Regulatory Instrument Details
21-101 Marketplace Operation [NI]
21-101
Number
Title
Regulatory Instrument Type
Date Type
Date
21-101
Marketplace Operation - Consolidated Version
As Amended - National Instrument - 09/14/2020
National Instrument
As Amended
09/14/2020
21-101F1
Information Statement Exchange or Quotation and Trade Reporting System - Consolidated Version
As Amended - Form - 09/14/2020
Form
As Amended
09/14/2020
21-101F2
Information Statement Alternative Trading System - Consolidated Version
As Amended - Form - 09/14/2020
Form
As Amended
09/14/2020
21-101F3
Quarterly Report of Marketplace Activities - Consolidated Version
As Amended - Form - 09/14/2020
Form
As Amended
09/14/2020
21-101F4
Cessation of Operations Report for Alternative Trading System - Consolidated Version
As Amended - Form - 10/01/2015
Form
As Amended
10/01/2015
21-101F5
Information Statement Information Processor - Consolidated Version
As Amended - Form - 09/14/2020
Form
As Amended
09/14/2020
21-101F6
Cessation of Operations Report for Information Processor - Consolidated Version
As Amended - Form - 10/01/2015
Form
As Amended
10/01/2015
21-101CP
Companion Policy to NI 21-101 - Consolidated Version
As Changed - Companion Policy - 09/14/2020
Companion Policy
As Changed
09/14/2020
Proposed Amendments Related to 21-101
No documents found
Number
Title
Regulatory Instrument Type
Status
Date
21-331
Information Processor for Exchange-Traded Securities other than Options
Published - CSA Notice - 06/23/2022
CSA Notice
Published
06/23/2022
21-326
Guidance for Reporting Material Systems Incidents - Revised Version
Published - CSA Notice - 06/10/2021
CSA Notice
Published
06/10/2021
21-504
Relief from Reporting Requirements for Regulated Entities Carrying on Business in the Province of Alberta
Effective - Blanket Order - 03/23/2020
Blanket Order
Effective
03/23/2020
21-328
Regulatory Approach to Foreign Marketplaces Trading Fixed Income Securities
Published - CSA Notice - 03/05/2020
CSA Notice
Published
03/05/2020
21-325
Follow-up on Marketplace Systems Incidents
Published - CSA Notice - 03/15/2019
CSA Notice
Published
03/15/2019
23-406
Joint CSA/IIROC Consultation Paper 23-406 Internalization within the Canadian Equity Market (includes comment letters received)
Published - Consultation Paper - 03/12/2019
Consultation Paper
Published
03/12/2019
11-338
CSA Market Disruption Coordination Plan
Published - CSA Notice - 10/18/2018
CSA Notice
Published
10/18/2018
21-322
Applicability of Regulation to the Operation of MTFs or OTFs in Canada
Published - CSA Notice - 01/04/2018
CSA Notice
Published
01/04/2018
21-321
Markets in Financial Instruments Directive (MiFID II) – Share Trading Obligation and its Application to Canadian Securities
Published - CSA Notice - 12/21/2017
CSA Notice
Published
12/21/2017
21-320
Update: National Instrument 21-101 and Related Companion Policy – Dealing with Government Debt Transparency
Published - CSA Notice - 12/14/2017
CSA Notice
Published
12/14/2017
23-319
Joint CSA / IIROC Staff Notice 23-319 Internalization in the Canadian Market
Published - CSA Notice - 12/05/2017
CSA Notice
Published
12/05/2017
21-310
Withdrawn - Information Processor for Corporate Debt Securities
Withdrawn - CSA Notice - 12/01/2016
CSA Notice
Withdrawn
12/01/2016
21-309
Withdrawn - Information Processor for Exchange Traded Securities Other than Options
Withdrawn - CSA Notice - 12/01/2016
CSA Notice
Withdrawn
12/01/2016
21-317
Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market
Published - CSA Notice - 04/21/2016
CSA Notice
Published
04/21/2016
21-502
Exemption from Filing Time Requirement for Changes to 21-101F1
Effective - Blanket Order - 06/22/2011
Blanket Order
Effective
06/22/2011
21-501
Confidentiality for Forms That Marketplaces and Information Processors are Required to File Under NI 21-101
Effective - Blanket Order - 01/15/2003
Blanket Order
Effective
01/15/2003
Number
Title
Regulatory Instrument Type
Status
Date
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 09/14/2020
Amendments to Instrument
Effective
09/14/2020
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 09/14/2020
Changes to Policy
Effective
09/14/2020
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 08/31/2020
Changes to Policy
Effective
08/31/2020
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 08/31/2020
Amendments to Instrument
Effective
08/31/2020
Approval Amendments to NI 21-101 and Changes to CP
Published - CSA Notice - 06/18/2020
CSA Notice
Published
06/18/2020
Amendments to NI 21-101 Marketplace Operation and Changes to 21-101CP (re: Debt Transparency Framework)
Published - CSA Notice - 06/04/2020
CSA Notice
Published
06/04/2020
Request for Comment Proposed Amendments to NI 21-101 and related CP (includes comment letters received)
Published - CSA Notice - 04/18/2019
CSA Notice
Published
04/18/2019
21-326
Guidance for Reporting Material Systems Incidents
Published - CSA Notice - 03/15/2019
CSA Notice
Published
03/15/2019
21-306
Withdrawn - Notice of Filing of Forms 21-101F5 Initial Operation Report for Information Processor - Extension of Comment Period
Withdrawn - CSA Notice - 03/07/2019
CSA Notice
Withdrawn
03/07/2019
21-304
Withdrawn - Notice of Request for filing of Form 21-101F5 - Initial Operation Report for Information Processor
Withdrawn - CSA Notice - 03/07/2019
CSA Notice
Withdrawn
03/07/2019
21-101CP
Changes to 21-101CP (arising from NI 44-101)
Effective - Changes to Policy - 06/12/2018
Changes to Policy
Effective
06/12/2018
21-323
Request for Comment Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities and Proposed Amendments to NI 21-101 Marketplace Operation and Related CP
Published - CSA Notice - 05/24/2018
CSA Notice
Published
05/24/2018
21-101
Amendments to NI 21-101 (arising from NI 14-104)
Effective - Amendments to Instrument - 02/01/2017
Amendments to Instrument
Effective
02/01/2017
21-314
Withdrawn - Information Processor for Corporate Debt Securities
Withdrawn - CSA Notice - 12/01/2016
CSA Notice
Withdrawn
12/01/2016
21-318
Information Processor for Corporate Debt Securities
Published - CSA Notice - 06/23/2016
CSA Notice
Published
06/23/2016
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 10/01/2015
Changes to Policy
Effective
10/01/2015
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 10/01/2015
Amendments to Instrument
Effective
10/01/2015
Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 06/25/2015
CSA Notice
Published
06/25/2015
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 12/31/2014
Amendments to Instrument
Effective
12/31/2014
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 12/31/2014
Changes to Policy
Effective
12/31/2014
21-101
Amendments to NI 21-101 (arising from Derivatives related amendments to the Securities Act)
Effective - Amendments to Instrument - 10/31/2014
Amendments to Instrument
Effective
10/31/2014
21-313
Withdrawn - Information Processor for Exchange-Traded Securities other than Options
Published - CSA Notice - 06/27/2014
CSA Notice
Published
06/27/2014
Proposed Amendments to NI 21-101 and NI 23-101
Published - CSA Notice - 04/24/2014
CSA Notice
Published
04/24/2014
21-308
Withdrawn - Update on Applications to Become an Information Processor
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
21-307
Withdrawn - Extension of Approval of Information Processor For Corporate Fixed Income Securities
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
21-305
Withdrawn - Extension of Approval of Information Processor for Corporate Fixed Income Securities
Withdrawn - CSA Notice - 09/12/2013
CSA Notice
Withdrawn
09/12/2013
21-101CP
Changes to 21-101CP (arising from NI 25-101)
Effective - Changes to Policy - 05/31/2013
Changes to Policy
Effective
05/31/2013
21-503
Expired - Extension of Relief from NI 21-101 Marketplace Operation Information Transparency Requirements for Government Debt Securities
Expired - Blanket Order - 07/01/2012
Blanket Order
Expired
07/01/2012
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 07/01/2012
Amendments to Instrument
Effective
07/01/2012
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 07/01/2012
Changes to Policy
Effective
07/01/2012
Notice of Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 03/23/2012
CSA Notice
Published
03/23/2012
Notice of Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 03/18/2011
CSA Notice
Published
03/18/2011
Business Continuity Planning – Industry Testing Exercise
Published - ASC Notice - 02/08/2011
ASC Notice
Published
02/08/2011
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 01/01/2011
Amendments to Instrument
Effective
01/01/2011
21-302
Withdrawn - Confidentiality of Forms Filed Under National Instrument 21-101 Marketplace Operation
Withdrawn - CSA Notice - 02/19/2010
CSA Notice
Withdrawn
02/19/2010
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 01/28/2010
Amendments to Instrument
Effective
01/28/2010
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 01/28/2010
Changes to Policy
Effective
01/28/2010
Notice of Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 11/13/2009
CSA Notice
Published
11/13/2009
Notice of Proposed Trade Through Rule Amendments and Request for Comments
Published - CSA Notice - 10/17/2008
CSA Notice
Published
10/17/2008
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 09/12/2008
Amendments to Instrument
Effective
09/12/2008
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 09/12/2008
Changes to Policy
Effective
09/12/2008
Notice of Amendments to Best Execution and Related Rules in NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 06/20/2008
CSA Notice
Published
06/20/2008
Notice of Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules and Related Universal Market Integrity Rules
Published - CSA Notice - 04/20/2007
CSA Notice
Published
04/20/2007
21-306
Notice of Filing of Form 21-101F5 Initial Operation Report for Information Processor
Published - CSA Notice - 04/20/2007
CSA Notice
Published
04/20/2007
21-101F2
Amendments to NI 21-101F2
Effective - Amendments to Instrument - 12/31/2006
Amendments to Instrument
Effective
12/31/2006
21-101F6
Amendments to NI 21-101F6
Effective - Amendments to Instrument - 12/31/2006
Amendments to Instrument
Effective
12/31/2006
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 12/31/2006
Changes to Policy
Effective
12/31/2006
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 12/31/2006
Amendments to Instrument
Effective
12/31/2006
Notice of Amendments to NI 21-101 and NI 23-101
Published - CSA Notice - 12/15/2006
CSA Notice
Published
12/15/2006
Notice of Proposed Amendments to NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 07/14/2006
CSA Notice
Published
07/14/2006
21-101
Amendments to NI 21-101
Effective - Amendments to Instrument - 12/31/2003
Amendments to Instrument
Effective
12/31/2003
21-101CP
Changes to 21-101CP
Effective - Changes to Policy - 12/31/2003
Changes to Policy
Effective
12/31/2003
Notice of amendments to NI 21-101 and NI 23-101
Published - ASC Notice - 11/17/2003
ASC Notice
Published
11/17/2003
Notice of Proposed Amendments to NI 21-101 and NI 23-101
Published - CSA Notice - 07/11/2003
CSA Notice
Published
07/11/2003
21-101
Marketplace Operation
Effective - National Instrument - 12/01/2001
National Instrument
Effective
12/01/2001
21-101CP
Companion Policy to 21-101
Effective - Companion Policy - 12/01/2001
Companion Policy
Effective
12/01/2001
Notice of NI 21-101 Marketplace Operation, 21-101CP and Forms 21-101F1, 21-101F2, 21-101F3, 21-101F4, 21-101F5, 21-101F6 and NI 23-101 Trading Rules and 23-101CP
Published - CSA Notice - 11/17/2001
CSA Notice
Published
11/17/2001
Notice of Proposed NI 21-101 Marketplace Operation and NI 23-101 Trading Rules
Published - CSA Notice - 07/02/1999
CSA Notice
Published
07/02/1999
News Releases Related to 21-101
Title
Date
Nov 13, 2009