Marketplace Operations [Rule 21-101]

Rule Category

2 - Certain Capital Market Participants

CSA Notice of Approval Amendments to NI 21-101 Marketplace Operation and Changes to Companion Policy 21-101CP

Rule 21-101 (Amendment) Marketplace Operation and Changes to Companion Policy 21-101CP Marketplace Operation

Rule 21-101 (Amendment) Market Place Operation

CSA Notice of Approval Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy

NI 21-101 - Unofficial consolidated Version as of Feb. 1, 2017

History

June 18, 2020

CSA Notice of Approval Amendments to NI 21-101 Marketplace Operation and Changes to Companion Policy 21-101CP

June 18, 2020

Rule 21-101 (Amendment) Marketplace Operation and Changes to Companion Policy 21-101CP Marketplace Operation

June 4, 2020

Rule 21-101 (Amendment) Market Place Operation

June 4, 2020

CSA Notice of Approval Mandatory Post-Trade Transparency of Trades in Government Debt Securities, Expanded Transparency of Trades in Corporate Debt Securities and Amendments to National Instrument 21-101 Marketplace Operation and Related Companion Policy

April 18, 2019

Request for Comment on Proposed Amendmends to NI 21-101 and related CP. Comment period ended July 17, 2019.

February 1, 2017

NI 21-101 - Unofficial consolidated Version as of Feb. 1, 2017

October 6, 2016

Amendments to Certain NIs, MIs & Local Instruments & Changes 31-103CP related to Derivative Regulation in AB, NB, NS & SK

July 15, 2015

Rule 21-101 (Amendment)

June 25, 2015

CSA Notice of Approval Amendments to NI 21-101 & NI 23-101

October 23, 2014

CSA Notice of Approval - Amendments to NI 21-101

April 24, 2014

Notice and Request for Comment - Proposed Amendments to NI 21-101 & NI 23-101

July 1, 2012

NI 21-101 - Unofficial consolidated Version as of July 1, 2012

April 11, 2012

Rule 21-101 (Amendment)

April 11, 2012

Rule 21-101(Amendment) and Consequential Amendments to MI 11-102, NI 23-101

November 13, 2009

Rule 21-101 (Amendment)

November 13, 2009

Notice of Amendments

July 30, 2008

Rule 21-101 (Amendment)

December 20, 2006

Rule 21-101 (Amendment)

February 25, 2004

Rule 21-101(Amendment)

April 16, 2003

Failure to file annual financial statements.
Failure to file interim financial statements.
Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
Failure to file an Annual Information Form (AIF).
Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
Failure to file required proxy materials or a required information circular.
Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
Failure to file a material change report.
Failure to provide a written update after filing a confidential report of a material change.
Failure to file a business acquisition report.
Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
Failure to file a mandatory news release.
Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
Failure to pay a fee required by the Act or the regulations.
Failure to comply with any other requirement related to continuous disclosure.