Canadian Securities Exchange (CSE) rule review and notices

The Canadian Securities Exchange (CSE), operated by CNSX Markets Inc., is recognized as an exchange in Ontario. Securities listed for trading on other recognized exchanges may also trade on the CSE.

2023

Notice of Approval - Amendments to CSE Form 2A Listing Statement – Canadian Securities Exchange
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Notice of Approval – Amendments to CSE Trading Rule 4 – Odd Lots – Canadian Securities Exchange
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Notice of Approval and Summary of Comments – Amendments to CSE Listing Policies – Canadian Securities Exchange
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Notice and Request for Comments – Proposed Amendments to CSE Form 2A Listing Statement – Canadian Securities Exchange
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Notice of Housekeeping Rule Amendments - Housekeeping Amendments to CSE Trading Rule 4 – Canadian Securities Exchange
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Notice of Housekeeping Rule Amendments – Trading Rule 4 – Odd Lots – Canadian Securities Exchange
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Notice and Request for Comments – Amendments to Trading Rules – Odd Lots - Canadian Securities Exchange
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2022

Notice of Approval - System Functionality - Second Trading Book- CSE2 - Canadian Securities Exchange
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Notice of Withdrawal of Proposed Amendment to Trading Fees - Canadian Securities Exchange
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Notice and Request for Comment - Significant Change Subject to Public Comment Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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2021

Notice and Request for Comments – Public Interest Rule Amendments – CSE Policies and Related Forms – Canadian Securities Exchange Comments Received
Notice of Proposed Change and Request for Comment – Proposed Fee Model for TSX and TSXV Listed Securities Trading on the CSE – Canadian Securities Exchange Comments Received
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Notice of Approval – Amendments to Trading System Functionality & Features – Canadian Securities Exchange

2020

Notice and Request for Comment - Significant Change Subject to Public Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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Notice and Request for Comment - Significant Change Subject to Public Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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Notice of Approval - Amendments to Trading System Functionality & Features - Regular Hours Only Option - Canadian Securities Exchange (CSE)
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Notice and Request for Comment - Amendments to Trading System Functionality & Features – Canadian Securities Exchange
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Notice of Housekeeping Rule Amendment - Housekeeping Amendment to Form 1A - Canadian Securities Exchange
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Notice of Approval - Amendments to Trading System Functionality & Features - Closing Price Session Enhancements - Canadian Securities Exchange
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Notice of Withdrawal - Proposed Amendments to Trading System - Canadian Securities Exchange
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2019

Notice and Request for Comment - Significant Change Subject to Public Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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Notice of Approval - System Functionality - Closing Price Session - Canadian Securities Exchange
Notice and Request for Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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Notice of Withdrawal of Proposed Amendments to Trading Rules - Canadian Securities Exchange
Notice of Approval - System Functionality - GMF Start Time - Canadian Securities Exchange
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Notice and Request for Comment - Amendments to Trading System Functionality and Features - Canadian Securities Exchange
Notice - Amendments to Trading System Functionality and Features - Canadian Securities Exchange
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OSC Notice - Summary of Comments and Notice of Approval - Policy 6 Distributions - Canadian Securities Exchange
CSE Notice - Summary of Comments and Notice of Approval - Policy 6 Distributions - Canadian Securities Exchange
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2018

Notice of Approval - Introduction of Monthly Tier Credits - Top of Book - Canadian Securities Exchange
OSC Notice: Notice of Approval - Form 9 Notice of Proposed Issuance of Listed Securities and Policy 6 Distributions - Canadian Securities Exchange
Notice of Approval - Form 9 Notice of Proposed Issuance of Listed Securities and Policy 6 Distributions - Canadian Securities Exchange
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Notice of Approval - Amendments to Trading System Functionality and Features - Canadian Securities Exchange
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OSC Staff Notice and Request for Comments - Public Interest Rule Amendment Policy 6 Distributions - Canadian Securities Exchange Comments Received
CSE Notice and Request for Comments - Public Interest Rule Amendment Policy 6 Distributions - Canadian Securities Exchange
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Notice and Request for Comments - Proposed Fee Change - Monthly Tier Credits - Top of Book - Canadian Securities Exchange
CSE Notice and Request for Comments - Proposed Fee Change to Monthly Tier Credits - Top of Book - Canadian Securities Exchange
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Notice and Request for Comments - Form 9 Notice of Proposed Issuance of Securities and Policy 6 Distributions - Canadian Securities Exchange
CSE Notice and Request for Comments - Proposed Amendments to Form 9 and Policy 6 - Canadian Securities Exchange
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Notice and Request for Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange Comments Received
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Notice of Approval - Application of Continued Listing Requirements - Canadian Securities Exchange
Notice and Request for Comments - Public Interest Rule Amendment - Application of Continued Listing Requirements - Canadian Securities Exchange
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Notice of Approval - Amendments to Policy 4 - Corporate Governance and Emerging Markets Issuers Guidance and Requirements - Canadian Securities Exchange
Notice of Withdrawal of Proposed Amendments to Trading Rules - Canadian Securities Exchange

2017

Notice of Approval - Amendments to Trading System Functionality & Features - New Order Types - Canadian Securities Exchange
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Notice and Request for Comments - Public Interest Rule - Amendments to Policy 4 Corporate Governance and Miscellaneous Provisions - Canadian Securities Exchange
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Notice and Request for Comment - Significant Change Subject to Public Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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Notice of Housekeeping Rule Amendments - Industry Transition to T+2 Securities Settlement - Canadian Securities Exchange
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Notice of Approval - Amendments to Trading System Functionality & Features - Oddlot Trading - Canadian Securities Exchange
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Notice of Approval - Amendments to Trading System Functionality & Features - On-Stop Orders - Canadian Securities Exchange
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Notice and Request for Comment - Significant Change Subject to Public Comment - Amendments to Trading System Functionality & Features - Canadian Securities Exchange
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Notice and Request for Comment - Significant Change Subject to Public Comment - Amendments to Trading System Functionality & Features (Blacklined) - Canadian Securities Exchange
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Notice and Request for Comments - Public Interest Rule Amendment - Rule 4-113 Commitments and Performance - Canadian Securities Exchange (CSE) Comments Received
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Notice of Withdrawal of Proposed Changes to Trading Fees
Notice of Approval - Housekeeping Amendments to Rules, Policies and Forms - Form 1B Listing Application - Canadian Securities Exchange
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Notice of Approval - Housekeeping Rule - Amendments to Policy 8 - Canadian Securities Exchange
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Notice of Approval - Market Maker Participation and Peg Orders - Canadian Securities Exchange
Notice of Proposed Amendments and Request for Comment - Policy 2 Qualifications for Listing and Policy 3 Suspension Halts and Delistings - Canadian Securities Exchange

2016

Notice and Request for Comment - CSE Notice 2016-14 - Significant Change Subject to Public Comment - Amendments to Trading System Functionality and Features - Canadian Securities Exchange Comments Received
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Notice of Proposed Change and Request for Comment - Amendment to Trading Fees - Canadian Securities Exchange Comments Received
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Notice of Approval - Amendments to Policy 2 Qualifications for Listing and Policy 8 Fundamental Changes - Canadian Securities Exchange
OSC Staff Notice of Proposed Changes and Request for Comment - Proposed Amendments to Policy 2 Qualifications for Listing - Canadian Securities Exchange
OSC Staff Notice of Proposed Changes and Request for Comment - Proposed Amendments to Policy 8 Fundamental Changes - Canadian Securities Exchange

2015

Notice of OSC Approval - Amendments to Operations - Self-Trade Prevention Features - Canadian Securities Exchange
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Notice and Request for Comments - Additional Self Trade Prevention Features - Canadian Securities Exchange
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Notice of Approval - Housekeeping Amendments to Rules, Policies and Forms - Canadian Securities Exchange
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2014

Notice of Approval of Proposed Change - Amendments to Odd Lot Trading - Canadian Securities Exchange
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Notice & Request for Comments - Notice 2014-005: Changes To Odd Lot Matching - Canadian Securities Exchange Comments Received
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Notice of Approval - Canadian Securities Exchange - Amendments to Rule 4 -Trading of Securities - Canadian Securities Exchange
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Notice and Request for Comments - Notice 2013-00[3] - Amendments to Rule 4 Trading of Securities - Canadian Securities Exchange
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Request for Comments - Notice 2014-003 - Self Trade Prevention - Canadian Securities Exchange
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2013

Notice of Commission Approval - Amendments to the Trading Rules of The Toronto Stock Exchange, Alpha Exchange, CNSX and the Policies of TMX Select - TSX Inc.
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Notice of Commission Approval – Amendments to CNSX Markets Inc. Order Functionality – Passive-Only Order Type - Canadian Securities Exchange
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Request for Comments - Notice 2013-003 - Passive-only Order Type - Canadian Securities Exchange
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2012

Notice of Completion of Staff Review of Proposed Changes – Changes to Order Allocation Methodology for Jitney Trades – CNSX Markets Inc.
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2011

Notice of Proposed Changes and Request for Feedback – Changes to Order Allocation Methodology for Jitney Trades – CNSX Markets Inc.
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OSC Staff Notice of Commission Approval – Amendments to Policy 2 – Qualification for Listing – CNSX Markets Inc.
Notice 2011-001 Housekeeping Amendments – Personal Information Form – CNSX Markets Inc.
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Notice of Commission Approval – Amendments to CNSX Rules 1, 3, 4 and 11 including the repeal of Rules 4-107 Entry of Orders for Market Maker Securities and 4-108 Fair Prices, and the addition of Rule 12 – CNSX Markets Inc.

2010

CNSX Notice 2010-006 – Notice and Request for Comments – Amendments to Policy 2 Qualification for Listing – CNSX Markets Inc.
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CNSX Notice 2010-005 – Notice and Request for Comments – Amendments to CNSX Rules 1, 3, 4, and 11 including the repeal of Rules 4-107 Entry of Orders or Market Maker Securities and 4-108 Fair Prices, and the addition of Rule 12 – CNSX Markets Inc.
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Notice of Commission Approval - Rule 1-101 Definitions and Rule 11-102 Qualification for Alternative Market – CNSX Markets Inc.
CNSX Notice 2010-003 – Policy and Rule Amendments – Policy 1, Policy 2, Policy 4, Policy 5 and related forms, new Policy 10 and Rules 1-101, 11-102 and 11-103 – CNSX Markets Inc.
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CNSX Notice 2010-01: - Notice and Request for Comments of Proposed Rule Change - Rule 1-101 Definitions and Rule 11-102 Qualifications for Alternative Market – CNSX Markets Inc.
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CNSX Markets Inc. -- s. 15.1 of NI 21-101 Marketplace Operation and s. 6.1 of OSC Rule 13-502 Fees

2009

CNSX Notice 2009-001 – Notice and Request for Comments – Proposed Policy and Rule Changes – Policy 1, Policy 2, Policy 4, Policy 5 and related forms, and Rule 1-101, Rule 11-102 and Rule 11-103 – CNSX Markets Inc.
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2008

Notice of Commission Approval – French Versions of CNQ Rules and Policies – Canadian Trading and Quotation System Inc. (CNQ)

2007

Amendments to Policy 6 Distributions - Amendment of Warrant Terms - Notice of Commission Approval - Canadian Trading and Quotation System Inc. (CNQ)
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Amendments to Policy 6 Distributions - Amendment of Warrant Terms - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Approval - Amendments to CNQ Rules 4-106, 4-107, 4-111 and 1-101 - Entry of Orders - Canadian Trading and Quotation System Inc. (CNQ)
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Summary of Comments - Amendments to CNQ Rules 4-106, 4-107, 4-111 and 1-101 - Entry of Orders - Canadian Trading and Quotation System Inc. (CNQ)
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Notice and Request for Comments - Proposed Policy Change to Policy 6 - Distributions Regarding Amendment of Warrant Terms - Canadian Trading and Quotation System Inc. (CNQ)
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Notice and Request for Comments - Proposed Rule Change to Rules 4-106 and 4-107 Regarding Entry of Orders - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Approval - Repeal of CNQ Rule 10 - Sales Practice - Canadian Trading and Quotation System Inc. (CNQ)
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2006

Notice of Approval - Housekeeping Amendments to CNQ's Trader Approval Form - Canadian Trading and Quotation System Inc. (CNQ)
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Revised Trader Approval Form - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Order – Variation of Recognition Order of Canadian Trading and Quotation System Inc. (CNQ)
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Changes to CNQ Rules and Policies - Canadian Trading and Quotation System Inc. (CNQ)
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Revised CNQ Dealer Application - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Approval - Repeat of CNQ Rule 10-105 - Risk Disclosure Statement - Canadian Trading and Quotation System Inc. (CNQ)
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Summary of Comments - Repeal of Rule 10-105 - Risk Disclosure Statement - Canadian Trading and Quotation System Inc. (CNQ)
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2005

CNQ Rules - Canadian Trading and Quotation System Inc. (CNQ)
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CNQ Policies - Canadian Trading and Quotation System Inc. (CNQ)
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Notice and Request for Comments - Proposed Repeal of CNQ Rule 10-105 - Canadian Trading and Quotation System Inc. (CNQ)
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Notice and Request for Comments - Proposed Repeal of CNQ Rule 10-105 - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Approval - Proposed Amendments to CNQ Rules - Entry of Off-Market Orders by Non-Market Makers - Canadian Trading and Quotation System Inc. (CNQ)
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Request for Comments - Issuers with a Substantial Connection to Alberta - Commission Approval to CNQ Rule Amendments - Canadian Trading and Quotation System Inc. (CNQ)

2004

Notice of Commission Approval - Policy Amendment - Generic Share Certificates - Canadian Trading and Quotation System Inc. (CNQ)
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CNQ Policy Amendment - Generic Share Certificates - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Approval - Amendments to CNQ Rules and Policies - Registration Requirements for CNQ Dealers and Approved Traders and Appeals of CNQ Decisions - Canadian Trading and Quotation System Inc. (CNQ)
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Notice of Commission Approval - Repeal of CNQ Policy 10 - Fees - Canadian Trading and Quotation System Inc. (CNQ)
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2003

Notice of Commission Approval - Amendments to CNQ Issuer Policies - Out of Province Issuers - Canadian Trading and Quotation System Inc. (CNQ)
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