Notice 2016-007 – Market Maker Application Procedures
April 27, 2016
Effective immediately, the Canadian Securities Exchange (“CSE” or “Exchange”) will implement the following application review process for the allocation of securities to Market Makers. Applications for CSE Listed and Other Listed securities will be subject to the process.
Application Content
The CSE Market Maker Application form must be completed in full. For applications covering multiple securities, an appendix may accompany the form indicating the guaranteed fill volume and spread goal for each security. The form may be accessed at: http://thecse.com/en/services/become-market-maker/forms.
Application Delivery
Applications may be delivered by fax, email, or directly delivered to the offices of the Exchange. Contact information is provided below.
Review Period
Applications received during a business week will be reviewed by the CSE on the following Tuesday. Applicants will be notified of the decision by the next business day. Allocations will be announced in an Exchange Bulletin within two business days of the decision, with an effective date no later than the following week.
Related links:
If you have any questions or require further information, please contact:
[email protected]
Tel: 416.367.7347
Fax: 416-572-4160
220 Bay Street, 9th Floor | Toronto | ON | Canada | M5J 2W4
