2 - Certain Capital Market Participants
CSA Staff Notice 21-312: Update on Consultation Paper 21-401 Real Time Market Data Fees (pdf - 92 KB)This link will open in a new windowUpdated on November 7, 2013
CSA Staff Notice and Request for Comment 21-315 : Next steps in Regulation and Transparency of the Fixed Income Market (pdf - 102 KB)This link will open in a new windowUpdated on September 17, 2015
CSA Staff Notice 21-316: Information Processor for Corporate Debt Securities (pdf - 156 KB)This link will open in a new windowUpdated on December 29, 2015
CSA Staff Notice 21-317: Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market (pdf - 119 KB)This link will open in a new windowUpdated on April 21, 2016
CSA Staff Notice 21-318 Information Processor for Corporate Debt Securities (pdf - 80 KB)This link will open in a new windowUpdated on June 23, 2016
CSA Staff Notice 21-319 Data Fees Methodology (pdf - 181 KB)This link will open in a new windowUpdated on December 8, 2016
CSA Staff Notice 21-320 Update: Regulation 21-101 respecting Marketplace Operation and Related Policy Statement – Dealing with Government Debt Transparency (pdf - 41 KB)This link will open in a new windowUpdated on December 14, 2017
CSA Staff Notice 21-321 : Markets in Financial Instruments Directive (MiFID II) - Share Trading Obligation and its Application to Canadian Securities (pdf - 43 KB)This link will open in a new windowUpdated on December 21, 2017
CSA Staff Notice 21-322: Applicability of Regulation to the Operation of MTFs or OTFs in Canada (pdf - 59 KB)This link will open in a new windowUpdated on January 4, 2018
CSA Staff Notice 21-325: Follow-up on Marketplace Systems Incidents (pdf - 59 KB)This link will open in a new windowUpdated on March 15, 2019
CSA Staff Notice 21-326: Guidance for Reporting Material Systems Incidents (pdf - 207 KB)This link will open in a new windowUpdated on June 10, 2021
CSA Staff Notice 21-327: Guidance on the Application of Securities Legislation to Entities Facilitating the Trading of Crypto Assets (pdf - 124 KB)This link will open in a new windowUpdated on January 16, 2020
CSA Staff Notice 21-328 Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities (pdf - 119 KB)This link will open in a new windowUpdated on March 5, 2020
Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-329: Guidance for Crypto-Asset Trading Platforms: Compliance with Regulatory Requirements (pdf - 566 KB)This link will open in a new windowUpdated on March 29, 2021
Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada Staff Notice 21-330 - Guidance for Crypto-Trading Platforms: Requirements relating to Advertising, Marketing and Social Media Use (pdf - 240 KB)This link will open in a new windowUpdated on September 23, 2021
CSA Staff Notice 21-331: Information Processor for Exchange-Traded Securities other than Options (pdf - 66 KB)This link will open in a new windowUpdated on June 23, 2022
Canadian Securities Administrators Staff Notice 21-332: Crypto Asset Trading Platforms: Pre-Registration Undertakings - Changes to Enhance Canadian Investor Protection (pdf - 328 KB)This link will open in a new windowUpdated on February 22, 2023
CSA Staff Notice 21-333: Crypto Asset Trading Platforms: Terms and Conditions for Trading Value-Referenced Crypto Assets with Clients (pdf - 344 KB)This link will open in a new windowUpdated on October 5, 2023
CSA Staff Notice 21-334: Next Steps to Facilitate Access to Real-Time Market Data (pdf - 348 KB)This link will open in a new windowUpdated on April 18, 2024Next Steps to Facilitate Access to Real-Time Market Data
CSA Staff Notice 23-303 : Update on Concept Paper 23-402 Best Execution and Soft Dollar Arrangements (pdf - 100 KB)This link will open in a new windowUpdated on December 16, 2005
CSA/Investment Industry Regulatory Organization of Canada Joint Staff Notice 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 (pdf - 162 KB)This link will open in a new windowUpdated on September 25, 2020
CSA Staff Notice 23-309: Frequently Asked Questions about the Order Protection Rule and intentionally locked or crossed markets - Part 6 of Regulation 23-101 respecting Trading Rules and related companion policy (pdf - 130 KB)This link will open in a new windowUpdated on September 28, 2020
Joint CSA / IIROC Staff Notice 23-311 - Regulatory Approach to Dark Liquidity in the Canadian Market (pdf - 150 KB)This link will open in a new windowUpdated on July 29, 2011
Request for Comment: Canadian Securities Administrators / Investment Industry Regulatory Organization of Canada Joint Notice 23-312 - Transparency of Short Selling and Failed Trades (pdf - 151 KB)This link will open in a new windowUpdated on September 28, 2020
Multilateral CSA Staff Notice 23-313: Blanket Orders Exempting Marketplace Participants from Certain Provisions of Regulation 23-103 respecting Electronic Trading and Related OSC Staff Position (pdf - 62 KB)This link will open in a new windowUpdated on December 7, 2012
CSA Staff Notice 23-314: Frequently asked Questions about Regulation 23-103 respecting Electronic Trading (pdf - 54 KB)This link will open in a new windowUpdated on December 20, 2012
CSA / IIROC Notice 23-315: Summary of Comments on CSA / IIROC Notice 23-312 Request for Comments - Transparency of Short Selling and Failed Trades (pdf - 81 KB)This link will open in a new windowUpdated on February 28, 2013
CSA Staff Notice 23-316 Order Protection Rule: Implementation of the Market Share Threshold and Amendments to Policy Statement to Regulation 23-101 respecting Trading Rules (pdf - 68 KB)This link will open in a new windowUpdated on June 20, 2016
CSA Staff Notice 23-317: Order Protection Rule: Market Share Treshold for the period April 1, 2017 to March 31, 2018 (pdf - 53 KB)This link will open in a new windowUpdated on January 30, 2017
Joint Canadian Securities Administrators/Investment Industry Regulatory Organization of Canada: Staff Notice 23-319, Internalization in the Canadian Market (pdf - 46 KB)This link will open in a new windowUpdated on December 5, 2017
CSA Staff Notice 23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada (pdf - 52 KB)This link will open in a new windowUpdated on December 14, 2017
CSA Staff Notice 23-321: Order Protection Rule: Market Share Threshold for the period April 1, 2018 to March 31, 2019 (pdf - 52 KB)This link will open in a new windowUpdated on January 25, 2018
CSA Staff Notice and Request for Comment 23-323: Trading Fee Rebate Pilot Study (pdf - 381 KB)This link will open in a new windowUpdated on December 17, 2018
CSA Staff Notice 23-324 Order Protection Rule: Market Share Threshold for the period April 1, 2019 to March 31, 2020 (pdf - 53 KB)This link will open in a new windowUpdated on January 31, 2019
CSA Notice 23-325: Trading Fee Rebate Pilot Study (pdf - 473 KB)This link will open in a new windowUpdated on January 23, 2020
CSA Staff Notice 23-326 Order Protection Rule: Market Share Threshold for the period April 1, 2020 to March 31, 2021 (pdf - 47 KB)This link will open in a new windowUpdated on February 13, 2020
Joint CSA/IIROC Staff Notice 23-327: Update on Internalization within the Canadian Equity Market (pdf - 1 MB)This link will open in a new windowUpdated on August 27, 2020
CSA Staff Notice 23-328: Order Protection Rule: Market Share Threshold for the Period April 1, 2021 to March 31, 2022 (pdf - 54 KB)This link will open in a new windowUpdated on February 25, 2021
Joint CSA and IIROC Staff Notice 23-329: Short Selling in Canada (pdf - 700 KB)This link will open in a new windowUpdated on December 8, 2022Short Selling in Canada
CSA Staff Notice 23-330: Order Protection Rule: Market Share Threshold Effective as of April 1, 2023 (pdf - 208 KB)This link will open in a new windowUpdated on February 23, 2023
CSA/CIRO Staff Notice 23-331: Request for Feedback on December 2022 SEC Market Structure Proposals and Potential Impact on Canadian Capital Markets (pdf - 281 KB)This link will open in a new windowUpdated on October 19, 2023
CSA/CIRO Staff Notice 23-332: Summary of Comments and Responses to CSA/IIROC Staff Notice 23-329 Short Selling in Canada (pdf - 467 KB)This link will open in a new windowUpdated on November 16, 2023
CSA Staff Notice 23-333: Order Protection Rule: Market Share Threshold Effective as of April 1, 2024 (pdf - 209 KB)This link will open in a new windowUpdated on February 29, 2024Order Protection Rule:, Market Share Threshold Effective as of April 1, 2024.
Joint CSA / IIROC Notice: Forum to Discuss Consultation Paper 23-404, Dark Pools, Dark Orders, and Other Developments in Market Structure in Canada (pdf - 28 KB)This link will open in a new windowUpdated on March 5, 2010
CSA Notice 24-301 : Responses to comments received on Discussion Paper 24-401, Proposed Regulation 24-101 and Proposes Policy Statement to Regulation 24-101 (pdf - 389 KB)This link will open in a new windowUpdated on February 11, 2005
CSA Staff Notice 24-302 : Entitlement Payments to the Canadian Depository for Securities Limited (CDS) (pdf - 158 KB)This link will open in a new windowUpdated on March 3, 2006
CSA Notice 24-303 : Review of Oversight of Self-Regulatory Organizations and Market Infrastructure Entities (pdf - 662 KB)This link will open in a new windowUpdated on December 8, 2012
CSA Staff Notice 24-304 : CSA-Industry Working Group on Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 37 KB)This link will open in a new windowUpdated on July 6, 2007
CSA Staff Notice 24-305 : Frequently asked questions about Regulation 24-101 respecting Institutional Trade Matching and Settlement and related Policy Statement (pdf - 84 KB)This link will open in a new windowUpdated on May 6, 2011
CSA Staff Notice 24-306 : Regulation 24-101 respecting Institutional Trade Matching and Settlement – Exception Reporting (pdf - 43 KB)This link will open in a new windowUpdated on February 1st, 2008
CSA Multilateral Staff Notice 24-311: Qualifying Central Counterparties (pdf - 76 KB)This link will open in a new windowUpdated on July 28, 2014
CSA Staff Notice 24-312: Preparing for the Implementation of T+2 Settlement (pdf - 53 KB)This link will open in a new windowUpdated on April 2, 2015
Multilateral CSA Staff Notice 24-313: CSA Staff's Review of Proposed Amendments to Fee Schedule of The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc. (pdf - 87 KB)This link will open in a new windowUpdated on September 25, 2020
CSA Staff Notice 24-314: Preparing for the Implementation of T+2 Settlement: Letter to Registered Firms (pdf - 81 KB)This link will open in a new windowUpdated on May 26, 2016
CSA Staff Notice 24-315: Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets (pdf - 99 KB)This link will open in a new windowUpdated on February 9, 2017
CSA Staff Notice 24-316: Feedback on CSA Consultation Paper 24-402 - Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment (pdf - 147 KB)This link will open in a new windowUpdated on August 3, 2017
CSA Multilateral Notice 24-317 Notice of Relief from Certain Filing Provisions under Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 61 KB)This link will open in a new windowUpdated on March 26, 2020
CSA Staff Notice 24-318: Preparing for the Implementation of T+1 Settlement (pdf - 75 KB)This link will open in a new windowUpdated on February 3, 2022
CSA Notice regarding Coordinated Blanket Order 24-930 Exemption from certain filing requirements of Regulation 24-101 respecting Institutional Trade Matching and Settlement (pdf - 218 KB)This link will open in a new windowUpdated on June 15, 2023
DÉCISION N° 2023-PDG-0030 : Décision générale coordonnée 24-930 relative à la dispense de certaines obligations prévues par le Règlement 24-101 sur l’appariement et le règlement des opérations institutionnelles (pdf - 159 KB)This link will open in a new windowUpdated on June 15, 2023Décision générale coordonnée 24-930 relative à la dispense de certaines obligations prévues par le Règlement 24-101 sur l’appariement et le règlement des opérations institutionnelles. (Available in french only)
CSA Notice 25-301: Update on CSA Consultation Paper 25-401 Potential Regulation of Proxy Advisory Firms (pdf - 61 KB)This link will open in a new windowUpdated on September 19, 2013
CSA Staff Notice 25-302: Matters Relating to CDOR, LIBOR and Other Interest Rate Benchmarks (pdf - 88 KB)This link will open in a new windowUpdated on November 26, 2020
CSA Staff Notice 25-303: 2021 CSA Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds (pdf - 266 KB)This link will open in a new windowUpdated on April 28, 2022
CSA Staff Notice 25-306: Activist Short Selling Update (pdf - 606 KB)This link will open in a new windowUpdated on December 8, 2022
CSA Staff Notice of Approval 25-307: Recognition of New Self-Regulatory Organization of Canada (pdf - 11 MB)This link will open in a new windowUpdated on November 24, 2022
CSA Staff Notice of Approval 25-308: Approval and Acceptance of Canadian Investor Protection Fund (pdf - 2 MB)This link will open in a new windowUpdated on November 24, 2022
CSA Staff Notice 25-309: Matters Relating to Cessation of CDOR and Expected Cessation of Bankers’ Acceptances (pdf - 288 KB)This link will open in a new windowUpdated on February 23, 2023
CSA Staff Notice 25-310: 2022 Annual Activities Report on the Oversight of Self-Regulatory Organizations and Investor Protection Funds (pdf - 430 KB)This link will open in a new windowUpdated on April 20, 2023
CSA Staff Notice 25-311: 2023 Annual Activities Report on the Oversight of Canadian Investment Regulatory Organization and Canadian Investment Protection Fund (pdf - 1 MB)This link will open in a new windowUpdated on March 28, 20242023 Annual Activities Report on the Oversight of Canadian Investment Regulatory Organization and Canadian Investment Protection Fund.
CSA Multilateral Staff Notice 25-312: Reminder of Cessation of CDOR on June 28, 2024 (pdf - 195 KB)This link will open in a new windowUpdated on June 5, 2024Reminder of Cessation of CDOR on June 28, 2024
