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Trading Rules and Regulations

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Both the CSE Trading Rules and the Universal Market Integrity Rules, of the Investment Industry Regulatory Organization of Canada (IIROC) apply to activity on the Exchange. Dealers who are members in good standing of IIROC and are also registered with a Canadian securities regulatory authority are welcome to apply for trading access to the CSE.

Rule 1 - Interpretation & General Provisions

January 2015

Rule 2 - CSE Dealers

January 2015

Rule 3 - Governance of Trading

Trading sessions, the powers of the Exchange and the Market Regulator. January 2015

Rule 4 - Trading of Securities

Requirements governing order entry, trading, and market making. January 2015

Rule 5 - Clearing & Settlement

September 2017

Rule 6 - Reports

Confirmations to clients and keeping records of security positions. January 2015

Rule 7 - Investigations & Enforcement

The Exchange may, whether or not on the basis of a complaint or other communication in the nature of a complaint, investigate the conduct of any Dealer or Related Person of a Dealer under the jurisdiction of the Exchange. January 2015

Rule 8 - Application of UMIR

Universal Market Integrity Rules apply to trading on the CSE. January 2015

Rule 9 - Reporting Trades

A Dealer receiving an option to purchase or sell a listed security shall report details of the option the Exchange. January 2015

Rule 11 - Trading of Alternative Market Securities

Rules specific to Alternative Market Securities. January 2015

Rule 12 - Access by DEA Clients

January 2015

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