Certain Capital Market Participants [21-101 - 25-404]

Securities Law & Policy
Items with a dark grey background, are archived.
Instrument Number
Title
21-101
Marketplace Operation [NI]
21-312
Update on Consultation Paper 21-401 [CSA Notice]
21-317
Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market [CSA Notice]
21-319
Data Fees Methodology [CSA Notice]
21-320
Update: NI 21-101 Marketplace Operation and Related Companion Policy - Dealing with Government Debt Transparency [CSA Notice]
21-321
Markets in Financial Instruments Directive (MiFID II) – Share Trading Obligation and its Application to Canadian Securities [CSA Notice]
21-322
Applicability of Regulation to the Operation of MTFs or OTFs in Canada [CSA Notice]
21-323
Request for Comment Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities and Proposed Amendments to NI 21-101 Marketplace Operation and Related CP [CSA Notice]
21-325
Follow-up on Marketplace Systems Incidents [CSA Notice]
21-326
Guidance for Reporting Material Systems Incidents (Revised) [CSA Notice]
21-327
Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets [CSA Notice]
21-328
Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities [CSA Notice]
21-329
Joint CSA-IIROC Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements [CSA Notice]
21-330
Joint CSA/IIROC Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use [CSA Notice]
21-331
Information Processor for Exchange-Traded Securities other than Options [CSA Notice]
21-332
Crypto Asset Trading Platforms: Pre-Registration Undertakings Changes to Enhance Canadian Investor Protection [CSA Notice]
21-333
Crypto Asset Trading Platforms: Terms and Conditions for Trading Value-Referenced Crypto Assets with Clients [CSA Notice]
21-334
Next Steps to Facilitate Access to Real-Time Market Data [CSA Notice]
21-401
Real-Time Market Data Fees [Consultation Paper]
21-402
Joint CSA/IIROC Consultation Paper 21-402 Proposed Framework for Crypto-Asset Trading Platforms [Consultation Paper]
21-403
Access to Real Time Market Data [Consultation Paper]
21-501
Confidentiality for Forms That Marketplaces and Information Processors are Required to File Under NI 21-101 [Blanket Order]
21-502
Exemption from Filing Time Requirement for Changes to Form 21-101F1 [Blanket Order]
21-504
Relief from Reporting Requirements for Regulated Entities Carrying on Business in the Province of Alberta [Blanket Order]
21-704
Recognition of Exchanges for Specific Purposes [ASC Notice]
21-705
Request for Comment Application by Creditex Securities Corporation for Exemption from Marketplace Rules [ASC Notice]
23-101
Trading Rules [NI]
23-102
Use Of Client Brokerage Commissions [NI]
23-103
Electronic Trading and Direct Electronic Access to Marketplaces [NI]
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 [CSA Notice]
23-311
Regulatory Approach to Dark Liquidity in the Canadian Market [CSA Notice]
23-312
Transparency of Short Selling and Failed Trades [CSA Notice]
23-314
Frequently Asked Questions About National Instrument 23-103 Electronic Trading [CSA Notice]
23-315
Summary of Comments on CSA/IIROC Notice 23-312 Request for Comments – Transparency of Short Selling and Failed Trades [CSA Notice]
23-319
Joint CSA / IIROC Staff Notice 23-319 Internalization in the Canadian Market [CSA Notice]
23-320
Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada [CSA Notice]
23-323
Trading Fee Rebate Pilot Study [CSA Notice]
23-325
Trading Fee Rebate Pilot Study [CSA Notice]
23-327
Joint CSA/IIROC Staff Notice Update on Internalization within the Canadian Equity Market [CSA Notice]
23-329
Short Selling in Canada [CSA Notice]
23-331
Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets [CSA/CIRO Notice]
23-332
Summary of Comments and Responses to CSA/IIROC Staff Notice 23 329 Short Selling in Canada [CSA/CIRO Notice]
23-333
Order Protection Rule: Market Share Threshold Effective as of April 1, 2024 [CSA Notice]
23-403
Market Structure Developments and Trade-Through Obligations [Consultation Paper]
23-404
Dark Pools, Dark Orders, and Other Developments in Market Structures in Canada [Consultation Paper]
23-405
Dark Liquidity in the Canadian Market [Consultation Paper]
23-406
Joint CSA/IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market [Consultation Paper]
23-701
Research on High Frequency Trading in the Canadian Venture Market [ASC Notice]
24-101
Institutional Trade Matching and Settlement [NI]
24-102
Clearing Agency Requirements [NI]
24-303
CSA SRO Oversight Project Report [CSA Notice]
24-309
Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba [CSA Notice]
24-311
Qualifying Central Counterparties [CSA Notice]
24-312
Preparing for the Implementation of T+2 Settlement [CSA Notice]
24-315
Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets [CSA Notice]
24-316
Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [CSA Notice]
24-317
Relief from Certain Filing Provisions under National Instrument 24-101 [CSA Notice]
24-318
Preparing for the Implementation of T+1 [CSA Notice]
24-319
National Instrument 24-101 Institutional Trade Matching and Settlement – Update and Staff Recommendation [CSA Notice]
24-402
Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [Consultation Paper]
24-505
Relief from Exception Reporting Requirement under National Instrument 24-101 [Blanket Order]
24-506
Exemption for certain Crypto Asset Trading Platforms to be recognized as Clearing Agencies [Blanket Order]
24-701
Regulation of Clearing Agencies Carrying on Business in Alberta [ASC Notice]
24-930
Coordinated Blanket Order Exemption from certain filing requirements of NI 24-101 Institutional Trade Matching and Settlement [CSA Notice]
25-101
Designated Rating Organizations [NI]
25-102
Designated Benchmarks and Benchmark Administrators [MI]
25-201
Guidance for Proxy Advisory Firms [National Policy]
25-302
Matters Relating to CDOR, LIBOR and Other Interest Rate Benchmarks [CSA Notice]
25-303
2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds [CSA Notice]
25-304
Application for Recognition of New Self-Regulatory Organization [CSA Notice]
25-305
Application for Approval of the New Investor Protection Fund [CSA Notice]
25-306
Activist Short Selling Update [CSA Notice]
25-307
Approval of Recognition of New Self-Regulatory Organization of Canada [CSA Notice]
25-308
Approval and Acceptance of Canadian Investor Protection Fund [CSA Notice]
25-309
Matters Relating to Cessation of CDOR and Expected Cessation of Bankers’ Acceptances [CSA Notice]
25-311
Annual Activities Report on the Oversight of Canadian Investment Regulatory Organization and Canadian Investment Protection Fund Effective as of March 28, 2024 [CSA Notice]
25-402
Consultation on the Self-Regulatory Organization Framework [Consultation Paper]
25-403
Activist Short Selling [Consultation Paper]
25-404
New Self-Regulatory Organization Framework [CSA Position Paper]