Find the CSA Instruments and Policies effective in Yukon for Category 2

Certain capital markets

21–101 Marketplace Operation [National Instrument]

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

21–101 CP unofficial consolidation of Companion Policy as of June 12, 2018

Form 21–101F1 unofficial consolidation as of October 1, 2015

Form 21–101F2 unofficial consolidation as of October 1, 2015

Form 21–101F3 unofficial consolidation as of October 1, 2015

Form 21–101F4 unofficial consolidation as of October 1, 2015

Form 21–101F5 unofficial consolidation as of October 1, 2015

Form 21–101F6 unofficial consolidation as of October 1, 2015

Documents related to NI 21–101

Amendment to 21–01 CP effective June 12, 2018

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 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

National Instrument 21–101 Marketplace Operation, 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

23–101 Trading Rules [National Instrument]

NI 23–101 unofficial consolidation as of April 10, 2017

23–101 CP unofficial consolidation as of April 10, 2017

Documents related to NI 23–101

Amendment to NI 23–101 effective April 10, 2017

Amendment to 23–101 CP effective April 10, 2017

Amendment to NI 23–101 effective July 6, 2016

Amendment to 23–101 CP effective July 6, 2016

Amendment to NI 23–101 effective October 1, 2015

Amendment to 23–101 CP effective October 1, 2015

Amendment to NI 23–101 effective July 1, 2012

Amendment to 23–101 CP effective July 1, 2012

Amendment to NI 23–101 effective January 28, 2010 and February 1, 2011

Amendment to 23–101 CP effective January 28, 2010 and February 1, 2011

Companion Policy 23–101 CP effective March 17, 2008

National Instrument 23–101 Trading Rules effective March 17, 2008

23–102 Use of Client Brokerage Commissions [NI]

NI 23–102 unofficial consolidation as of February 1, 2017

Documents related to NI 23–102

Amendment to NI 23–102 effective February 1, 2017

Amendment to NI 23–102 effective January 11, 2015

National Instrument 23–102, Use of Client Brokerage Commissions, effective June 30, 2010 

Companion Policy 23–102 effective June 30, 2010

23–103 Electronic Trading and Direct Electronic Access to Marketplaces [National Instrument]

NI 23–103 unofficial consolidation as of March 1, 2014

23–103 CP unofficial consolidation as of May 5, 2015

Documents related to NI 23–103

Amendment to 23–103 CP effective May 5, 2015

Amendment to NI 23–103 effective March 1, 2014

Amendment to 23–103 CP effective March 1, 2014

Companion Policy 23–103 Electronic Trading effective March 1, 2013

National Instrument 23–103 Electronic Trading effective March 1, 2013

24–101 Institutional Trade Matching and Settlement [National Instrument]

NI 24–101 unofficial consolidation as of Sept 5, 2017

24–101 CP unofficial consolidation as of Sept 5, 2017

Form 24–101 F1 unofficial consolidation as of Sept 5, 2017

Form 24–101 F2 unofficial consolidation as of Sept 5, 2017

Form 24–101 F3 unofficial consolidation as of Sept 5, 2017

Form 24–101 F4 unofficial consolidation as of Sept 5, 2017

Form 24–101 F5 unofficial consolidation as of Sept 5, 2017

Documents related to NI 24–101

Amendment to NI 24–101 effective September 5, 2017

Amendment to 24–101 CP effective September 5, 2017

Amendment to NI 24–101 effective January 11, 2015

Amendment to NI 24–101 effective September 22, 2014

Amendment to NI 24–101 effective July 1, 2010

Amendment to 24–101 CP effective July 1, 2010

Amendment to NI 24–101 effective September 28, 2009

Amendment to 24–101 CP effective September 28, 2009

Companion Policy 24–101CP effective March 17, 2008

National Instrument 24–101, Institutional Trade Matching and Settlement effective March 17, 2008

Form 24–101F1 Registrant Exception Report of DAP/RAP Trade Reporting and Matching, effective March 17, 2008

Form 24–101F2 Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching, effective March 17, 2008

Form 24–101F3 Matching Service Utility Notice of Operations, effective March 17, 2008

Form 24–101F4 Matching Service Utility Notice of Cessation of Operations, effective March 17, 2008

Form 24–101F5 Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching, effective March 17, 2008

24–102 Clearing Agency Requirements [National Instrument]

National Instrument 24–102, Clearing Agency Requirements effective February 17, 2016

24–102 CP unofficial consolidation as of June 3, 2016

Documents related to NI 24–102

Amendment to 24–102 CP effective June 3, 2016

Companion Policy 24–102CP Clearing Agency Requirements, effective February 17, 2016

Form 24–102F1 Clearing Agency Submission of Jurisdiction and Appointment of Agent for Service of Process, effective February 17, 2016

Form 24–102F2 Cessation of Operations Report for Clearing Agency, effective February 17, 2016

25–101 Designated Rating Organizations [National Instrument]

National Instrument 25–101 Designated Rating Organizations, effective April 20, 2012

Documents related to NI 25–101

Amendment to NI 25–101 effective May 5, 2015

Form 25–101F1, April 20, 2012

Form 25–101F2, April 20, 2012

National policies

25–201 Guidance for Proxy Advisory Firms effective April 30, 2015 [National Policy]