1. The Market Regulator shall assign a unique identifier to:
   1. a marketplace for trading purposes upon the Market Regulator being retained as the regulation services provider for the marketplace.
2. A marketplace, upon granting access to the trading system of the marketplace to a Participant or Access Person, shall assign a unique identifier to the Participant or Access Person for trading purposes.
3. An Exchange upon listing of a security or a derivative, a QTRS upon quoting of a security and a marketplace upon commencement of trading of a foreign exchange-traded security shall assign a unique symbol for trading purposes.
4. The Market Regulator in assigning an identifier pursuant to subsection (1) or an Exchange, QTRS or marketplace in assigning an identifier or symbol pursuant to subsection (2) or (3) shall not assign an identifier or symbol that is:
   1. different from the identifier or symbol previously assigned to the marketplace, Participant, security or derivative if such previously assigned identifier or symbol will continue to be used in respect of that marketplace, Participant, security or derivative;
   2. the same as an identifier or symbol assigned to another marketplace, Participant, security or derivative if such previously assigned identifier or symbol will continue to be used in respect of that other marketplace, Participant, security, or derivative;
   3. not in compliance with the provisions of any agreement made in accordance with section 7.5 of the Trading Rules for the co-ordination and monitoring and enforcement between each regulation services provider, Exchange and QTRS; or
   4. in a form or of a type that is not generally supported by the systems of market participants as defined for the purposes of applicable securities legislation.

Each marketplace and each Participant shall synchronize the clocks used for recording the time and date of any event that must be recorded pursuant to UMIR to the clock used by the Market Regulator for this purpose.

Each Market Regulator shall provide information and other forms of assistance for market surveillance, investigative, enforcement and other regulatory purposes including the administration and enforcement of UMIR to:

1. a self-regulatory entity;
2. a self-regulatory organization in a foreign jurisdiction;
3. a securities regulatory authority;
4. a securities regulatory authority in a foreign jurisdiction; and
5. another Market Regulator.

1. Order and Trade Record - In addition to any information required to be recorded by a Participant in accordance with Part 11 of the Trading Rules, a Participant shall:
   1. immediately following the receipt or origination of an order, record:
      1. all order designations required by clause (b) of subsection (1) of Rule 6.2,
      2. the identifier of any investment adviser or registered representative receiving the order, and
      3. any information respecting the special terms attaching to the order required by subsection (3) of Rule 6.2, if applicable;
   2. immediately following the entry of an order to trade on a marketplace, add to the record:
      1. the identifier of the Participant through which any trade would be cleared and settled,
      2. the identifier assigned to the marketplace on which the order is entered; and
   3. immediately following the variation or correction of an order, add to the record any information required by clause (a) which has been changed.
2. Transmittal of Order Information to a Market Regulator - The Participant shall transmit the record of the order required to be maintained by the Participant by this section to:
   1. the Market Regulator for the marketplace on which the trade was executed; or
   2. if the order was not executed on a marketplace in accordance with Rule 6.4,
      1. a Market Regulator if the security is not listed on an Exchange or traded on a QTRS, and

      2. the Market Regulator for the Exchange or the QTRS on which the security is listed or quoted,

         at the time and in such manner and form as may be required by the Market Regulator.

3. Provision of Additional Information - In addition to any information provided by a Participant to a Market Regulator in accordance with subsection (2), the Participant shall provide to the Market Regulator forthwith upon request in such form and manner as may be reasonably required by the Market Regulator:
   1. any additional information respecting the order or trade reasonably requested; and
   2. information respecting any prior or subsequent order or trade in the security or the derivative or a related security or a related derivative undertaken by the Participant on any marketplace.
4. Provision of Information by a Access Person - Where an order has been entered on a marketplace by an Access Person, the Access Person shall provide to the Market Regulator of the marketplace on which the order was entered or the Market Regulator of the marketplace on which the order was executed forthwith upon request in such form and manner as may be reasonably required by the Market Regulator:
   1. any information respecting the order or trade reasonably requested; and
   2. information respecting any prior or subsequent order or trade in the security or a related security undertaken by the Access Person on any marketplace.

1. A Participant shall calculate, as of 15th day and as of the last day of each calendar month, the aggregate short position of each individual account in respect of each listed security and quoted security.
2. Unless a Participant maintains the account in which an Access Person has the short position in respect of a listed security or quoted security, the Access Person shall calculate, as of the 15th day and as of the last day of each calendar month, the aggregate short position of the Access Person in respect of each listed security and quoted security.
3. Unless otherwise provided, each Participant and Access Person required to file a report in accordance with subsection (1) or (2) shall file a report of the calculation with a Market Regulator in such form as may be required by the Market Regulator not later than two trading days following the date on which the calculation is to be made.

1. A Market Integrity Official may, in governing trading in securities or derivatives on the marketplace:
   1. delay, halt or suspend trading in a security or a derivative at any time and for such period of time as such Market Integrity Official may consider appropriate in the interest of a fair and orderly market;
   2. refuse to allow any bid price or ask price to be recorded at any time if, in the opinion of such Market Integrity Official, such quotation is unreasonable or not in compliance with UMIR or any Policy;
   3. settle any dispute arising from trading in securities or derivatives on the marketplace where such authority is not otherwise provided for in any requirement governing trading on the marketplace;
   4. vary or cancel any trade which, in the opinion of such Market Integrity Official, is unreasonable or not in compliance with UMIR or any Policy;
   5. vary or cancel any trade upon application of the buyer and seller provided such application has been made by the end of trading on the day following the day on which the trade was made or such earlier time as may be established in any Marketplace Rule of the marketplace on which the trade was executed;
   6. in respect of any trade which has not complied with the requirements of Part 5, correct the price of the trade to a price at which the trade would have complied with such requirement, or
   7. require the Participant or Access Person to satisfy any order included in the disclosed volume if the trade by the Participant or Access Person failed to comply with requirements of section 6.4 of the Trading Rules;
      
      (g.1) in respect of any trade of a principal order or non-client order that has not complied with the requirements of Rule 5.3, require the Participant to satisfy the client order at the price and up to the volume of the trade which failed to comply with the requirements of Rule 5.3.
   8. provide to any person an interpretation of any provision of UMIR and any Policy in accordance with the purpose and intent of the provision and shall ensure that any such interpretation is observed by such person;
   9. limit trading to liquidation of a position in a listed derivative only;
   10. order liquidation of a position in a listed derivative in all or a portion of an account;
   11. restrict trading in a listed derivative to a specific price range;
   12. exercise such powers as are specifically granted to a Market Regulator or Market Integrity Official by UMIR and any Policy; and
   13. exercise such powers as are specifically granted to the Market Regulator by the marketplace where the marketplace is entitled to grant such powers.
2. In determining whether any quotation or trade in a security is unreasonable, the Market Regulator shall consider:
   1. prevailing market conditions;
   2. the last sale price of:
      1. the security as displayed in a consolidated market display, or
      2. the derivative as displayed on a marketplace;
   3. patterns of trading in the security or derivative on the marketplace including volatility, volume and number of transactions;
   4. whether material information concerning the security or underlying security of a derivative is in the process of being disseminated to the public; and
   5. the extent of the interest of the person for whose account the order is entered in changing the price or quotation for the security or derivative.
3. In connection with the exercise of a power under this Rule, upon the verbal, written or electronic request of the Market Integrity Official, the Subject Person shall, within the time period specified by the Market Integrity Official:
   1. provide any information, document or records in the possession or control of the person that the Market Regulator determines may be relevant to the exercise of a power by the Market Regulator and such information, document or records shall be provided in such manner and form, including electronically, as may be required by the Market Regulator; and
   2. allow the inspection of, and permit copies to be taken of, any information, document or records in the possession or control of the person that the Market Regulator determines may be relevant to the exercise of a power by the Market Regulator.
4. If a Market Integrity Official has provided notice to a Subject Person pursuant to subsection (3), the Subject Person shall, notwithstanding any policy or procedure of the Subject Person with respect to the retention of information, documents or records, retain any document or record in the possession or control of the Subject Person that is relevant to the exercise of the power by the Market Integrity Official for a period of 30 days from the date of the notice or such other period as may be specified by the Market Regulator.

1. A related entity of a Participant and a director, officer, partner or employee of the Participant or a related entity of the Participant shall:
   1. comply with the provisions of UMIR and any Policies with respect to specific unacceptable activities, manipulative and deceptive activities, short sales and frontrunning as if references to “Participant” in Rules 2.1, 2.2, 2.3, 4.1, and Part 3 of UMIR included reference to such person; and
   2. in respect of the failure to comply with the provisions of UMIR and the Policies referred to in clause (a), be subject to the practice and procedures and to penalties and remedies set out in this Part.
2. A related entity of an Access Person and a director, officer, partner or employee of the Access Person or a related entity of the Access Person shall in respect of trading on a marketplace on behalf of the Access Person or related entity of the Access Person:
   1. comply with the provisions of UMIR and any Policies with respect to specific unacceptable activities, manipulative and deceptive activities and short sales as if references to “Access Person” in Rules 2.1, 2.2, 2.3 and Part 3 of UMIR included reference to such person; and
   2. in respect of the failure to comply with the provisions of UMIR and the Policies referred to in clause (a), be subject to the practice and procedures and to the penalties and remedies set out in this Part.
3. If, in the opinion of a Market Regulator, a particular person to whom UMIR applies, including any particular person to whom UMIR has been extended in accordance with subsection (1) and (2), has organized their business and affairs for the purpose of avoiding the application of any provision of UMIR, the Market Regulator may designate any person involved in such business and affairs as a person acting in conjunction with the particular person.
4. Upon a Market Regulator making a designation in accordance with subsection (3), the Market Regulator shall provide notice of such designation to:
   1. the particular person;
   2. the designated person;
   3. each Market Regulator; and
   4. each applicable securities regulatory authority.