2 - Certain Capital Market Participants

CSA Notice 21-304: Request for filing of form 21-101F5 Initial Operation Report for Information Processor by Interested Information Processors (pdf - 123 KB)This link will open in a new window

 

Updated on 14 July 2006

CSA Staff Notice 21-306: Notice of Filing of Forms 21-101F5 Initial Operation Report for Information Processor – Extension of comment period (pdf - 26 KB)This link will open in a new window

 

Updated on 22 June 2007

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 window

 

Updated on 7 November 2013

CSA Staff Notice 21-313: Information Processor for Exchange-Traded Securities other than Options (pdf - 80 KB)This link will open in a new window

 

Updated on 27 June 2014

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 window

 

Updated on 17 September 2015

CSA Staff Notice 21-316: Information Processor for Corporate Debt Securities (pdf - 156 KB)This link will open in a new window

 

Updated on 29 December 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 window

 

Updated on 21 April 2016

CSA Staff Notice 21-318 Information Processor for Corporate Debt Securities (pdf - 80 KB)This link will open in a new window

 

Updated on 23 June 2016

CSA Staff Notice 21-319 Data Fees Methodology (pdf - 181 KB)This link will open in a new window

 

Updated on 8 December 2016

Joint Notice 23-301 of the Staff of the CSA, Market Regulation Services Inc., Bourse de Montréal Inc., and the IDA – Electronic Audit Trails (pdf - 12 KB)This link will open in a new window

 

Updated on 28 March 2003

Joint Notice 23-302 of the Staff of the CSA, Market Regulation Services Inc., Bourse de Montréal Inc., the IDA and the MFDA - Electronic Audit Trail Initiative (TREATS) (pdf - 101 KB)This link will open in a new window

 

Updated on 15 April 2005

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 window

 

Updated on 16 December 2005

Joint CSA / SRO Notice 23-304 : Status of the transaction Reporting and Electronic Audit Trail System (TREATS) (pdf - 91 KB)This link will open in a new window

 

Updated on 17 March 2006

Joint Notice 23-306 of the Staff of the CSA, Market Regulation Services Inc., Bourse de Montréal Inc., and the IIROC – Status of the Transaction Reporting and Electronic Audit Trail System (TREATS) (pdf - 31 KB)This link will open in a new window

 

Updated on 9 January 2009

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 - 155 KB)This link will open in a new window

 

Updated on 28 May 2010

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 - 123 KB)This link will open in a new window

 

Updated on 25 June 2010

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 window

 

Updated on 29 July 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 - 145 KB)This link will open in a new window

 

Updated on 2 March 2012

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 window

 

Updated on 7 December 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 window

 

Updated on 20 December 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 window

 

Updated on 28 February 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 window

 

Updated on 20 June 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 window

 

Updated on 30 January 2017

CSA Staff Notice 23-318: Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under Regulation 23-101 respecting Trading Rules (pdf - 41 KB)This link will open in a new window

 

Updated on 6 July 2017

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 window

 

Updated on 5 March 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 window

 

Updated on 11 February 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 window

 

Updated on 3 March 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 window

 

Updated on 8 December 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 window

 

Updated on 6 July 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 window

 

Updated on 6 May 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 window

 

Updated on 1st February 2008

CSA Staff Notice 24-310: Status Update on Draft Regulation 24-503 respecting Clearing House, Central Securities Depository and Settlement System Requirements and Related Draft Policy Statement (pdf - 127 KB)This link will open in a new window

 

Updated on 17 July 2014

CSA Multilateral Staff Notice 24-311: Qualifying Central Counterparties (pdf - 76 KB)This link will open in a new window

 

Updated on 28 July 2014

CSA Staff Notice 24-312: Preparing for the Implementation of T+2 Settlement (pdf - 53 KB)This link will open in a new window

 

Updated on 2 April 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 - 80 KB)This link will open in a new window

 

Updated on 14 May 2015

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 window

 

Updated on 26 May 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 window

 

Updated on 9 February 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 window

 

Updated on 3 August 2017

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 window

 

Updated on 19 September 2013