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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

TSX Venture Exchange Approved Traders

Connection of Eligible Clients of Members

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.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 C.2.00 Trading Procedures and Practices

Rule C.1.06 Exercise of Exchange Powers

Rule C.2.00 Trading Procedures and Practices

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Contents:

Rule C.2.01 Establishing Priority

Rule C.2.02 Board Lot Priority

Rule C.2.03 Special Term Order Priority

Rule C.2.04 Execution of Trades at an Opening

Rule C.2.05 Delayed Openings

Rule C.2.06 Allocation of Trades

Rule C.2.07 Minimum Quotation Spread

Rule C.2.08 Responsibility for Odd Lots

Rule C.2.09 (Deleted)

Rule C.2.10 Stop Loss Orders

Rule C.2.11 Breach of Exchange Requirement

Rule C.2.12 Exchange Liability

Rule C.2.13 Transaction Prohibited

Rule C.2.14 Advantage Goes With Securities Sold

Rule C.2.15 Accrued Interest Goes to Seller

Rule C.2.16 Ex-Dividend and Ex-Right Adjustment to Orders

Rule C.2.17 Shares Selling Ex-Dividends and Ex-Rights

Rule C.2.18 Expiry Date

Rule C.2.19 Trades on a "When Issued" Basis

Rule C.2.20 When Issue Delisted or Suspended or No Fair Market

TSX Venture Exchange Approved Traders

Rule C.2.21 Access to TSX Venture Exchange

Rule C.2.22 Appointment

Rule C.2.23 Approval by Exchange

Rule C.2.24 Designated Member

Rule C.2.25 Approved Trader — Qualifications for Application

Rule C.2.26 Jurisdiction of the Exchange

Rule C.2.27 Compliance with Exchange Requirements

Rule C.2.28 Continuance of Exchange Approval

Rule C.2.29 Supervision of Assistant Traders

Rule C.2.30 Non-Client Account (Non Commission Account)

Rule C.2.31 Suspension of Approved Trader

Rule C.2.32 Revocation of Approved Trader's Authority

Rule C.2.33 Ceasing to be a Trader

Rule C.2.34 Report of Termination of Approved Trader

Rule C.2.35 Trading to be Executed on TSX Venture Exchange

Rule C.2.49 Inquiries

Rule C.2.50 (Deleted)

Connection of Eligible Clients of Members

Rule C.2.51 Designation of Eligible Clients

Rule C.2.52 Conditions for Connections

Rule C.2.53 Responsibility of Members