10.13 Exchange and Provision of Information by Market Regulators

    Each Market Regulator shall provide information and other forms of assistance for market surveillance, investigative, enforcement and other regulatory purposes including the administration and enforcement of UMIR to:

    1. a self-regulatory entity;
    2. a self-regulatory organization in a foreign jurisdiction;
    3. a securities regulatory authority; 
    4. a securities regulatory authority in a foreign jurisdiction; and
    5. another Market Regulator.

    Defined Terms:

    NI 14-101 section 1.1(3) – “foreign jurisdiction” 

    NI 21-101 section 1.1 – “self-regulatory entity”

    UMIR section 1.1 – “Market Regulator” and “UMIR”

    There are no related Guidance/Notice documents available for this Rule.

    Regulatory History:

    In connection with the recognition of IIROC and its adoption of UMIR, the applicable securities commissions approved an amendment to section 10.13 that came into force on June 1, 2008 to replace the phrase “these Rules” with “UMIR”. See Footnote 1 in Status of Amendments.

    There is no history log for this rule.
    Part 1 - Definitions and Interpretation
    Part 2 - Abusive Trading
    Part 3 - Short Selling
    Part 4 - Frontrunning
    Part 5 - Best Execution Obligation
    Part 6 - Order Entry and Exposure
    Part 7 - Trading in a Marketplace
    Part 8 - Principal Trading
    Part 9 - Trading Halts, Delays and Suspensions
    Part 10 - Compliance
    Part 11 - Administration of UMIR