Government

Securities Law and Policy Category 2: Certain Capital Market Participants

Published date: July 15, 2025
CSA Instruments and Policies
21-101National Instrument - Marketplace Operation as of September 14, 2020
21-101 CPCompanion Policy - Marketplace Operation as of September 14, 2020
23-101National Instrument - Trading Rules as of April 10, 2017
23-101 CPCompanion Policy - Trading Rules as of April 10, 2017
23-102National Instrument - Use of Client Brokerage Commissions as of February 1, 2017
23-103National Instrument - Electronic Trading and Direct Electronic Access to Marketplaces as of March 1, 2014
23-103 CPCompanion Policy - Electronic Trading and Direct Electronic Access to Marketplaces as of May 5, 2015
24-101National Instrument - Institutional Trade Matching and Settlement as of May 27, 2024
24-101 CPCompany Policy - Institutional Trade Matching and Settlement as of May 27, 2024
24-102National Instrument - Clearing Agent Requirements as of June 19, 2020
24-102 CPCompanion Policy - Clearing Agent Requirements as of June 19, 2020
25-101National 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
  
  

 

General Inquiries

Financial and Consumer Services Division

1st Floor, Shaw Building (North Entrance)
105 Rochford Street
PO Box 2000
Charlottetown, PE   C1A 7N8

Phone: 902-368-4550
Fax: 902-368-5283