Department of Community Services

Office of the Superintendent of Securities

National Instrument 21-101 Marketplace Operation

National Instrument 21-101 Marketplace Operation, effective March 17, 2008

Status: As Amended February 1, 2017

History: In effect from March 17, 2008

Description: Regulates securities marketplaces operating in Canada including exchanges, quotation and trade reporting systems, and alternate trading systems.

Consolidated Versions

NI 21-101 unofficial consolidation of National Instrument as of February 1,2017

21-101 CP unofficial consolidation of Companion Policy as of October 1, 2015

Form 21-101F1 unofficial consolidation as of October 1, 2015 **Information Statement Exchange or Quotation and Trade Reporting System

Form 21-101F2 unofficial consolidation, as of October 1, 2015 **Information Statement Alternative Trading System

Form 21-101F3 unofficial consolidation as of October 1, 2015 **Quarterly Report of Marketplace Activities

Form 21-101F4 unofficial consolidation as of October 1, 2015 **Cessation of Operations Report for Alternative Trading System

Form 21-101F5 unofficial consolidation as of October 1, 2015 **Information Statement Information Processor

Form 21-101F6 unofficial consolidation as of October 1, 2015 **Cessation of Operations Report for Information Processor

Documents related to NI 21-101

Amendment to NI 21-101 Effective February 1, 2017

Amendment to NI 21-101 Effective October 1, 2015

Amendment to 21-01 CP Effective October 1, 2015

Amendment to NI 21-101 Effective December 31, 2014

Amendment to 21-101 CP Effective December 31, 2014

Amendment to 21-101 CP Effective May 31, 2013

Amendment to NI 21-101 Effective July 1, 2012

Amendment to 21-101 CP Effective July 1, 2012

Amendment to NI 21-101 (IFRS) Effective January 1, 2011

Amendment to NI 21-101 Effective January 28, 2010

Amendment to 21-101 CP Effective January 28, 2010

Companion Policy 21-101CP effective March 17, 2008

Form 21-101F1 Information Statement Exchange or Quotation and Trade Reporting System, replacement effective July 1, 2012

Form 21-101F2 Initial Operation Report Alternative Trading System, replacement effective July 1, 2012

Form 21-101F3 Quarterly Report of Marketplace Activities, replacement effective December 31, 2012

Form 21-101F4 Cessation of Operations Report for Alternative Trading System, March 17, 2008

Form 21-101F5 Initial Operation Report for Information Processor, replacement effective July 1, 2012

Form 21-101F6 Cessation of Operations Report for Information Processor, March 17, 2008

Related CSA Notices

CSA Notice June 25, 2015, amendments to NI 21-101 and NI 23-101

Notice of Approval published October 23, 2014