Part 7 - Trading in a Marketplace
Defined Terms:
NI 14-101 section 1.1(3) – “securities regulatory authority”
NI 21-101 section 1.1 – “order”
NI 21-101 section 1.4 – Interpretation -- “security”
UMIR section 1.1 – “Access Person”, “derivative”, “employee”, “Exchange”, “Market Regulator”, “marketplace”, “Participant”, “Policy”, “QTRS” and “UMIR”
Regulatory History:
In connection with the recognition of IIROC and its adoption of UMIR, the applicable securities commissions approved amendments to Rule 7.2 that came into force on June 1, 2008 to make editorial changes. See Footnote 1 of Status of Amendments.
Effective December 14, 2022, the applicable securities commissions approved amendments to UMIR 7.2 to expand proficiency obligations to the trading of derivatives on a marketplace. See IIROC Notice 22-0140 – “Amendments Respecting the Trading of Derivatives on a Marketplace” (September 15, 2022).
There is no history log for this rule.