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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

23-101 - Trading Rules [NI]

23-101PDFTrading Rules - Consolidated Version National InstrumentAs Amended4/10/2017
23-101CPPDFCompanion Policy to NI 23-101 - Consolidated Version Companion PolicyAs Changed4/10/2017
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Proposed Amendments Related to 23-101

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NumberDocument TitleRegulatory Instrument TypeStatusDate
23-101PDFAmendments to NI 23-101Amendments to InstrumentEffective4/10/2017
23-101CPPDFChanges to 23-101CPChanges to PolicyEffective4/10/2017
PDFAmendments to NI 23-101 and Changes to Companion PolicyCSA NoticePublished1/26/2017
23-502PDFExpired - Order-Protection Rules and Alpha Exchange Inc.Blanket OrderExpired7/6/2016
23-101PDFAmendments to NI 23-101Amendments to InstrumentEffective7/6/2016
23-101CPPDFChanges to 23-101CPChanges to PolicyEffective7/6/2016
23-316PDFOrder Protection Rule: Implementation of the Market Share Threshold and Amendments to Companion Policy 23-101 Trading Rules CSA NoticePublished6/20/2016
PDFAmendments to NI 23-101 Trading Rules and 23-101CPCSA NoticePublished4/7/2016
PDFRequest For Comment Proposed Amendments to NI 23-101CSA NoticePublished4/7/2016
23-101PDFAmendments to NI 23-101Amendments to InstrumentEffective10/1/2015
23-101CPPDFChanges to 23-101CPChanges to PolicyEffective10/1/2015
PDFAmendments to NI 21-101 Marketplace Operation and NI 23-101 Trading RulesCSA NoticePublished6/25/2015
PDFRequest for Comment Proposed Changes to 23-101CPCSA NoticePublished6/12/2015
PDFRequest for Comment Proposed Amendments to NI 23-101 (Order Protection Rule or "OPR")CSA NoticePublished5/15/2014
PDFProposed Amendments to NI 21-101 and NI 23-101CSA NoticePublished4/24/2014
23-101PDFAmendments to NI 23-101Amendments to InstrumentEffective7/1/2012
23-101CPPDFChanges to NI 23-101CPChanges to PolicyEffective7/1/2012
23-307PDFWithdrawn - Order Protection Rule Implementation MilestonesCSA NoticeWithdrawn6/21/2012
PDFNotice of Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading RulesCSA NoticePublished3/18/2011
23-101PDFAmendments to NI 23-101Amendments to InstrumentEffective1/28/2010
23-101CPPDFChanges to 23-101CPChanges to PolicyEffective1/28/2010
PDFNotice of Technical Corrections to Amendments to NI 23-101 Trading RulesCSA NoticePublished12/18/2009
PDFNotice of Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading RulesCSA NoticePublished11/13/2009
23-101PDFAmendments to NI 23-101Amendments to InstrumentPublished11/13/2009
23-101CPPDFChanges to 23-101CPChanges to PolicyPublished11/13/2009