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TSX Venture Exchange Rule Book:

TSX Venture Exchange Rule Book

Rule A.1.00 Interpretation

Rule B.1.00 Power to List and Delist

Rule B.2.00 Sponsorship and Sponsor Report

Rule C.1.00 Governance of Trading Session

Rule C.2.00 Trading Procedures and Practices

Rule C.3.00 Clearing and Settlement of Trades of Listed Securities

Rule D.1.00 Membership

Rule D.2.00 Participating Organizations

Rule D.2.01 Qualification

Rule D.2.02 Application

Rule D.2.03 Participating Organization subject to Exchange Requirements

Rule D.2.04 Fee and Charges

Rule D.2.05 Termination

Rule D.3.00 Approval

Rule D.4.00 Limitation of Liability and Indemnification

Rule E.1.00 Discipline

Rule E.2.00[A] Hearings General

Rule E.2.00[B] Disciplinary Proceedings

Rule E.2.00[C] Listed Company Reviews

Rule F.1.00 Member, Approved Person and Employee Conduct

Rule F.2.00 Member Ethics and Affairs

Rule F.3.00 Specific Provisions Respecting Managed Accounts and Discretionary Accounts (Deleted)

Rule F.4.00 Clients' Fully Paid Securities (Deleted)

Rule F.5.00 Client Indebtedness (Deleted)

Rule F.6.00 Proxies (Deleted)

Rule F.7.00 Cash Accounts (Deleted)

Rule F.8.00 Margin Accounts (Deleted)

Rule F.9.00 Client Account Transfers (Deleted)

Rule F.10.00 Relationship Between Introducing Brokers and Carrying Brokers (Deleted)

Rule F.11.00 Uniform Settlement Rule (Deleted)

Rule F.12.00 Display by Members of Participating Institutions of CIPF Coverage (Deleted)

Rule G.1.00 Capital, Margin and Examinations (Deleted)

Rule G.2.00 Account Guarantees (Deleted)

Rule G.3.00 Records and Audit

Rule G.4.00 Insurance (Deleted)

Rule G.5.00 Concentration of Securities (Deleted)

Rule G.6.00 Cash and Securities Loan Agreements

Rule G.7.00 Early Warning System (Deleted)

Rule G.8.00 Disclosure to Clients of Members' Financial Condition (Deleted)

Rule G.9.00 Clients' Free Credit Balances (Deleted)

Rule H. Left Intentionally Blank

Rule I.1.00 Options (Deleted)

Rule I.2.00 Trading in O.C.C. Option Contracts (Deleted)

Rule J.1.00 Commodity Futures Contracts and Options

Rule J.2.00 Industry Member

TSX Venture Exchange Trading Policies

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Location: TSX Venture Exchange Rule Book > Rule D.2.00 Participating Organizations

Rule D.1.65 (Deleted)

Rule D.2.01 Qualification

Rule D.2.00 Participating Organizations

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Contents:

Rule D.2.01 Qualification

Rule D.2.02 Application

Rule D.2.03 Participating Organization subject to Exchange Requirements

Rule D.2.04 Fee and Charges

Rule D.2.05 Termination