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  • Notice 2011-003 - Amended Rules for Single Trading System CNSX Markets with Exceptions
    About CSE BLOG Notices Home Overview Listing on the CSE Listing on the CSE How to List on the CSE Fees Going Public For Listed Companies Forms Policies Login Services for Listed Companies Policies and Regulations CSE Trading Rules Issuer Policies Bulletins and Notices Regulatory Notices Bulletins Company Filings CSE Filings Listed Company News Contact Us Notice 2011 003 Amended Rules for Single Trading System CNSX Markets with Exceptions Search

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2011/06/24/Notice-2011-003-Amended-Rules-for-Single-Trading-System-CNSX-Markets-with-Exceptions-.aspx (2014-10-22)
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  • Notice 2011-002 - Policy 2 - Qualification for Listing - Prospectus-Exempt Securities
    additional obligations or costs imposed on CNSX Dealers or Issuers The amended Policy 2 Section 1 1 and the blacklined text showing the housekeeping consequential housekeeping amendments to Policy 2 Section 6 1 are attached below The full Policies are available under Info for Issuers on CNSX ca Questions about the Policies may be directed to Mark Faulkner Director Listings and Regulation 416 572 2000 x2305 Email Mark Faulkner cnsx ca Amended Text of Policy 2 Section 1 1 Policy 2 Qualification for Listing 1 1 Only an issuer that a is a reporting issuer or the equivalent in a jurisdiction in Canada or b is proposing to list debt securities issued or guaranteed by a government in Canada that are exempt from the prospectus requirements under clause 73 1 a of the Act or c is proposing to list debt securities issued or guaranteed by a financial institution that are exempt from the prospectus requirements under clause 73 1 b of the Act and d is not in default of any requirements of securities legislation in any jurisdiction in Canada is eligible for listing However if an issuer is eligible for listing under paragraph b or c above CNSX may only list debt securities of the issuer that are contemplated by those paragraphs unless the issuer files and obtains a receipt for a preliminary prospectus and a prospectus in a jurisdiction in Canada In addition an issuer that is a reporting issuer in a jurisdiction in Canada solely as a result of BC Instrument 51 509 Issuers Quoted in the U S Over the Counter Markets or any successor rule or any similar rule that may be made by a securities regulator or securities regulatory authority in Canada is not eligible for listing unless the issuer files and obtains a receipt for a preliminary prospectus and a prospectus in a jurisdiction in Canada Consequential Housekeeping Amendments to Policy 2 Section 6 6 Final Documentation 6 1 CNSX must receive the following documents prior to qualification for listing a one original executed copy of the Listing Statement Form 2A dated within three business days of the date it is submitted to CNSX together with any additions or amendments to the supporting documentation previously provided as required by Appendix A to the Listing Application b one original executed copy of the Listing Summary Form 2B dated within three business days of the date it is submitted to CNSX c two original executed copies of the applicable Listing Agreement Form 4A d three choices for a stock symbol e a legal opinion that the Issuer i is in good standing under and not in default of applicable corporate law or other applicable laws of establishment ii is a reporting issuer or equivalent under the securities legislation of state applicable jurisdictions and is not in default of any requirement of any jurisdiction in which it is a reporting issuer or equivalent iii ii has the corporate power and capacity to own its properties

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2011/04/21/Notice-2011-002-Policy-2-Qualification-for-Listing-Prospectus-Exempt-Securities.aspx (2014-10-22)
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  • Notice 2011-001 Housekeeping Amendments - Personal Information Form
    CSE How to List on the CSE Fees Going Public For Listed Companies Forms Policies Login Services for Listed Companies Policies and Regulations CSE Trading Rules Issuer Policies Bulletins and Notices Regulatory Notices Bulletins Company Filings CSE Filings Listed Company

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2011/03/04/Notice-2011-001-Housekeeping-Amendments-Personal-Information-Form.aspx (2014-10-22)
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  • Notice 2010-006 Amendments - Policy 2 - Prospectus Exempt Debt Securities
    How to List on the CSE Fees Going Public For Listed Companies Forms Policies Login Services for Listed Companies Policies and Regulations CSE Trading Rules Issuer Policies Bulletins and Notices Regulatory Notices Bulletins Company Filings CSE Filings Listed Company News

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2010/11/05/Notice-2010-006-Amendments-Policy-2-Prospectus-Exempt-Debt-Securities-.aspx (2014-10-22)
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  • Notice 2010-005 Amendments - Trading Rules
    the CSE How to List on the CSE Fees Going Public For Listed Companies Forms Policies Login Services for Listed Companies Policies and Regulations CSE Trading Rules Issuer Policies Bulletins and Notices Regulatory Notices Bulletins Company Filings CSE Filings Listed

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2010/09/24/Notice-2010-005-Amendments-Trading-Rules-.aspx (2014-10-22)
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  • Notice 2010-004 Amendments - Rules 1-101 Definitions, 11-102 Qualification for Alternative Market
    Market July 26 2010 On July 13 2010 the Ontario Securities Commission approved proposed amendments to Rule 1 101 Definitions and Rule 11 102 Qualification for Alternative Market collectively Amendments that were published for comment May 17 2010 in CNSX Notice 2010 001 No comments were received The Amendments are effective immediately The substantive changes to the rules relating to Alternative Market securities expand the range of securities that may

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2010/07/26/Notice-2010-004-Amendments-Rules-1-101-Definitions-11-102-Qualification-for-Alternative-Market.aspx (2014-10-22)
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  • Notice 2010-003 - Policy and Rule Amendments
    the CSE How to List on the CSE Fees Going Public For Listed Companies Forms Policies Login Services for Listed Companies Policies and Regulations CSE Trading Rules Issuer Policies Bulletins and Notices Regulatory Notices Bulletins Company Filings CSE Filings Listed

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2010/07/08/Notice-2010-003-Policy-and-Rule-Amendments.aspx (2014-10-22)
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  • Notice 2010-002 - Implementation of the CSA?s Order Protection Rule (?OPR?)
    undertake in order to comply with the order protection obligation for trading on the Canadian National Stock Exchange CNSX and Pure Trading OPR Implementation Approach In order to minimize the impact of changes on system vendors and participating dealers while complying with the amended marketplace and trading rules CNSX Markets Inc will provide two approaches for parties routing orders to CNSX and Pure Trading which conform to the existing FIX and STAMP protocols in use for order entry on both marketplaces 1 All orders provided directly to the STAMP and FIX gateways from a participant dealer s system will be assumed by CNSX Markets Inc to be directed action orders DAO as defined in NI 23 101 Once an order has reached the order entry gateway the system will not check for execution opportunities at other trading venues The participating dealer entering or sponsoring the order will be assumed to have taken responsibility for having subjected the order to reasonable policies and procedures intended to avoid trading through better priced protected bids and offers in accordance with NI 23 101 These orders and subsequent actions on the order will be identified by CNSX Markets Inc as DAO for the purposes of regulatory reporting to IIROC 2 Participating dealers not prepared to accept the default designation of orders as DAO will have their orders intermediated by a smart order router deployed by CNSX Markets Inc The router is intended to provide order protection and other functions typically offered by available industry solutions including the ability to book non marketable orders according to preferences established by the sending participating dealer and providing the flexibility to define preferences when the order may execute against protected orders showing on more than one marketplace Participating dealers will be able to assume responsibility for order protection

    Original URL path: http://www.puretrading.ca/CNSX/Listing/Notices/2010/06/07/Notice-2010-002-Implementation-of-the-CSA-s-Order-Protection-Rule-OPR-.aspx (2014-10-22)
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