Stock Market|CNSX-Canadian National Stock Exchange: CNSX Trading Rules

Both the CNSX Trading Rules and the Universal Market Integrity Rules, of the Investement Industry Regulatory Organization of Canada (IIROC) apply on this stock exchange. Dealers who are not currently members of CNSX but 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 CNSX. CNSX Dealers also gain access to Pure Trading.

Dealers will be approved once an application has been received and reviewed. CNSX is committed to providing service excellence and will make every effort to process dealer applications expeditiously. For more information about becoming a CNSX dealer and to receive an application, please e-mail Adam Schmidt, or phone 416-572-2000, Ext. 2285.

Related Downloadable Files

	Rule 1
	[82,493 bytes] Interpretation and General Provisions - download to read all definitions. Current as of June 27, 2011
	Rule 11
	[37,256 bytes] Rules specific to Pure Trading, CNSX's alternative market. Current as of June 27, 2011
	Rule 12
	[72,632 bytes] Access for Eligible Clients Current as of June 27, 2011
	Rule 2
	[101,742 bytes] CNSX Dealers � a dealer applying for approval as a CNSX Dealer shall, prior to being approved as a CNSX Dealer, be registered with a Canadian securities regulatory authority and be a member in good standing of the Investment Industry Regulatory Organization of Canada. Download for all dealer requirements. Current as of November 2008.
	Rule 3
	[47,587 bytes] Governance of Trading - this rule also specifies the powers of CNSX and the Market Regulator. Current as of June 27, 2011
	Rule 4
	[69,769 bytes] Trading Of Listed Securities � this rule specifies requirements governing order entry, trading, and market making. Current as of October 3, 2011
	Rule 5
	[107,141 bytes] Clearing and Settlement
	Rule 6
	[76,564 bytes] Reports - confirmations to clients and keeping records of security positions.
	Rule 7
	[77,918 bytes] Investigations and Enforcement � CNSX may, whether or not on the basis of a complaint or other communication in the nature of a complaint, investigate the conduct of any CNSX Dealer or Related Person of a CNSX Dealer under the jurisdiction of CNSX.
	Rule 8
	[64,089 bytes] Application of UMIR - Universal Market Integrity Rules apply to trading on CNSX.
	Rule 9
	[69,600 bytes] Reporting Trades � A CNSX Dealer receiving an option to purchase or sell a quoted security shall report details of the option to CNSX.

Get the Acrobat Reader to view this file.