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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.1.01 (Deleted)
Rule D.1.02 (Deleted)
Rule D.1.03 Appointment of Designated Member
Rule D.1.04 Designated Member Represents Member
Rule D.1.05 Use of Facilities
Rule D.1.06 (Deleted)
Rule D.1.07 Register of Members
Rule D.1.08 (Deleted)
Rule D.1.09 (Deleted)
Rule D.1.10 Member Corporation
Rule D.1.11 Member Firms
Industry Participation by Directors and Partners
Ownership of Securities (Other than Public Ownership)
Changes in Ownership
Other Ownership Restrictions
Monitoring and Approval of Ownership of Members
Enforcement of Ownership Restrictions
Distribution of Member Shares
Members and their Holding Companies and Related Companies
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 D.1.00 Membership
Rule C.3.11 Verified Statement of Outstanding Exchange Contracts Rule D.1.01 (Deleted)

Rule D.1.00 Membership


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Contents:
Rule D.1.01 (Deleted)
Rule D.1.02 (Deleted)
Rule D.1.03 Appointment of Designated Member
Rule D.1.04 Designated Member Represents Member
Rule D.1.05 Use of Facilities
Rule D.1.06 (Deleted)
Rule D.1.07 Register of Members
Rule D.1.08 (Deleted)
Rule D.1.09 (Deleted)
Rule D.1.10 Member Corporation
Rule D.1.11 Member Firms
Industry Participation by Directors and Partners
Rule D.1.12 Industry Participation by Directors
Rule D.1.13 Industry Participation by Partners
Rule D.1.14 Directors
Rule D.1.15 Partners
Rule D.1.16 Officers
Ownership of Securities (Other than Public Ownership)
Rule D.1.17 (Deleted)
Rule D.1.18 (Deleted)
Changes in Ownership
Rule D.1.19 Exchange Approval of Changes in Ownership
Other Ownership Restrictions
Rule D.1.20 (Deleted)
Rule D.1.21 (Deleted)
Monitoring and Approval of Ownership of Members
Rule D.1.22 Shareholdings or Partnership Interest of 10 Percent or More
Rule D.1.23 Notice of Changes in a Member
Enforcement of Ownership Restrictions
Rule D.1.24 Minimum Necessary Enforcement Provisions
Rule D.1.25 Application of Enforcement Provisions
Rule D.1.26 (Deleted)
Rule D.1.27 Notification of Contravention
Distribution of Member Shares
Rule D.1.28 (Deleted)
Rule D.1.29 (Deleted)
Rule D.1.30 (Deleted)
Rule D.1.31 (Deleted)
Rule D.1.32 (Deleted)
Members and their Holding Companies and Related Companies
Rule D.1.33 Exchange Approval
Rule D.1.34 Corporate Groups
Rule D.1.35 (Deleted)
Rule D.1.36 (Deleted)
Rule D.1.37 Compliance with Exchange Requirements
Rule D.1.38 (Deleted)
Rule D.1.39 Securities Related Activities
Rule D.1.40 Application to Holding Companies
Rule D.1.41 (Deleted)
Rule D.1.42 (Deleted)
Rule D.1.43 (Deleted)
Rule D.1.44 Rights and Obligations of Members
Rule D.1.45 Amalgamation or Merger
Rule D.1.46 Application for Membership
Rule D.1.47 (Deleted)
Rule D.1.47.1 (Deleted)
Rule D.1.47.2 (Deleted)
Rule D.1.48 Waiting Period after Rejection
Rule D.1.49 Payment of Fees
Rule D.1.50 Transfer of Membership
Rule D.1.51 (Deleted)
Rule D.1.52 Entry in Register and Rights
Rule D.1.53 (Deleted)
Rule D.1.54 (Deleted)
Rule D.1.55 (Deleted)
Rule D.1.56 (Deleted)
Rule D.1.57 (Deleted)
Rule D.1.58 (Deleted)
Rule D.1.59 (Deleted)
Rule D.1.60 Assessments, Fees, Fines and Charges
Rule D.1.61 Insolvency and Bankruptcy
Rule D.1.62 (Deleted)
Rule D.1.63 (Deleted)
Rule D.1.64 (Deleted)
Rule D.1.65 (Deleted)