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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:

Notice 2014-002

Notice 2014-005

Notice 2014-006

If you have any questions or require further information, please contact:

trading@thecse.com
Tel: 416.367.7347

Fax: 416-572-4160

220 Bay Street, 9th Floor | Toronto | ON | Canada | M5J 2W4

www.thecse.com

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