Rules
- The General Securities Rules (Consolidated to Sept. 28, 2009 including the Fee Schedule and the Forms)
- General Rules of Practice and Procedure;
- Conflict of Interest Rules
Search Results
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| Category: | Number: | Rule: | DD/MM/YY: |
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| 1 | 14-502 | Rule 14-502 Civil Liability for Secondary Market Disclosure | 17-10-2007 |
| 1 | 15-501 | 15-501 General Rules of Practice and Procedure | 04-04-2007 |
| 2 | 21-101 | Rule 21-101 Marketplace Operations | 16-04-2003 |
| 2 | 23-101 | Rule 23-101 Trading Rules | 16-04-2003 |
| 2 | 24-101 | Rule 24-101 Institutional Trade Matching and Settlement - and - National Instrument 24-101 Institutional Trade Matching and Settlement - and - Companion Policy 24-101CP to National Instrument 24-101 Institutional Trade Matching and Settlement | 11-04-2007 |
| 3 | 31-101 | Rule 31-101 (Revocation) National Registration System | 15-07-2009 |
| 3 | 31-102 | Rule 31-102 National Registration Database | 15-01-2003 |
| 3 | 31-103 | Rule 31-103 Registration Requirements and Exemptions | 15-07-2009 |
| 3 | 31-501 | Rule 31-501 (Revocation) SRO Membership - Mutual Fund Dealers | 15-07-2009 |
Records
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Category Legend
- CATEGORY 1 - Procedure and Related Matters
- CATEGORY 2 - Certain Capital Market Participants
- CATEGORY 3 - Registration Requirements and Related Matters
- CATEGORY 4 - Distribution Requirements
- CATEGORY 5 - Ongoing Requirements for Issuers and Insiders
- CATEGORY 6 - Take-Over Bids and Special Transactions
- CATEGORY 7 - Securities Transactions Outside the Jurisdiction
- CATEGORY 8 - Mutual Funds
- CATEGORY 9 - Derivatives
- Documents not numbered