21-101 – Marketplace Operation (National Instrument)

21-101 – Marketplace Operation (National Instrument)

• Marketplace Operation

  Effective Date: December 1, 2001.  Consolidated to October 16, 2015.

  The purpose of this regulation is to regulate all securities marketplaces operating in Canada including exchanges, quotation and trade operating systems and alternate trading systems.

  21_101_ni_october_16_2015.pdf
• The Securities Commission (Adoption of National Instruments) (NI-21-101) Amendment Regulations, 2020 (No. 2)

  Effective Date: September 14, 2020.

  21_101_ni_september_14_2020.pdf
• Amendments to National Instrument 21-101

  Effective Date: September 14, 2020.

  21_101_ni_june_18_2020.pdf
• Amendments to National Instrument 21-101

  Effective Date: August 31, 2020.

  21_101_ni_june_4_2020.pdf
• Amendments to National Instrument 21-101

  Effective Date: February 1, 2017.  In Saskatchewan: February 8, 2017.

  21_101_ni_october_6_2016.pdf
• The Securities Commission (Adoption of National Instruments) (NI 21-101) Amendment Regulations, 2020

  Effective Date: August 31, 2020.

  21_101_ni_august_31_2020.pdf
• Form 21-101F1 Information Statement Exchange or Quotation and Trade Reporting System

  Effective Date: December 1, 2001.  Consolidated to October 16, 2015. 

  21_101_f1_october_16_2015.pdf
• Form 21-101F2 Information Statement Alternative Trading System (Initial Operation Report or Amendment)

  Effective Date: December 1, 2001.  Consolidated to October 16, 2015.

  21_101_f2_october_16_2015.pdf
• Form 21-101F3 Quarterly Report of Marketplace Activities

  Effective Date: December 1, 2001.  Consoldiated to october 16, 2015. 

  21_101_f3_october_16_2015.pdf
• Form 21-101F4 Cessation of Operations Report for Alternative Trading System

  Effective Date: December 1, 2001.  Consolidated to October 16, 2015.

  21_101_f4_october_16_2015.pdf
• Form 21-101F5 Information Statement Information Processor (Initial Form or Amendment)

  Effective Date: December 1, 2001.  Consolidated to October 16, 2015.

  21_101_f5_october_16_2015.pdf
• Form 21-101F6 Cessation of Operations Report for Information Processor

  Effective Date: December 1, 2001.  Consolidated to October 16, 2015.

  21_101_f6_october_16_2015.pdf
• Companion Policy 21-101CP

  Effective Date: December 1, 2001.  Consolidated to October16, 2015.

  Companion Policy to National Instrument 21-101 Marketplace Operation. 

  21_101_cp_october_16_2015.pdf