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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.3.00 Approval
Rule D.4.00 Limitation of Liability and Indemnification
Rule E.1.00 Discipline
Rule E.1.01 (Deleted)
Rule E.1.02 (Deleted)
Rule E.1.03 Investigatory Powers
Rule E.1.04 Audit and Investigation
Rule E.1.05 (Deleted)
Rule E.1.06 Provision of Information to Other Canadian Exchanges
Rule E.1.07 Investigations
Rule E.1.08 (Deleted)
Rule E.1.09 (Deleted)
Rule E.1.10 (Deleted)
Rule E.1.11 (Deleted)
Rule E.1.12 (Deleted)
Rule E.1.13 (Deleted)
Rule E.1.14 (Deleted)
Rule E.1.15 (Deleted)
Rule E.1.16 (Deleted)
Rule E.1.17 (Deleted)
Rule E.1.18 (Deleted)
Rule E.1.19 Method of Service
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
Request For Comments
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Location: TSX Venture Exchange Rule Book > Rule E.1.00 Discipline
Rule D.4.05 Insurance Rule E.1.01 (Deleted)

Rule E.1.00 Discipline


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Contents:
Rule E.1.01 (Deleted)
Rule E.1.02 (Deleted)
Rule E.1.03 Investigatory Powers
Rule E.1.04 Audit and Investigation
Rule E.1.05 (Deleted)
Rule E.1.06 Provision of Information to Other Canadian Exchanges
Rule E.1.07 Investigations
Rule E.1.08 (Deleted)
Rule E.1.09 (Deleted)
Rule E.1.10 (Deleted)
Rule E.1.11 (Deleted)
Rule E.1.12 (Deleted)
Rule E.1.13 (Deleted)
Rule E.1.14 (Deleted)
Rule E.1.15 (Deleted)
Rule E.1.16 (Deleted)
Rule E.1.17 (Deleted)
Rule E.1.18 (Deleted)
Rule E.1.19 Method of Service