Securities Law and Policy Category 2: Certain Capital Market Participants

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CSA Instruments and Policies
21-101	National Instrument - Marketplace Operation as of September 14, 2020
21-101 CP	Companion Policy - Marketplace Operation as of September 14, 2020
23-101	National Instrument - Trading Rules as of April 10, 2017
23-101 CP	Companion Policy - Trading Rules as of April 10, 2017
23-102	National Instrument - Use of Client Brokerage Commissions as of February 1, 2017
23-103	National Instrument - Electronic Trading and Direct Electronic Access to Marketplaces as of March 1, 2014
23-103 CP	Companion Policy - Electronic Trading and Direct Electronic Access to Marketplaces as of May 5, 2015
24-101	National Instrument - Institutional Trade Matching and Settlement as of September 5, 2017
24-101 CP	Company Policy - Institutional Trade Matching and Settlement as of September 5, 2017
24-102	National Instrument - Clearing Agent Requirements as of June 19, 2020
24-102 CP	Companion Policy - Clearing Agent Requirements as of June 19, 2020
25-101	National Instrument - Designated Rating Organizations as of May 5, 2015
Local Rules and Blanket Orders
21-501 (Blanket Order)	Extension of Relief from National Instrument 21-101 Marketplace Operation Information Transparency Requirements for Government Debt Securities
21-502 (Blanket Order)	An order exempting issuers whose securities are listed on the Alpha Venture Plus marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation
21-503 (Blanket Order)	An order exempting issuers whose securities are listed on the Alpha Main marketplace operated by Alpha Exchange Inc. from certain requirements of securities legislation
21-504 (Blanket Order)	In the Matter of Temporary Exemption from Certain Reporting Requirements for Regulated Entities Carrying on Business in Prince Edward Island
21-801, 21-801 (Amendment)	Prince Edward Island Rule 21-801 - Marketplace Operation
23-501 (Blanket Order)	Exemption from Certain Requirements in Part 6 of National Instrument 23-101 - Trading Rules
23-801, 23-801 (Amendment)	Prince Edward Island Rule 23-801 - Trading Rules
24-501 (Blanket Order)	In the Matter of Relief from Certain Reporting Requirements under National Instrument 24-202 Institutional Trade Matching and Settlement
24-801, 24-801 (Amendment)	Prince Edward Island Rule 24-801 - Institutional Trade Matching and Settlement
24-930 (Blanket Order)	CSA Coordinated Blanket Order 24-930 - Temporary Exemption from Filings Requirements of 24-101

Date de publication :

le 23 Septembre 2024

Renseignements généraux

Division des services financiers et aux consommateurs
Ministère de la Justice et de la Sécurité publique
Immeuble Shaw (nord), 1er étage
105, rue Rochford
C.P. 2000
Charlottetown (Île-du-Prince-Édouard) C1A 7N8

Téléphone: (902) 368-4550
Télécopieur: (902) 368-5283

ccs@gov.pe.ca

Securities Law and Policy Category 2: Certain Capital Market Participants

Liens supplémentaires

Renseignements généraux