from National Instrument 23-103
23-502 Exemption from Certain Requirements in Part 6 of National Instrument 23-101 – Trading Rules
24-101 Institutional Trade Matching and Settlement
24-102 Clearing Agency Requirements
24-302 Entitlement Payments to The Canadian Depository for Securities Limited (CDS)
24-303 CSA SRO Oversight Project Review of Oversight of Self-Regulatory Organizations and Market Infrastructure Entities
24-304 CSA-Industry Working Group on National Instrument 24-101 - Institutional Trade Matching and Settlement
24-305 Frequently Asked Questions About National Instrument 24-101 — Institutional Trade Matching and Settlement and Related Companion Policy
24-306 National Instrument 24-101 - Institutional Trade Matching And Settlement — Exception Reporting
24-309 Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba
24-310 Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements and Related Companion Policies
24-311 Qualifying Central Counterparties
24-312 Preparing for the Implementation of T+2 Settlement
24-313 CSA Staff’s Review of Proposed Amendments to Fee Schedule of The Canadian Depository for Securities Limited (CDS Limited) and CDS Clearing and Depository Services Inc. (CDS Clearing) (collectively, CDS)
24-314 Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms
24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment
24-501 Exemption from the filing requirements of National Instrument 24-101 Institutional Trade Matching and Settlement
25-101 Designated Rating Organizations
25-201 Guidance for Proxy Advisory Firms
25-301 Update on Consultation Paper 25-401
25-401 Potential Regulation of Proxy Advisory Firms