Part 6 - Order Entry and Exposure
A Participant or Access Person shall not enter an order for the purchase or sale of a security on a marketplace if:
Defined Terms:
NI 21-101 section 1.1 – “order”
NI 21-101 section 1.4 – Interpretation -- “security”
UMIR section 1.1 – “Access Person”, “consolidated market display”, “Dark Order”, “Market Regulator”, “marketplace”, “Participant” and “standard trading unit”
Regulatory History:
On April 13, 2012, the applicable securities commissions approved an amendment, effective October 15, 2012, to add section 6.5.