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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.2.00[A] Hearings General

Rule E.2.00[B] Disciplinary Proceedings

Rule E.2.00[C] Listed Company Reviews

Rule E.2.15[C] (Deleted)

Rule E.2.16[C] Listed Company Review Panel Roster

Rule E.2.17[C] Hearing Panels — Listed Company Reviews

Rule E.2.18[C] Pre-Hearing Conferences

Rule E.2.19[C] Rules Applying at a Listed Company Review

Rule E.2.20[C] Communication with Listed Company Review Panel

Rule E.2.21[C] Decision Following Listed Company Review

Rule E.2.22[C] Form of Decision

Rule E.2.23[C] Decision of the Listed Company Review Panel Final

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.2.00[C] Listed Company Reviews

Rule E.2.14[B] (Deleted)

Rule E.2.15[C] (Deleted)

Rule E.2.00[C] Listed Company Reviews

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Contents:

Rule E.2.15[C] (Deleted)

Rule E.2.16[C] Listed Company Review Panel Roster

Rule E.2.17[C] Hearing Panels — Listed Company Reviews

Rule E.2.18[C] Pre-Hearing Conferences

Rule E.2.19[C] Rules Applying at a Listed Company Review

Rule E.2.20[C] Communication with Listed Company Review Panel

Rule E.2.21[C] Decision Following Listed Company Review

Rule E.2.22[C] Form of Decision

Rule E.2.23[C] Decision of the Listed Company Review Panel Final