Trading Rules

Rule Category

2 - Certain Capital Market Participants

Rule 23-101 (Amendment)

History

February 29, 2024

CSA Staff Notice 23-333 Order Protection Rule: Market Share Threshold Effective as of April 1, 2024

January 27, 2017

Rule 23-101 (Amendment)

January 26, 2017

Notice of Amendments to NI 23-101 and 23-101CP

April 14, 2016

Rule 23-101 (Amendment)

April 7, 2016

CSA Notice of Approval Amendments to NI 23-101 and Companion Policy 23-101CP [CSA Notice of Approval]

April 7, 2016

Request for Comments Proposed Amendments to NI 23-101[CSA Notice]. Comment period ended July 6, 2016.

July 15, 2015

Consequential Amendments to Rule 23-101 as a result of Rule 21-101 (Amendment)

June 25, 2015

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

June 12, 2015

Request for Comment on Proposed Amendments to NI 23-101CP. Comment period ends Aug. 17/15.

May 15, 2014

Request for Comment - NI 23-101

July 6, 2012

Companion Policy 23-101CP - Amended July 6, 2012

July 1, 2012

NI 23-101 - Unofficial Consolidation as of July 1, 2012

March 22, 2012

Notice of Amendments - NI 23-101 / 21-101

November 13, 2009

Rule 23-101 (Amendment)

July 30, 2008

Rule 23-101 (Amendment)

June 20, 2008

Notice on Best Execution - NI 23-101 / 21-101

December 20, 2006

Rule 23-101(Amendment)

February 25, 2004

Rule 23-101 (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.