Securities Law & Instruments


Instruments, Rules & Policies


Instruments, rules, policies, and other documents, both proposed and final, are organized into these categories:

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21-301 Canadian Venture Exchange (Withdrawn by CSA Notice 11-313, February 19, 2010)
21-302 Confidentiality of Forms Filed under National Instrument 21-101 Marketplace Operation (Withdrawn by CSA Notice 11-313, February 19, 2010)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
21-312 Update on Consultation Paper 21-401 Real Time Market Data Fees
21-313 Information Processor for Exchange-Traded Securities other than Options
21-314 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
21-707 Swap Execution Facilities – Exemption from Requirement to be Recognized as an Exchange
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
23-702 Electronic Trading Risk Analysis Update
23-703 Order Protection Rule - Industry Roundtable
24-101 Institutional Trade Matching and Settlements
24-102 Proposed NI 24-102 Clearing Agency Requirements and Related Companion Policy 24-102CP
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
24-310 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
24-401 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)
24-503 Clearing Agency Requirements and Related Companion Policy
24-702 Regulatory Approach to Recognition and Exemption from Recognition of Clearing Agencies
25-101 Designated Rating Organizations, Related Policies and Consequential Amendments
25-201 Guidance for Proxy Advisory Firms
25-301 Update on CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms
25-401 Potential Regulation of Proxy Advisory Firms

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