Certain Capital Market Participants [21-101 - 25-201]
21–101 Marketplace Operation [National Instrument]
NI 21–101 unofficial consolidation of National Instrument as of September 14, 2020
21–101 CP unofficial consolidation of Companion Policy as of September 14, 2020
Form 21–101F1 unofficial consolidation as of September 14, 2020
Form 21–101F2 unofficial consolidation as of September 14, 2020
Form 21-101F3 unofficial consolidation as of September 14, 2020
Form 21–101F4 unofficial consolidation as of October 1, 2015
Form 21–101F5 unofficial consolidation as of September 14, 2020
Form 21–101F6 unofficial consolidation as of October 1, 2015
Documents related to NI 21–101
Amendment to 21-101 NI effective September 14, 2020
Amendment to 21-101 CP effective September 14, 2020
Amendment to 21-101 NI effective August 31, 2020
Amendment to 21-101 CP effective August 31, 2020
Amendment to 21–01 CP effective June 12, 2018
Amendment to NI 21–101 effective February 1, 2017
Amendment to NI 21–101 effective October 1, 2015
Amendment to 21–01 CP effective October 1, 2015
Amendment to NI 21–101 effective December 31, 2014
Amendment to 21–101 CP effective December 31, 2014
Amendment to 21–101 CP effective May 31, 2013
Amendment to NI 21–101 effective July 1, 2012
Amendment to 21–101 CP effective July 1, 2012
Amendment to NI 21–101 effective January 1, 2011
Amendment to NI 21–101 effective January 28, 2010
Amendment to 21–101 CP effective January 28, 2010
Companion Policy 21–101CP effective March 17, 2008
National Instrument 21–101 Marketplace Operation, effective March 17, 2008
Form 21–101F1 Information Statement Exchange or Quotation and Trade Reporting System, replacement effective July 1, 2012
Form 21–101F2 Initial Operation Report Alternative Trading System, replacement effective July 1, 2012
Form 21–101F3 Quarterly Report of Marketplace Activities, replacement effective December 31, 2012
Form 21–101F4 Cessation of Operations Report for Alternative Trading System, March 17, 2008
Form 21–101F5 Initial Operation Report for Information Processor, replacement effective July 1, 2012
Form 21–101F6 Cessation of Operations Report for Information Processor, March 17, 2008
23–101 Trading Rules [National Instrument]
NI 23–101 unofficial consolidation as of April 10, 2017
23–101 CP unofficial consolidation as of April 10, 2017
Documents related to NI 23–101
Amendment to NI 23–101 effective April 10, 2017
Amendment to 23–101 CP effective April 10, 2017
Amendment to NI 23–101 effective July 6, 2016
Amendment to 23–101 CP effective July 6, 2016
Amendment to NI 23–101 effective October 1, 2015
Amendment to 23–101 CP effective October 1, 2015
Amendment to NI 23–101 effective July 1, 2012
Amendment to 23–101 CP effective July 1, 2012
Amendment to NI 23–101 effective January 28, 2010 and February 1, 2011
Amendment to 23–101 CP effective January 28, 2010 and February 1, 2011
Companion Policy 23–101 CP effective March 17, 2008
National Instrument 23–101 Trading Rules effective March 17, 2008
23–102 Use of Client Brokerage Commissions [NI]
NI 23–102 unofficial consolidation as of February 1, 2017
Documents related to NI 23–102
Amendment to NI 23-102 effective February 1, 2017
Amendment to NI 23–102 effective January 11, 2015
National Instrument 23–102, Use of Client Brokerage Commissions, effective June 30, 2010
Companion Policy 23–102 effective June 30, 2010
23–103 Electronic Trading and Direct Electronic Access to Marketplaces [National Instrument]
NI 23–103 unofficial consolidation as of March 1, 2014
23–103 CP unofficial consolidation as of May 5, 2015
Documents related to NI 23–103
Amendment to 23–103 CP effective May 5, 2015
Amendment to NI 23–103 effective March 1, 2014
Amendment to 23–103 CP effective March 1, 2014
Companion Policy 23–103 Electronic Trading effective March 1, 2013
National Instrument 23–103 Electronic Trading effective March 1, 2013
24–101 Institutional Trade Matching and Settlement [National Instrument]
NI 24–101 unofficial consolidation as of May 27, 2024
24–101 CP unofficial consolidation as of May 27, 2024
Form 24–101 F2 unofficial consolidation as of May 27, 2024
Form 24–101 F3 unofficial consolidation as of May 27, 2024
Form 24–101 F4 unofficial consolidation as of May 27, 2024
Form 24–101 F5 unofficial consolidation as of May 27, 2024
Documents related to NI 24–101
Amendment to NI 24-101 effective May 27, 2024
Amendment to 24-101 CP effective May 27, 2024
Amendment to NI 24–101 effective September 5, 2017
Amendment to 24–101 CP effective September 5, 2017
Amendment to NI 24–101 effective January 11, 2015
Amendment to NI 24–101 effective September 22, 2014
Amendment to NI 24–101 effective July 1, 2010
Amendment to 24–101 CP effective July 1, 2010
Amendment to NI 24–101 effective September 28, 2009
Amendment to 24–101 CP effective September 28, 2009
Companion Policy 24–101CP effective March 17, 2008
National Instrument 24–101, Institutional Trade Matching and Settlement effective March 17, 2008
Form 24–101F1 Registrant Exception Report of DAP/RAP Trade Reporting and Matching, effective March 17, 2008 - revoked May 27, 2024
Form 24–101F2 Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching, effective March 17, 2008
Form 24–101F3 Matching Service Utility Notice of Operations, effective March 17, 2008
Form 24–101F4 Matching Service Utility Notice of Cessation of Operations, effective March 17, 2008
Form 24–101F5 Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching, effective March 17, 2008
24–102 Clearing Agency Requirements [National Instrument]
NI 24-102 unofficial consolidation as of June 19, 2020
24–102 CP unofficial consolidation as of June 19, 2020
Form 24-102 F1 unofficial consolidation as of June 19, 2020
Form 24-102 F2 unofficial consolidation as of June 19, 2020
Documents related to NI 24–102
Amendment to NI 24-102 effective June 19, 2020
Amendment to 24-102 CP effective June 19, 2020
Amendment to 24–102 CP effective June 3, 2016
Companion Policy 24–102CP Clearing Agency Requirements, effective February 17, 2016
National Instrument 24-102, Clearing Agency Requirements, effective February 17, 2016
Form 24–102F1 Clearing Agency Submission of Jurisdiction and Appointment of Agent for Service of Process, effective February 17, 2016
Form 24–102F2 Cessation of Operations Report for Clearing Agency, effective February 17, 2016
25–101 Designated Rating Organizations [National Instrument]
NI-25-101 unofficial consolidation as of May 5, 2015
Documents related to NI 25–101
Amendment to NI 25–101 effective May 5, 2015
National Instrument 25–101 Designated Rating Organizations, effective April 20, 2012
Form 25–101F1, Designated Rating Organization Application and Annual Filing, April 20, 2012
Form 25–101F2, Submission to Jurisdiction and Appointment of Agent for Service April 20, 2012
National policies
25–201 Guidance for Proxy Advisory Firms effective April 30, 2015 [National Policy]
25–102 Designated Benchmarks and Benchmark Administrators [Multilateral Instrument]
MI 25-102 unofficial consolidation as of September 27, 2023
25-102 CP unofficial consolidation as of September 27, 2023
Documents related to MI 25-102
Amendments to MI 25-102 effective September 27, 2023
Amendments to 25-102 CP effective September 27, 2023
Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators, effective July 13, 2021
Companion Policy 25-102 CP Designated Benchmarks and Benchmark Administrators, effective July 13, 2021
Form 25-102 F1 Designated Benchmark Administrator Annual Form, effective July 13, 2021
Form 25-102 F2 Designated Benchmark Annual Form, effective July 13, 2021
Form 25-102 F3 Submission to Jurisdiction and Appointment of Agent for Service of Process, effective July 13, 2021