The Alberta Gazette

Part I

Vol. 108 Edmonton, Saturday, June 30, 2012 No. 12

PROCLAMATION

[GREAT SEAL]

CANADA

PROVINCE OF ALBERTA Donald S. Ethell, Lieutenant Governor.

ELIZABETH THE SECOND, by the Grace of God, of the United Kingdom,

Canada, and Her Other Realms and Territories, QUEEN, Head of the

Commonwealth, Defender of the Faith

P R O C L A M A T I O N

To all to Whom these Presents shall come

G R E E T I N G

Denise Perret Acting Deputy Minister of Justice and

Acting Deputy Attorney General

WHEREAS

section 23 of the Traffic Safety Amendment Act, 2011, provides that

that Act comes into force on Proclamation; and

WHEREAS it is expedient to proclaim the Traffic Safety Amendment Act, 2011, in

force:

NOW KNOW YE THAT by and with the advice and consent of Our Executive

Council of Our Province of Alberta, by virtue of the provisions of the said Act

hereinbefore referred to and of all other power and authority whatsoever in Us vested

in that behalf, We have ordered and declared and do hereby proclaim the Traffic

Safety Amendment Act, 2011, in force on June 25, 2012.

IN TESTIMONY WHEREOF We have caused these Our Letters to be made Patent

and the Great Seal of Our Province of Alberta to be hereunto affixed.

WITNESS: COLONEL (RETIRED) THE HONOURABLE DONALD S.

ETHELL, Lieutenant Governor of Our Province of Alberta, in Our City of Edmonton

in Our Province of Alberta, this 12th day of June in the Year of Our Lord Two

Thousand Twelve and in the Sixty-first Year of Our Reign.

BY COMMAND Jonathan Denis, Provincial Secretary.

ORDERS IN COUNCIL

O.C. 176/2012

(Municipal Government Act)

Approved and ordered:

Donald S. Ethell

Lieutenant Governor. May 31, 2012

The Lieutenant Governor in Council orders that

(

a) effective January 1, 2012, the land described in Appendix A and shown on

the sketch in Appendix B is separated from Brazeau County and annexed to

the Town of Drayton Valley,

(

b) any taxes owing to Brazeau County at the end of December 31, 2011 in

respect of the annexed land are transferred to and become payable to the

Town of Drayton Valley together with any lawful penalties and costs levied

in respect of those taxes, and the Town of Drayton Valley upon collecting

those taxes, penalties and costs must pay them to Brazeau County, and

(

c) the assessor for the Town of Drayton Valley must, for the purposes of

taxation in 2012 and subsequent years, assess the annexed land and the

assessable improvements to it,

and makes the Order in Appendix C.

Alison Redford, Chair.

APPENDIX A

DETAILED DESCRIPTION OF THE LANDS SEPARATED

FROM BRAZEAU COUNTY AND ANNEXED TO

THE TOWN OF DRAYTON VALLEY

ALL THAT PORTION OF THE WEST HALF OF

SECTION TWENTY-ONE (21),

TOWNSHIP FORTY-NINE (49), RANGE SEVEN

(7) WEST OF THE FIFTH

MERIDIAN NOT WITHIN THE TOWN OF DRAYTON VALLEY LYING EAST

OF THE EAST BOUNDARY OF PLAN 2502JY AND LYING SOUTH OF THE

SOUTH BOUNDARY OF PLAN 782 1189 AND EXCLUDING PLAN 832 2156.

ALL THAT PORTION OF THE EAST HALF OF

SECTION TWENTY-ONE (21),

TOWNSHIP FORTY-NINE (49), RANGE SEVEN

(7) WEST OF THE FIFTH

MERIDIAN NOT WITHIN THE TOWN OF DRAYTON VALLEY LYING SOUTH

OF THE SOUTH BOUNDARY OF PLAN 772 1918.

ALL THAT PORTION OF THE WEST HALF OF

SECTION TWENTY-TWO (22),

TOWNSHIP FORTY-NINE (49), RANGE SEVEN

(7) WEST OF THE FIFTH

MERIDIAN LYING SOUTH OF THE SOUTH BOUNDARY OF PLAN 002 2846

INCLUDING ALL THAT PORTION OF THE NORTH-SOUTH ROAD

ALLOWANCE AND ROAD WIDENING ADJACENT TO THE WEST SIDE OF

SAID HALF

SECTION LYING SOUTH OF THE PROJECTION WEST OF THE

SOUTH BOUNDARY OF PLAN 002 2846.

ALL THAT PORTION OF THE EAST HALF OF

SECTION TWENTY-TWO (22),

TOWNSHIP FORTY-NINE (49), RANGE SEVEN

(7) WEST OF THE FIFTH

MERIDIAN LYING SOUTH OF THE SOUTH BOUNDARY OF PLAN 002 2846.

THE NORTH HALF OF

SECTION FIFTEEN (15), TOWNSHIP FORTY-NINE

(49), RANGE SEVEN

(7) WEST OF THE FIFTH MERIDIAN.

ALL THAT PORTION OF THE SOUTHWEST QUARTER OF

SECTION

FIFTEEN (15), TOWNSHIP FORTY-NINE (49), RANGE SEVEN

(7) WEST OF

THE FIFTH MERIDIAN LYING NORTH OF THE SOUTH BOUNDARY OF

PLAN 882 2078, LOT 1 AND EXCLUDING ALL THAT PORTION OF THE

NORTH-SOUTH ROAD ALLOWANCE LYING SOUTH OF THE PROJECTION

WEST OF THE SOUTH BOUNDARY PLAN 882 2078, LOT 1 TO THE EAST

BOUNDARY OF PLAN 2998JY.

PLAN 932 3520.

ALL INTERVENING ROAD ALLOWANCES, ROADS AND HIGHWAY PLANS

AND INTERSECTIONS.

APPENDIX B

A SKETCH SHOWING THE GENERAL LOCATION OF THE AREAS

ANNEXED TO THE TOWN OF DRAYTON VALLEY

Legend

????????????????? Existing Town of Drayton Valley Boundary

Annexation Area

APPENDIX C

ORDER

1 In this Order,

(a) "annexed land" means the land described in Appendix A and shown on the

sketch in Appendix B;

(b) "Brazeau County's Land Use Bylaw" means Brazeau County's Land Use

Bylaw as it stood on November 15, 2010, and does not include any

subsequent amendment to the bylaw.

2 For the purposes of taxation in 2012 and in each subsequent year up to and

including 2062, the annexed land and the assessable improvements to it

(

a) must be assessed by the Town of Drayton Valley on the same basis as if

they had remained in Brazeau County, and

(

b) must be taxed by the Town of Drayton Valley in respect of each assessment

class that applies to the annexed land and the assessable improvements to it

using

(

i) the municipal tax rate established by Brazeau County, or

(ii) the municipal tax rate established by the Town of Drayton Valley,

whichever is lower.

3 Where, in any taxation year, a portion of the annexed land

(

a) becomes a new parcel of land created as a result of subdivision or separation

of title by registered plan of subdivision or by instrument or any other

method that occurs at the request of, or on behalf of, the landowner, except

for the subdivision of an existing farmstead from a previously unsubdivided

quarter section,

(

b) ceases to be used as farmland or for any other use that Brazeau County's

Land Use Bylaw authorizes for the Agriculture District established by the

Bylaw, or

(

c) ceases to be used for an industrial use that is authorized by Brazeau

County's Land Use Bylaw and that

(

i) is a non-conforming use, or

(ii) is authorized by a development permit issued before January 1, 2012,

section 2 ceases to apply at the end of that taxation year in respect of that portion

of the annexed land and the assessable improvements to it.

4 The Town of Drayton Valley shall pay to Brazeau County the amount of two

million five hundred and fifty thousand five hundred and fifty-three dollars

($2,550,553.00) not later than 90 days after the date this Order in Council is

made by the Lieutenant Governor in Council.

GOVERNMENT NOTICES

Agriculture and Rural Development

Form 15

(Irrigation Districts Act)

(Section 88)

Notice to Irrigation Secretariat:

Change of Area of an Irrigation District

On behalf of the St. Mary River Irrigation District, I hereby request that the

Irrigation Secretariat forward a certified copy of this notice to the Registrar for Land

Titles for the purposes of registration under

section 22 of the Land Titles Act and

arrange for notice to be published in the Alberta Gazette.

The following parcels of land should be added to the irrigation district and the

notation added to the certificate of title:

LINC Number

Short Legal Description as shown on title

Title Number

0013 621 347

4;13;10;25;NE

101 040 665+3

0022 705 231

4;12;10;29;SE

931 048 806+1

0022 642 318

4;13;10;24;NE

101 040 665

0022 644 950

4;13;9;36;NW

130W200

I certify the procedures required under

part 4 of the Irrigation Districts Act have been

completed and the area of the St. Mary Irrigation District should be changed

according to the above list.

Rebecca Fast, Office Administrator,

Irrigation Secretariat.

Culture

Ministerial Order

(Historical Resources Act)

MO 22/12

I, Heather Klimchuk, Minister of Culture, pursuant to

Section 20(15) of the Historical

Resources Act, hereby make the order amending Order in Council 714/77,

registered in the Land Titles Office as document 771101759, designating the

Cathedral Church of the Redeemer as a Provincial Historical Resource to exclude the

lands legally described as:

Those portions of Road Plan 121 1425 Affecting Lots 34-40, Block 41, Plan A.

Dated at Edmonton, Alberta, this 11th day of June, 2012.

Heather Klimchuk, Minister

Order Designating Provincial Historic Resource

(Historical Resources Act)

MO 17/12

I, Heather Klimchuk, Minister of Culture, pursuant to

section 20(1) of the Historical

Resources Act, RSA 2000 cH-9, hereby:

1. Designate the site known as the:

Canadian Bank of Commerce Manager's Residence, together with the land

legally described as:

Plan 2325P

Block 14

The south west half of Lot 9 and all of Lot 10

excepting thereout all mines and minerals

and municipally located in the Town of Nanton, Alberta

as a Provincial Historic Resource,

2. Give notice that pursuant to

section 20, subsection (9) of that Act, no person shall

destroy, disturb, alter, restore, or repair any PROVINCIAL HISTORIC

RESOURCE or remove any historic object from a PROVINCIAL HISTORIC

RESOURCE without the written approval of the Minister.

3. Further give notice that the following provisions of

section 20, subsections

(11) and (12) of that Act now apply in case of sale or inheritance of the above

mentioned resource:

(11) the owner of an historic resource that is subject to an order under

subsection (1) shall, at least 30 days before any sale or other

disposition of the historic resource, serve notice of the proposed sale

or other disposition on the Minister,

(12) when a person inherits an historic resource that is subject to an

order under subsection (1), that person shall notify the Minister of

the inheritance within 15 days after the historic resource is

transferred to the person.

Signed at Edmonton, May 15, 2012.

Heather Klimchuk, Minister.

_______________

MO 18/12

I, Heather Klimchuk, Minister of Culture, pursuant to

section 20(1) of the Historical

Resources Act, RSA 2000 cH-9, hereby:

1. Designate the site known as the:

St. Jean Baptiste Church and Rectory, together with the land legally described as:

All that portion of the north west quarter of

Section twenty seven

(27) Township

seventy seven

(77) Range twenty one (21) west of the fifth meridian, described

as follows: commencing at the south west corner of the said quarter

section

thence east along the south boundary fifty five (55) meters, thence north and

parallel to the west boundary two hundred twenty two (222) meters thence west

and parallel to the south boundary to intersection with the west boundary, thence

south along the west boundary to point of commencement, containing 1.221

hectares (3.02 acres) more or less.

excepting thereout all mines and minerals

and municipally located in the Municipal District of Smoky River No. 130,

Alberta as a Provincial Historic Resource,

2. Give notice that pursuant to

section 20, subsection (9) of that Act, no person shall

destroy, disturb, alter, restore, or repair any PROVINCIAL HISTORIC

RESOURCE or remove any historic object from a PROVINCIAL HISTORIC

RESOURCE without the written approval of the Minister.

3. Further give notice that the following provisions of

section 20, subsections

(11) and (12) of that Act now apply in case of sale or inheritance of the above

mentioned resource:

(11) the owner of an historic resource that is subject to an order under

subsection (1) shall, at least 30 days before any sale or other

disposition of the historic resource, serve notice of the proposed sale

or other disposition on the Minister,

(12) when a person inherits an historic resource that is subject to an

order under subsection (1), that person shall notify the Minister of

the inheritance within 15 days after the historic resource is

transferred to the person.

Signed at Edmonton, May 15, 2012.

Heather Klimchuk, Minister.

Education

Ministerial Order No. 2/2012

(School Act)

I, Thomas A. Lukaszuk, Minister of Education, pursuant to Sections 219 and 220

of the School Act, make the Order in the attached Appendix, being The Loree Roman

Catholic Separate School District No. 733 Establishment Order.

Dated at Edmonton, Alberta, this 7 day of March, 2012.

Thomas A. Lukaszuk, Minister.

APPENDIX

The Loree Roman Catholic Separate School District No. 733

Establishment Order

1 Pursuant to Sections 219 and 220 of the School Act, The Loree Roman Catholic

Separate School District No. 733 is established.

2 The Loree Roman Catholic Separate School District No. 733 shall be comprised

of the following lands, which are included in The Loree School District No. 2268

and which are properly assessable for separate school purposes under the

provision of Sections 153 to 160 of the School Act:

Township 51, Range 11, West of the 4th Meridian

Sections 18 to 21 inclusive; Sections 27 to 34 inclusive; North halves of Sections

17 and 22; Northwest quarter of

Section 26.

Township 51, Range 12, West of the 4th Meridian

Sections 1 and 2; Sections 11 to 14 inclusive; Sections 23 to 26 inclusive;

Section 36.

Ministerial Order No. 3/2012

(School Act)

I, Thomas A. Lukaszuk, Minister of Education, pursuant to

Section 239 of the

School Act, make the order in the attached Appendix, being The Vermilion Roman

Catholic Separate School District No. 97 (The East Central Alberta Catholic Separate

Schools Regional Division No. 16) Boundary Adjustment Order.

Dated at Edmonton, Alberta, this 7 day of March, 2012.

Thomas A. Lukaszuk, Minister.

APPENDIX

The Vermilion Roman Catholic Separate School District No. 97

(The East Central Alberta Catholic Separate Schools Regional Division No. 16)

Boundary Adjustment Order

1 Pursuant to

Section 239 of the School Act, all of the lands are taken from the

following school district and are added to The Vermilion Roman Catholic

Separate School District No. 97:

The Loree Roman Catholic Separate School District No. 733

2 Pursuant to

Section 239 of the School Act, the following school district is

dissolved:

The Loree Roman Catholic Separate School District No. 733

3 The Vermilion Roman Catholic Separate School District No. 97 (The Vermilion

Ward) shall be comprised of the following lands:

Township 50, Range 5, West of the 4th Meridian

Sections 19 and 20; Sections 29 to 34 inclusive; Northwest quarter of

Section 27;

West half and Northeast quarter of

Section 28; West half of

Section 35.

Township 50, Range 6, West of the 4th Meridian

Sections 19 to 36 inclusive.

Township 50, Range 7, West of the 4th Meridian

Sections 24, 25, and 36.

Township 51, Range 5, West of the 4th Meridian

Sections 2 to 8 inclusive; Sections 17 to 20 inclusive; Sections 28 to 33

inclusive; North half of

Section 21; That portion of

Section 27 lying North and

West of Vermilion River.

Township 51, Range 6, West of the 4th Meridian

Sections 1 to 36 inclusive.

Township 51, Range 7, West of the 4th Meridian

Sections 1 and 12.

Township 51, Range 11, West of the 4th Meridian

Sections 18 to 21 inclusive; Sections 27 to 34 inclusive; North halves of Sections

17 and 22; Northwest quarter of

Section 26.

Township 51, Range 12, West of the 4th Meridian

Sections 1 and 2; Sections 11 to 14 inclusive; Sections 23 to 26 inclusive;

Section 36.

Township 52, Range 5, West of the 4th Meridian

Sections 6, 7, and 18; South half of

Section 19.

Township 52, Range 6, West of the 4th Meridian

Sections 1 to 24 inclusive; Sections 29 to 32 inclusive; South halves of Sections

25 to 28 inclusive.

Township 52, Range 7, West of the 4th Meridian

East halves of Sections 12, 13, and 24; Southeast quarter of

Section 25.

_______________

Ministerial Order No. 6/2012

(School Act)

I, Thomas A. Lukaszuk, Minister of Education, pursuant to

Section 239 of the

School Act, make the Order in the attached Appendix, being The Fox Creek School

District No. 5093 (The Northern Gateway Regional Division No. 10) and The Fox

Creek Roman Catholic Separate School District No. 582 (The Living Waters Catholic

Regional Division No. 42) Boundary Adjustment Order.

Dated at Edmonton, Alberta this 13 day of April, 2012.

Thomas A. Lukaszuk, Minister.

APPENDIX

The Fox Creek School District No. 5093 (The Northern Gateway Regional

Division No. 10) and The Fox Creek Roman Catholic Separate School District

No. 582 (The Living Waters Catholic Regional Division No. 42)

Boundary Adjustment Order

WHEREAS The Fox Creek School District No. 5093 (The Northern Gateway

Regional Division No. 10) Boundary Adjustment Order, Ministerial Order

No. 019/2002 dated September 3, 2002, transferred the following lands from The

Creekland School District No. 5295 and added them to The Fox Creek School District

No. 5093:

Township 63, Range 19, West of the 5th Meridian

Sections 3 to 5 inclusive.

AND

WHEREAS such lands should have been also identified as being added to and

belonging within the boundaries of The Fox Creek Roman Catholic Separate School

District No. 582 which is located within The Living Waters Catholic Regional

Division No. 42;

I, hereby amend Ministerial Order No. 019/2002 to reference the afore-mentioned

lands, specifically, Township 63, Range 19, West of the 5th Meridian, Sections 3 to 5

inclusive, as being added to The Fox Creek School District No. 5093 and The Fox

Creek Roman Catholic Separate School District No. 582 in

Section 1 of Ministerial

Order No. 019/2002 and to further describe the lands in

Section 3 of Ministerial Order

No. 019/2002 as comprising both The Fox Creek School District No. 5093 and The

Fox Creek Roman Catholic Separate School District No. 582 districts.

Energy

Hosting Expenses Exceeding $600.00

For the quarter ending March 31, 2012

Function: CTRC Calgary Presentations

Purpose: To allow organizations to present their conclusions and observations

directly to the Critical Transmission Review and answer any questions from the

Committee in a public forum.

Amount: $1,522.12

Date: January 9 - 12, 2012

Location: Calgary

Function: CTRC Edmonton Presentations

Purpose: To allow organizations to present their conclusions and observations

directly to the Critical Transmission Review and answer any questions from the

Committee in a public forum.

Amount: $1,790.13

Date: January 18 - 20, 2012

Location: Edmonton

Function: Jacobs Consultancy

Purpose: Presentation of the final findings of the Jacobs Consultancy report on "EU

Pathways Study: Lifecycle Assessment of Crude Oils in a European Context".

Amount: $4,451.29

Date: January 31, 2012

Location: London, England

Function: Information Session on Gas Cost Allowance

Purpose: To provide information and feedback for industry on gas cost allowance.

Amount: $632.40

Date: February 28, 2012

Location: Calgary

Production Allocation Unit Agreement

(Mines and Minerals Act)

Notice is hereby given, pursuant to

section 102 of the Mines and Minerals Act, that

the Minister of Energy on behalf of the Crown has executed counterparts of the

agreement entitled "Production Allocation Unit Agreement - Chauvin South Leduc B

Agreement No. 1" and that the Unit became effective on August 1, 2011.

Environment and Sustainable Resource Development

Hosting Expenses Exceeding $600.00

For the period October 1, 2011 to December 31, 2011

Function: Alberta Fisheries Round Table Meeting

Purpose: Alberta Fisheries Management Round Table representatives and related

stakeholders discuss issues relating to fisheries management.

Date: October 15, 2011

Amount: $1,025.00

Location: Red Deer

Function: 2011 Joint Management Committee Meeting of the Agreement on

International Humane Trapping Standards

Purpose: Discuss the Agreement on International Humane Trapping Standards.

Date: October 5, 2011

Amount: $817.28

Location: Edmonton

_______________

Hosting Expenses Exceeding $600.00

For the period January 1, 2012 to March 31, 2012

Function: LiDar Conference

Purpose: Workshop pertaining to the use of LiDar (light detection and ranging)

technology.

Date: March 1-2, 2012

Amount: $31,888.52

Location: Edmonton

Function: 2012 Fire Control Mutual-Aid Meeting

Purpose: Discuss the Mutual-Aid Agreement with districts and county's.

Date: March 26, 2012

Amount: $ 720.00

Location: Chain Lakes

_______________

Natural Resources Conservation Board

Hosting Expenses Exceeding $600.00

For the period April 1, 2012 to June 30, 2012

Function: Agricultural Operation Practices Act (AOPA). Policy Advisory Group

Meeting.

Purpose: The Policy Advisory Group is a multi-stakeholder advisory group which

provides advice and feedback to the NRCB regarding the effectiveness of its delivery

of the Agricultural Operation Practices Act.

Date: May 29, 2012

Amount: $ 894.60

Location: Leduc AB

Alberta Fishery Regulations, 1998

Notice of Variation Order 06-2012

Commercial Fishing Seasons

The close times and quotas set out in

Schedule 8 to the Alberta Fishery Regulations,

1998 in respect of the waters listed in the

Schedule to this Notice have been varied by

Variation Order 06-2012 by the Director of Fisheries Management in accordance with

section 3 of the Alberta Fishery Regulations, 1998.

Where fishing with gill nets is permitted during an open season established by the

Order, the gill net mesh size has been specified in the Order.

Pursuant to Variation Order 06-2012 commercial fishing is permitted in accordance

with the following schedule.

SCHEDULE

PART 1

Item - 1

Column 1 Waters - In respect of:

(105) Spencer Lake (67-1-W4)

Column 2 Gear - Gill net not less than 140 mm mesh

Column 3 Open Time - A. In respect of Spencer Lake excluding the following

portions: - That portion of Spencer Lake that is less than 4.5 metres (15 ft.) in depth. -

08:00 hours December 6, 2012 to 16:00 hours December 16, 2012. B. In respect of

all other waters: Closed.

Column 4 Species and Quota - 1) Lake whitefish: 15,000 kg; 2) Walleye: 250 kg; 3)

Yellow perch: 450 kg; 4) Northern pike: 600 kg; 5) Tullibee: 1 kg; 6) Lake trout: 1

kg.

Intergovernmental, International and Aboriginal Relations

Hosting Expenses Exceeding $600.00

For the fourth quarter ending March 31, 2012

Date: August 31, 2011

Purpose: Networking event for the Congressional Staff Energy Study Tour

delegation, to discuss oil sands development and Aboriginal relations.

Amount: $836.90

Location: Fort McMurray, Alberta

Date: September 21-22, 2011

Purpose: Networking events at the First Nation Development Fund annual workshop.

Amount: $8,059.93

Location: Morley, Alberta

Date: November 7, 2011

Purpose: Networking event to discuss academic collaboration between Alberta

Medical Universities and Oxford University Medical Science Division.

Amount: $960.58

Location: London, United Kingdom

Date: November 21-22, 2011

Purpose: Networking receptions with Qatar Petroleum, Qatar Gas and Qatar

Petroleum International during the Canada - Arab Business Council.

Amount: $5,403.39

Location: Doha, Qatar

Date: November 23, 2011

Purpose: Networking event at the First Nations Economic Capacity Building

workshop.

Amount: $865.45

Location: Slave Lake, Alberta

Date: November 25, 2011

Purpose: Networking event co-hosted with the Government of Nova Scotia at the

Federal, Provincial, Territorial Working Group, on Aboriginal Consultation and

Accommodation.

Amount: $1,778.90

Location: Halifax, Nova Scotia

Date: November 26, 2011

Purpose: Networking event during the Bahrain Mission to discuss business

opportunities with Saudi and Bahraini key contacts.

Amount: $1,791.49

Location: Manama, Bahrain

Date: November 27, 2011

Purpose: Networking event during the Bahrain Mission to discuss political relations,

educational and business opportunities with Bahraini key contacts.

Amount: $1,791.49

Location: Manama, Bahrain

Date: November 28, 2011

Purpose: Networking event during the Bahrain Mission to discuss business

opportunities with key Bahraini oil and gas officials.

Amount: $4,240.11

Location: Manama, Bahrain

Date: November 30, 2011

Purpose: Networking event during the Kuwait Mission to discuss business

opportunities with Kuwaiti oil and gas contacts.

Amount: $1,774.53

Location: Kuwait City, Kuwait

Date: December 13, 2011

Purpose: Networking event for Premiers and senior officials of the New West

Partnership to discuss intergovernmental relations.

Amount: $1,336.65

Location: Edmonton, Alberta

Date: December 15, 2011

Purpose: M‚tis Settlements Ombudsman's information open house event.

Amount: $601.00

Location: Edmonton, Alberta

Date: December 19, 2011

Purpose: Reception for the members of the Canada-United Kingdom Chamber of

Commerce, to introduce and present the key directives of the new Alberta

government.

Amount: $2,270.81

Location: London, United Kingdom

Date: January 11-12, 2012

Purpose: Networking events for the delegation of Heilongjiang ice sculptors and

government officials, during the 30th anniversary of the Alberta-Heilongjiang

twinning.

Amount: $5,543.45

Location: Edmonton, Alberta

Date: January 18, 2012

Purpose: Reception during the First Nations Economic Capacity Building workshop.

Amount: $1,403.00

Location: Grand Prairie, Alberta

Date: January 18, 2012

Purpose: Event hosted with British Columbia and Saskatchewan governments to

brief clients, companies and major stakeholders on the New West Partnership

program development.

Amount: $1,252.88

Location: Shanghai, China

Date: January 19, 2012

Purpose: Protocol agreement meeting on government to government relations with

Alberta's Grand Chiefs, Vice Chiefs, Ministers responsible for consultation, Deputy

Ministers, and their senior staff.

Amount: $819.00

Location: Calgary, Alberta

Date: February 2, 2012

Purpose: Event during the U.S. Ambassador's visit, focusing on cross border labour

mobility, energy and environmental issues.

Amount: $979.30

Location: Edmonton, Alberta

Date: February 7, 2012

Purpose: Banquet for Aboriginal organizations and other stakeholders to identify

challenges, capitalize on opportunities and determine next step to improve

communication, collaboration and coordination of services and programs for urban

Aboriginal people.

Amount: $12,485.12

Location: Edmonton, Alberta

Date: February 8, 2012

Purpose: Networking event for Alberta companies and key Thai oil and gas

executives during the International Petroleum Technology Conference.

Amount: $2,683.16

Location: Bangkok, Thailand

Date: February 20, 2012

Purpose: Networking event for Alberta companies participating to the Australia

mission on how to do business in Australia and to present an overview of the

Queensland coal seam gas industry.

Amount: $3,144.65

Location: Brisbane, Australia

Date: February 21, 2012

Purpose: Technical seminar and networking reception for Alberta companies,

representatives from the Canadian Consulate in Sydney, Export Development Canada

and key Australian oil and gas companies.

Amount: $7,839.89

Location: Brisbane, Australia

Date: February 23, 2012

Purpose: Networking reception with local industry representatives and participants to

the Australasian Oil and Gas Conference.

Amount: $4,821.65

Location: Perth, Australia

Date: February 27, 2012

Purpose: Networking reception for the Canada - U.S. Business Council Chicago,

hosted by the Premier.

Amount: $2,055.80

Location: Chicago, Illinois

Date: February 27, 2012

Purpose: Networking reception to introduce South Australian oil and gas companies

to Alberta representatives.

Amount: $4,601.82

Location: Adelaide, Australia

Date: February 28, 2012

Purpose: Technical seminar and networking event to give Alberta companies the

opportunity to give a business presentation to the local industry representatives.

Amount: $787.01

Location: Adelaide, Australia

Date: March 2, 2012

Purpose: Networking reception to celebrate the International Francophony Day

(Rendez-vous de la Francophonie), hosted by the Minister.

Amount: $2,803.72

Location: Calgary, Alberta

Date: March 6, 2012

Purpose: Annual ceremony for the International Francophony Day (Rendez-vous de

la Francophonie), hosted by the Speaker of the Legislative Assembly of Alberta.

Amount: $690.00

Location: Edmonton, Alberta

Date: March 6, 2012

Purpose: Briefing session with senior government officials and industry

representatives to discuss the Premier's Mission to Washington, D.C. and New York

City.

Amount: $1,226.46

Location: Washington, D.C.

Date: March 8, 2012

Purpose: Networking opportunity at the "Doing Business in India" workshop to

inform Alberta oil and gas companies on how to expand their business to India and

meet Indian industry representatives.

Amount: $838.90

Location: Edmonton, Alberta

Justice and Solicitor General

Office of the Public Trustee

Interest Rate on Public Trustee Guaranteed Accounts

(Public Trustee Act)

In accordance with

section 3(4) of the Public Trustee Investment Regulation, notice is

hereby given that from July 1, 2012 the nominal interest rate on all guaranteed

accounts is 3.00%, which corresponds to an annual effective rate of 3.04%.

Cynthia M. Bentz

Public Trustee.

Safety Codes Council

Agency Accreditation - Cancellation

Pursuant to

Section 30 of the Safety Codes Act it is hereby ordered that

Paragon Inspection Services, Accreditation No. A000230, Order No. 0677

Is to cease services under the Safety Codes Act for Electrical.

Consisting of all parts of the Canadian Electrical Code, Code for Electrical

Installations at Oil and Gas Facilities and Alberta Electrical Utility Code.

Issued Date: June 11, 2012.

Corporate Accreditation

(Safety Codes Act)

Pursuant to

section 28 of the Safety Codes Act it is hereby ordered that

Athabasca Oil Corporation, Accreditation No. C000865, Order No. 2853

administer the Safety Codes Act within the Corporation's facilities identified in the

approved Electrical Regulatory Management Plan for the discipline of Electrical

Consisting of all parts of the Canadian Electrical Code, Code for Electrical

Installations at Oil & Gas Facilities.

Accredited Date: June 18, 2012 Issued Date: June 18, 2012.

Municipal Accreditation - Cancellation

(Safety Codes Act)

Pursuant to

section 26 of the Safety Codes Act it is hereby ordered that

County of Vermilion River No 24, Accreditation No M000310, Order No. 0888

Due to the voluntary withdrawal from accreditation, is to cease administration under

the Safety Codes Act within its jurisdiction for Fire

Date: June 18, 2012.

Alberta Securities Commission

NATIONAL INSTRUMENT 21-101 MARKETPLACE OPERATION

AMENDING INSTRUMENT

(Securities Act)

Made as a rule by the Alberta Securities Commission on March 14, 2012 pursuant to

sections 223 and 224 of the Securities Act.

AMENDMENTS TO

NATIONAL INSTRUMENT 21-101

MARKETPLACE OPERATION

1. National Instrument 21-101 Marketplace Operation is amended by this

Instrument.

Part 1 is amended by

(

a) adding the following definition in

section 1.1:

"accounting principles" means accounting principles as defined in

National Instrument 52-107 Acceptable Accounting Principles and

Auditing Standards,

(

b) replacing the definition of "alternative trading system" in

section 1.1

with the following:

"alternative trading system",

(

a) in every jurisdiction other than Ontario, means a

marketplace that

(

i) is not a recognized quotation and trade reporting

system or a recognized exchange, and

(ii) does not

(

A) require an issuer to enter into an agreement to

have its securities traded on the marketplace,

(

B) provide, directly, or through one or more

subscribers, a guarantee of a two-sided market for a

security on a continuous or reasonably continuous

basis,

(

C) set requirements governing the conduct of

subscribers, other than conduct in respect of the

trading by those subscribers on the marketplace, and

(

D) discipline subscribers other than by exclusion

from participation in the marketplace, and

(

b) in Ontario has the meaning set out in subsection 1(1) of the

Securities Act (Ontario);,

(

c) adding "or municipal body" after "municipal corporation" in

paragraph (

b) of the definition of "government debt security" in

section 1.1,

(

d) replacing paragraph (

c) of the definition of "government debt security"

section 1.1 with the following:

(

c) a debt security issued or guaranteed by a crown corporation or

public body,,

(

e) replacing the definition of "marketplace" in

section 1.1 with the

following:

"marketplace",

(

a) in every jurisdiction other than Ontario, means

(

i) an exchange,

(ii) a quotation and trade reporting system,

(iii) a person or company not included in clause (

i) or (ii)

that

(

A) constitutes, maintains or provides a market or

facility for bringing together buyers and

sellers of securities,

(

B) brings together the orders for securities of

multiple buyers and sellers, and

(

C) uses established, non-discretionary methods

under which the orders interact with each

other, and the buyers and sellers entering the

orders agree to the terms of a trade, or

(iv) a dealer that executes a trade of an exchange-traded

security outside of a marketplace, but does not

include an inter-dealer bond broker; and

(

b) in Ontario has the meaning set out in subsection 1(1) of the

Securities Act (Ontario);,

(

f) adding the following

definitions in

section 1.1:

"private enterprise" means a private enterprise as defined in

Part 3 of

National Instrument 52-107 Acceptable Accounting Principles and

Auditing Standards;

"publicly accountable enterprise" means a publicly accountable

enterprise as defined in

Part 3 of National Instrument 52-107 Acceptable

Accounting Principles and Auditing Standards;,

(

g) replacing paragraph (

a) of the definition of "recognized exchange" in

section 1.1 with the following:

(

a) in Ontario, a recognized exchange as defined in subsection 1(1) of

the Securities Act (Ontario),,

(

h) replacing the definition of "recognized quotation and trade reporting

system" in

section 1.1 with the following:

"recognized quotation and trade reporting system" means

(

a) in every jurisdiction other than British Columbia, Ontario

and Qu‚bec, a quotation and trade reporting system

recognized by the securities regulatory authority under

securities legislation to carry on business as a quotation and

trade reporting system,

(

b) in British Columbia, a quotation and trade reporting system

recognized by the securities regulatory authority under

securities legislation as a quotation and trade reporting

system or as an exchange;

(b.1) in Ontario, a recognized quotation and trade reporting

system as defined in subsection 1(1) of the Securities Act

(Ontario), and

(

c) in Qu‚bec, a quotation and trade reporting system

recognized by the securities regulatory authority under

securities or derivatives legislation as an exchange or a

self-regulatory organization;, and

(

i) adding the following section:

1.5

Interpretation - NI 23-101 - Terms defined or interpreted in NI 23-101

and used in this Instrument have the respective meanings ascribed to them in

NI 23-101..

Part 3 is replaced with the following:

PART 3 MARKETPLACE INFORMATION

3.1 Initial Filing of Information

(1) A person or company must file as part of its application for recognition

as an exchange or a quotation and trade reporting system Form 21-

101F1.

(2) A person or company must not carry on business as an ATS unless it has

filed Form 21-101F2 at least 45 days before the ATS begins to carry on

business as an ATS.

3.2 Change in Information

(1) Subject to subsection (2), a marketplace must not implement a

significant change to a matter set out in Form 21-101F1 or in Form 21-

101F2 unless the marketplace has filed an amendment to the information

provided in Form 21-101F1 or in Form 21-101F2 in the manner set out

in the Form at least 45 days before implementing the change.

(2) A marketplace must file an amendment to the information provided in

Exhibit L - Fees of Form 21-101F1 or Exhibit L - Fees of Form 21-

101F2, as applicable, at least seven business days before implementing a

change to the information provided in Exhibit L - Fees.

(3) For any change involving a matter set out in Form 21-101F1 or Form

21-101F2 other than a change referred to in subsection (1) or (2), a

marketplace must file an amendment to the information provided in the

Form by the earlier of

(

a) the close of business on the 10th day after the end of the month in

which the change was made, and

(

b) if applicable, the time the marketplace discloses the change

publicly.

3.3 Reporting Requirements

A marketplace must file Form 21-101F3 within 30 days after the end of each

calendar quarter during any part of which the marketplace has carried on

business.

3.4 Ceasing to Carry on Business as an ATS

(1) An ATS that intends to cease carrying on business as an ATS must file a

report on Form 21-101F4 at least 30 days before ceasing to carry on that

business.

(2) An ATS that involuntarily ceases to carry on business as an ATS must

file a report on Form 21-101F4 as soon as practicable after it ceases to

carry on that business.

3.5 Forms Filed in Electronic Form

A person or company that is required to file a form or exhibit under this

Instrument must file that form or exhibit in electronic form..

Part 4 is replaced with the following:

PART 4 MARKETPLACE FILING OF AUDITED FINANCIAL

STATEMENTS

4.1 Filing of Initial Audited Financial Statements

(1) A person or company must file as part of its application for recognition

as an exchange or a quotation and trade reporting system, together with

Form 21-101F1, audited financial statements for its latest financial year

that

(

a) are prepared in accordance with Canadian GAAP applicable to

publicly accountable enterprises or IFRS,

(

b) include notes to the financial statements that identify the

accounting principles used to prepare the financial statements, and

(

c) are audited in accordance with Canadian GAAS or International

Standards on Auditing and are accompanied by an auditor's

report.

(2) A person or company must not carry on business as an ATS unless it has

filed, together with Form 21-101F2, audited financial statements for its

latest financial year.

4.2 Filing of Annual Audited Financial Statements

(1) A recognized exchange and a recognized quotation and trade reporting

system must file annual audited financial statements within 90 days after

the end of its financial year in accordance with the requirements outlined

in subsection 4.1(1).

(2) An ATS must file annual audited financial statements..

Part 5 is amended by

(

a) replacing the portion before

section 5.2 with the following:

PART 5 MARKETPLACE REQUIREMENTS

5.1 Access Requirements

(1) A marketplace must not unreasonably prohibit, condition or limit access

by a person or company to services offered by it.

(2) A marketplace must

(

a) establish written standards for granting access to each of its

services; and

(

b) keep records of

(

i) each grant of access including the reasons for granting

access to an applicant, and

(ii) each denial or limitation of access, including the reasons

for denying or limiting access to an applicant.

(3) A marketplace must not

(

a) permit unreasonable discrimination among clients, issuers and

marketplace participants; or

(

b) impose any burden on competition that is not reasonably

necessary and appropriate.,

(

b) replacing "recognized exchange or recognized quotation and trade

reporting system" in

section 5.2 with "marketplace",

(

c) replacing "member or user" in

section 5.2 with "marketplace

participant",

(

d) repealing subsection 5.3(2),

(

e) repealing

section 5.6, and

(

f) adding the following sections:

5.7 Fair and Orderly Markets

A marketplace must take all reasonable steps to ensure that its operations do

not interfere with fair and orderly markets.

5.8 Discriminatory Terms

A marketplace must not impose terms that have the effect of discriminating

between orders that are routed to the marketplace and orders that are entered on

that marketplace for execution.

5.9 Risk Disclosure for Trades in Foreign Exchange-Traded Securities

(1) A marketplace that is trading foreign exchange-traded securities must

provide each marketplace participant with disclosure in substantially the

following words:

"The securities traded by or through the marketplace are not listed on an

exchange in Canada and may not be securities of a reporting issuer in

Canada. As a result, there is no assurance that information concerning

the issuer is available or, if the information is available, that it meets

Canadian disclosure requirements."

(2) Before the first order for a foreign exchange-traded security is entered

onto the marketplace by a marketplace participant, the marketplace must

obtain an acknowledgement from the marketplace participant that the

marketplace participant has received the disclosure required in

subsection (1).

5.10 Confidential Treatment of Trading Information

(1) A marketplace must not release a marketplace participant's order or

trade information to a person or company other than the marketplace

participant, a securities regulatory authority or a regulation services

provider unless

(

a) the marketplace participant has consented in writing to the release

of the information;

(

b) the release of the information is required by this Instrument or

under applicable law; or

(

c) the information has been publicly disclosed by another person or

company, and the disclosure was lawful.

(2) A marketplace must not carry on business unless it has implemented

reasonable safeguards and procedures to protect a marketplace

participant's order or trade information, including

(

a) limiting access to order or trade information of marketplace

participants to

(

i) employees of the marketplace, or

(ii) persons or companies retained by the marketplace to

operate the system or to be responsible for compliance by

the marketplace with securities legislation; and

(

b) implementing standards controlling trading by employees of the

marketplace for their own accounts.

(3) A marketplace must not carry on business as a marketplace unless it has

implemented adequate oversight procedures to ensure that the

safeguards and procedures established under subsection (2) are followed.

5.11 Management of Conflicts of Interest

A marketplace must establish, maintain and ensure compliance with policies

and procedures that identify and manage any conflicts of interest arising from

the operation of the marketplace or the services it provides.

5.12 Outsourcing

If a marketplace outsources any of its key services or systems to a service

provider, which includes affiliates or associates of the marketplace, the

marketplace must:

(

a) establish and maintain policies and procedures for the selection of

service providers to which key services and systems may be outsourced

and for the evaluation and approval of such outsourcing arrangements,

(

b) identify any conflicts of interest between the marketplace and the service

provider to which key services and systems are outsourced, and establish

and maintain policies and procedures to mitigate and manage such

conflicts of interest,

(

c) enter into a contract with the service provider to which key services and

systems are outsourced that is appropriate for the materiality and nature

of the outsourced activities and that provides for adequate termination

procedures,

(

d) maintain access to the books and records of the service providers

relating to the outsourced activities,

(

e) ensure that the securities regulatory authorities have access to all data,

information and systems maintained by the service provider on behalf of

the marketplace, for the purposes of determining the marketplace's

compliance with securities legislation,

(

f) take appropriate measures to determine that service providers to which

key services or systems are outsourced establish, maintain and

periodically test an appropriate business continuity plan, including a

disaster recovery plan,

(

g) take appropriate measures to ensure that the service providers protect the

marketplace participants' proprietary, order, trade or any other

confidential information, and

(

h) establish processes and procedures to regularly review the performance

of the service provider under any such outsourcing arrangement..

Part 6 is amended by

(

a) repealing sections 6.4, 6.5 and 6.6,

(

b) replacing

section 6.7 with the following:

6.7 Notification of Threshold

(1) An ATS must notify the securities regulatory authority in writing if,

(

a) during at least two of the preceding three months of operation, the

total dollar value of the trading volume on the ATS for a month in

any type of security is equal to or greater than 10 percent of the

total dollar value of the trading volume for the month in that type

of security on all marketplaces in Canada;

(

b) during at least two of the preceding three months of operation, the

total trading volume on the ATS for a month in any type of

security is equal to or greater than 10 percent of the total trading

volume for the month in that type of security on all marketplaces

in Canada; or

(

c) during at least two of the preceding three months of operation,

the number of trades on the ATS for a month in any type of

security is equal to or greater than 10 percent of the number of

trades for the month in that type of security on all marketplaces in

Canada.

(2) An ATS must provide the notice referred to in subsection (1) within 30

days after the threshold referred to in subsection (1) is met or exceeded.,

and

(

c) repealing sections 6.8, 6.10, 6.12 and 6.13.

Part 7 is amended by

(

a) replacing "displayed on" with "displayed by" in subsection 7.1(1),

(

b) replacing "of the marketplace" with "of the marketplace and if the

orders posted on the marketplace meet the size threshold set by a

regulation services provider" in subsection 7.1(2),

(

c) replacing "displayed on" with "displayed by" in subsection 7.3(1),

(

d) replacing "of the marketplace" with "of the marketplace and if the

orders posted on the marketplace meet the size threshold set by a

regulation services provider" in subsection 7.3(2), and

(

e) replacing "A marketplace" with "A marketplace that is subject to this

Part" in

section 7.6.

Part 8 is amended by

(

a) replacing "displayed on" with "displayed by" in subsection 8.1(1),

(

b) replacing "displayed on" with "displayed by" in subsection 8.2(1),

(

c) repealing

section 8.5, and

(

d) replacing "2012" with "2015" in

section 8.6.

Part 10 is amended by

(

a) replacing the title with "PART 10 TRANSPARENCY OF

MARKETPLACE OPERATIONS",

(

b) replacing

section 10.1 with the following:

10.1 Disclosure by Marketplaces

A marketplace must publicly disclose on its website information

reasonably necessary to enable a person or company to understand the

marketplace's operations or services it provides, including but not

limited to information related to:

(

a) all fees, including any listing, trading, data, co-location and

routing fees charged by the marketplace, an affiliate or by a party

to which services have directly or indirectly been outsourced or

which directly or indirectly provides those services;

(

b) how orders are entered, interact and execute;

(

c) all order types;

(

d) access requirements;

(

e) the policies and procedures that identify and manage any conflicts

of interest arising from the operation of the marketplace or the

services it provides;

(

f) any referral arrangements between the marketplace and service

providers;

(

g) where routing is offered, how routing decisions are made; and

(

h) when indications of interest are disseminated, the information

disseminated and the types of recipients of such indications of

interest., and

(

c) repealing

section 10.3.

Part 11 is amended by

(

a) replacing paragraph 11.2(1)(

c) with the following:

(

c) a record of each order which must include

(

i) the order identifier assigned to the order by the

marketplace,

(ii) the marketplace participant identifier assigned to the

marketplace participant transmitting the order,

(iii) the identifier assigned to the marketplace where the order

is received or originated,

(iv) each unique client identifier assigned to a client accessing

the marketplace using direct electronic access,

(

v) the type, issuer, class, series and symbol of the security,

(vi) the number of securities to which the order applies,

(vii) the strike date and strike price, if applicable,

(viii) whether the order is a buy or sell order,

(ix) whether the order is a short sale order, if applicable,

(

x) whether the order is a market order, limit order or other

type of order, and if the order is not a market order, the

price at which the order is to trade,

(xi) the date and time the order is first originated or received

by the marketplace,

(xii) whether the account is a retail, wholesale, employee,

proprietary or any other type of account,

(xiii) the date and time the order expires,

(xiv) whether the order is an intentional cross,

(xv) whether the order is a jitney and if so, the identifier of the

underlying broker,

(xvi) the currency of the order,

(xvii) whether the order is routed to another marketplace for

execution, and the date, time and name of the

marketplace to which the order was routed, and

(xviii) whether the order is a directed-action order, and whether

the marketplace marked the order as a directed-action

order or received the order marked as a directed-action

order.,

(

b) replacing subparagraph 11.2(1)(d)(ix) with the following:

(ix) the marketplace trading fee for each trade, and

(

x) each unique client identifier assigned to a client accessing the

marketplace using direct electronic access.,

(

c) deleting "or 6.13" in subparagraph 11.3(1)(b),

(

d) replacing "section 12.1" with "sections 12.1 and 12.4" in

subparagraph 11.3(1)(c),

(

e) replacing "6.10(2)" with "5.9(2)" in subparagraph 11.3(1)(e),

(

f) replacing subparagraphs 11.3(2)(

b) and (

c) with the following:

(

b) copies of all forms filed under

Part 3; and

(

c) in the case of an ATS, copies of all notices given under

section

6.7.,

(

g) repealing subparagraph 11.3(2)(d),

(

h) repealing

section 11.4, and

(

i) deleting "with the clock used by a regulation services provider

monitoring the activities of marketplaces, inter-dealer bond brokers or

dealers trading those securities" in subsection 11.5(2).

Part 12 is amended by

(

a) replacing the title with "PART 12 MARKETPLACE SYSTEMS

AND BUSINESS CONTINUITY PLANNING",

(

b) replacing paragraph 12.1(

a) with the following:

(

a) develop and maintain

(

i) an adequate system of internal control over those systems;

and

(ii) adequate information technology general controls,

including without limitation, controls relating to

information systems operations, information security,

change management, problem management, network

support and system software support;,

(

c) replacing paragraph 12.1(

b) with the following:

(

b) in accordance with prudent business practice, on a reasonably

frequent basis and, in any event, at least annually,

(

i) make reasonable current and future capacity estimates;

(ii) conduct capacity stress tests to determine the ability of

those systems to process transactions in an accurate, timely

and efficient manner; and,

(

d) replacing "paragraph 12.1(a)" with "paragraph 12.1(

a) and

section

12.4" in subsection 12.2(1),

(

e) replacing "Subsections" with "Paragraphs" in subsection 12.3(4), and

(

f) adding the following section:

12.4 Business Continuity Planning

(1) A marketplace must develop and maintain reasonable business

continuity plans, including disaster recovery plans.

(2) A marketplace must test its business continuity plans, including

disaster recovery plans, on a reasonably frequent basis and, in any

event, at least annually..

Part 13 is amended by

(

a) replacing the title with "PART 13 CLEARING AND

SETTLEMENT",

(

b) replacing "through an ATS" with "on a marketplace" in subsection

13.1(1), and

(

c) replacing "reported" with "reported to" in subsection 13.1(1).

Part 14 is amended by

(

a) repealing subsection 14.1(2),

(

b) adding the following after subsection 14.4(5):

(6) An information processor must file annual audited financial statements

within 90 days after the end of its financial year that

(

a) are prepared in accordance with Canadian GAAP applicable to

publicly accountable enterprises, Canadian GAAP applicable to

private enterprises or IFRS,

(

b) include notes to the financial statements that identify the

accounting principles used to prepare the financial statements, and

(

c) are audited in accordance with Canadian GAAS or International

Standards on Auditing and are accompanied by an auditor's

report.

(7) An information processor must file its financial budget within 30 days

after the start of a financial year.

(8) An information processor must file, within 30 days after the end of each

calendar quarter, the process and criteria for the selection of government

debt securities, as applicable, and designated corporate debt securities

and the list of government debt securities, as applicable, and designated

corporate debt securities.

(9) An information processor must file, within 30 days after the end of each

calendar year, the process to communicate the designated securities to

the marketplaces, inter-dealer bond brokers and dealers providing the

information required by the Instrument, including where the list of

designated securities can be found.,

(

c) replacing paragraph 14.5(

a) with the following:

(

a) develop and maintain

(

i) an adequate system of internal controls over its critical systems;

and

(ii) adequate information technology general controls, including,

without limitation, controls relating to information systems

operations, information security, change management, problem

management, network support, and system software support;,

(

d) adding "and" at the end of subparagraph 14.5(b)(i),

(

e) deleting "and" at the end of subparagraph 14.5(b)(ii),

(

f) repealing subparagraph 14.5.(b)(iii),

(

g) adding "and

section 14.6" after "paragraph (a)" in paragraph 14.5(c),

and

(

h) adding the following sections:

14.6 Business Continuity Planning

(1) An information processor must develop and maintain reasonable

business continuity plans, including disaster recovery plans.

(2) An information processor must test its business continuity plans,

including disaster recovery plans, on a reasonably frequent basis

and, in any event, at least annually.

14.7 Confidential Treatment of Trading Information

An information processor must not release order and trade information

to a person or company other than the marketplace, inter-dealer bond

broker or dealer that provided this information in accordance with this

Instrument, or other than a securities regulatory authority, unless:

(

a) the release of that information is required by this Instrument or

under applicable law; or

(

b) the information processor received prior approval from the

securities regulatory authority.

14.8 Transparency of Operations of an Information Processor

An information processor must publicly disclose on its website

information reasonably necessary to enable a person or company to

understand the information processor's operations or services it provides

including, but not limited to:

(

a) all fees charged by the information processor for the consolidated

data;

(

b) a description of the process and criteria for the selection of

government debt securities, as applicable, and designated

corporate debt securities and the list of government debt

securities, as applicable, and designated corporate debt securities;

(

c) access requirements; and

(

d) the policies and procedures to manage conflicts of interest that

may arise in the operation of the information processor..

_______________

15. Form 21-101F1 - Information Statement Exchange or Quotation and Trade

Reporting system is replaced with the following:

FORM 21-101F1

INFORMATION STATEMENT

EXCHANGE OR QUOTATION AND TRADE REPORTING SYSTEM

Filer: 0 EXCHANGE 0 QUOTATION AND TRADE

REPORTING SYSTEM

Type of Filing: 0 INITIAL 0 AMENDMENT

1. Full name of exchange or quotation and trade reporting system:

2. Name(

s) under which business is conducted, or name of market or facility, if

different from item 1:

3. If this filing makes a name change on behalf of the exchange or quotation and

trade reporting system in respect of the name set out in item 1 or item 2, enter the

previous name and the new name:

Previous name:

New name:

4. Head office

Address:

Telephone:

Facsimile:

5. Mailing address (if different):

6. Other offices

Address:

Telephone:

Facsimile:

7. Website address:

8. Contact employee

Name and title:

Telephone number:

Facsimile:

E-mail address:

9. Counsel

Firm name:

Contact name:

Telephone number:

Facsimile:

E-mail address:

10. Market Regulation is being conducted by:

0 the exchange

0 the quotation and trade reporting system

0 regulation services provider other than the filer (see Exhibit

M) EXHIBITS

File all Exhibits with the Filing. For each Exhibit, include the name of the exchange

or quotation and trade reporting system, the date of filing of the Exhibit and the date

as of which the information is accurate (if different from the date of the filing). If any

Exhibit required is inapplicable, a statement to that effect shall be furnished instead of

such Exhibit.

Except as provided below, if the filer, recognized exchange or recognized quotation

and trade reporting system files an amendment to the information provided in its

Filing and the information relates to an Exhibit filed with the Filing or a subsequent

amendment, the filer, recognized exchange or recognized quotation and trade

reporting system, must, in order to comply with subsections 3.2(1), 3.2(2) or 3.2(3) of

National Instrument 21-101, provide a description of the change, the expected date of

the implementation of the change, and file a complete and updated Exhibit. The filer

must provide a clean and a blacklined version showing changes from the previous

filing.

If the filer, recognized exchange or recognized quotation and trade reporting system

has otherwise filed the information required by the previous paragraph pursuant to

section 5.5 of National Instrument 21-101, it is not required to file the information

again as an amendment to an Exhibit. However, if supplementary material relating to

a filed rule is contained in an Exhibit, an amendment to the Exhibit must also be filed.

Exhibit A - Corporate Governance

1. Legal status:

? Corporation

? Partnership

? Sole Proprietorship

? Other (specify):

2. Except where the exchange or quotation and trade reporting system is a sole

proprietorship, indicate the following:

1. Date (DD/MM/YYYY) of formation.

2. Place of formation.

3. Statute under which exchange or quotation and trade reporting system

was organized.

3. Provide a copy of the constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar documents,

and all subsequent amendments.

4. Provide the policies and procedures to address potential conflicts of interest

arising from the operation of the marketplace or the services it provides,

including those related to the commercial interest of the marketplace, the

interests of its owners and its operators, the responsibilities and sound

functioning of the marketplace, and those between the operations of the

marketplace and its regulatory responsibilities.

Exhibit B - Ownership

A list of the registered or beneficial holders of securities of, partnership interests in, or

other ownership interests in, the exchange or recognized quotation and trade reporting

system. For each of the persons listed in the Exhibit, please provide the following:

1. Name.

2. Principal business or occupation and title.

3. Ownership interest.

4. Nature of the ownership interest, including a description of the type of

security, partnership interest or other ownership interest.

5. Whether the person has control (as interpreted in subsection 1.3(2) of

National Instrument 21-101 Marketplace Operation).

In the case of an exchange or quotation and trade reporting system that is publicly

traded, if the exchange or quotation and trade reporting system is a corporation,

please only provide a list of each shareholder that directly owns five percent or more

of a class of a voting security of the exchange or quotation and trade reporting system.

Exhibit C - Organization

1. A list of partners, officers, governors, and members of the board of directors

and any standing committees of the board, or persons performing similar

functions, who presently hold or have held their offices or positions during the

previous year, indicating the following for each:

1. Name.

2. Principal business or occupation and title.

3. Dates of commencement and expiry of present term of office or position.

4. Type of business in which each is primarily engaged and current

employer.

5. Type of business in which each was primarily engaged in the preceding

five years, if different from that set out in item 4.

6. Whether the person is considered to be an independent director.

2. A list of the committees of the board, including their mandates.

Exhibit D - Affiliates

1. For each affiliated entity of the exchange or quotation and trade reporting

system provide the name, head office address and describe the principal

business of the affiliate.

2. For each affiliated entity of the exchange or quotation and trade reporting

system

(

i) to which the exchange or quotation and trade reporting system has

outsourced any of its key services or systems affecting the market or

facility described in Exhibit E - Operations of the Marketplace,

including order entry, trading, execution, routing and data, or

(ii) with which the exchange or quotation and trade reporting system has any

other material business relationship, including loans, cross-guarantees,

etc.,

provide the following information:

1. Name and address of the affiliate.

2. The name and title of the directors and officers, or persons performing

similar functions, of the affiliate.

3. A description of the nature and extent of the contractual and other

agreements with the exchange and quotation and trade reporting system,

and the roles and responsibilities of the affiliate under the arrangement.

4. A copy of each material contract relating to any outsourced functions

or other material relationship.

5. Copies of constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar

documents.

6. For the latest financial year of the affiliated entity, financial

statements, which may be unaudited, prepared in accordance with:

a. Canadian GAAP applicable to publicly accountable

enterprises; or

b. Canadian GAAP applicable to private enterprises; or

c. IFRS.

Where the affiliated entity is incorporated or organized under the laws of

a foreign jurisdiction, such financial statements may also be prepared in

accordance with:

a. U.S. GAAP; or

b. accounting principles of a designated foreign jurisdiction as

defined under National Instrument 52-107 Acceptable

Accounting Principles and Auditing Standards.

Exhibit E - Operations of the Marketplace

Describe in detail the manner of operation of the market or facility and its associated

functions. This should include, but not be limited to, a description of the following:

1. The structure of the market (e.g., call market, auction market, dealer

market).

2. Means of access to the market or facility and services, including a

description of any co-location arrangements.

3. The hours of operation.

4. A description of the services offered by the marketplace including, but

not limited to, order entry, co-location, trading, execution, routing and

data.

5. A list of the types of orders offered, including, but not limited to, a

description of the features and characteristics of orders.

6. Procedures regarding the entry, display and execution of orders. If

indications of interest are used, please describe the information they

include and list the types of recipients.

7. Description of how orders interact, including, but not limited to, the

priority of execution for all order types.

8. Description of order routing procedures.

9. Description of order and trade reporting procedures.

10. Description of procedures for clearance and settlement of transactions.

11. The safeguards and procedures of the marketplace to protect trading

information of marketplace participants.

12. Training provided to participants and a copy of any materials provided

both with respect to systems of the marketplace, the requirements of the

marketplace, and the rules of the regulation services providers, if

applicable.

13. Steps taken to ensure that marketplace participants have knowledge of

and comply with the requirements of the marketplace.

The filer must provide all policies, procedures and trading manuals related to the

operation of the marketplace and, if applicable, the order router.

Exhibit F - Outsourcing

Where the exchange or quotation and trade reporting system has outsourced the

operation of key services or systems affecting the market or facility described in

Exhibit E - Operations of the Marketplace to an arms-length third party, including

any function associated with the routing, trading, execution, data, clearing and

settlement and, if applicable, surveillance, provide the following information:

1. Name and address of person or company to which the function has been

outsourced.

2. A description of the nature and extent of the contractual or other

agreement with the exchange or quotation and trade reporting system

and the roles and responsibilities of the arms-length party under the

arrangement.

3. A copy of each material contract relating to any outsourced function.

Exhibit G - Systems and Contingency Planning

For each of the systems that support order entry, order routing, execution, trade

reporting, trade comparison, data feed, market surveillance, and trade clearing,

describe:

1. Current and future capacity estimates.

2. Procedures for reviewing system capacity.

3. Procedures for reviewing system security.

4. Procedures to conduct stress tests.

5. A description of the filer's business continuity and disaster recovery

plans, including any relevant documentation.

6. Procedures to test business continuity and disaster recovery plans.

Exhibit H - Custody of Assets

1. If the exchange or quotation and trade reporting system proposes to hold funds

or securities of a marketplace participant on a regular basis, a description of the

controls that will be implemented to ensure the safety of the funds or securities.

2. If any other person or company, other than the exchange or quotation and trade

reporting system, will hold or safeguard funds or securities of a marketplace

participant on a regular basis, provide the name of the person or company and a

description of the controls that will be implemented to ensure the safety of the

funds or securities.

Exhibit I - Securities

1. List the types of securities listed on the exchange or quoted on the quotation

and trade reporting system. If this is an initial filing, list the types of securities

the Filer expects to list or quote.

2. List the types of any other securities that are traded on the marketplace or

quoted on the quotation and trade reporting system, indicating the exchange(

s) on which such securities are listed. If this is an initial filing, list the types of

securities the Filer expects to trade.

Exhibit J - Access to Services

1. A complete set of all forms, agreements or other materials pertaining to access

to the services of the marketplace described in Exhibit E.4, including trading

on the exchange or quotation and trade reporting system.

2. Describe the classes of marketplace participants.

3. Describe the exchange or quotation and trade reporting service's criteria for

access to the services of the marketplace.

4. Describe any differences in access to the services offered by the marketplace to

different groups or classes of marketplace participants.

5. Describe conditions under which marketplace participants may be subject to

suspension or termination with regard to access to the services of the exchange

or quotation and trade reporting system.

6. Describe any procedures that will be involved in the suspension or termination

of a marketplace participant.

7. Describe the exchange or quotation and trade reporting system's arrangements

for permitting clients of marketplace participants to have access to the

marketplace. Provide a copy of any agreements or documentation relating to

these arrangements.

Exhibit K - Marketplace Participants

Provide an alphabetical list of all marketplace participants, including the following

information:

1. Name.

2. Date of becoming a marketplace participant.

3. Describe the type of trading activities engaged in by the marketplace

participant (e.g., agency trading, proprietary trading, registered trading,

market making).

4. The class of participation or other access.

5. Provide a list of all persons or entities that were denied or limited access

to the marketplace, indicating for each:

(

i) whether they were denied or limited access;

(ii) the date the marketplace took such action;

(iii) the effective date of such action; and

(iv) the nature and reason for any denial or limitation of access.

Exhibit L - Fees

A description of the fee model and all fees charged by the marketplace, or by a party

to which services have been directly or indirectly outsourced, including, but not

limited to, fees relating to connecting to the market or facility, access, data, regulation

(if applicable), trading, routing, and co-location, how such fees are set, and any fee

rebates or discounts and how the rebates and discounts are set.

Exhibit M - Regulation

Market Regulation is being conducted by:

0 the exchange or QTRS

1. Provide a description of the regulation performed by the exchange or QTRS,

including the structure of the department performing regulation, how the

department is funded, policies and procedures in place to ensure confidentiality

and the management of conflicts of interest, and policies and procedures

relating to conducting an investigation.

2. If more than one entity is performing regulation services for a type of security

and the filer is conducting market regulation for itself and its members, provide

the contract between the filer and the regulation services provider providing for

co-ordinated monitoring and enforcement under

section 7.5 of National

Instrument 23-101 Trading Rules.

0 a regulation services provider other than the filer (provide a copy of the contract

between the filer and the regulation services provider.)

Exhibit N - Acknowledgement

The form of acknowledgement required by subsection 5.9(2) of National Instrument

21-101.

CERTIFICATE OF EXCHANGE OR QUOTATION AND TRADE

REPORTING SYSTEM

The undersigned certifies that the information given in this report is true and correct.

DATED at _______________ this _____ day of _______________ 20 _____

(Name of exchange or quotation and trade reporting system)

(Name of director, officer or partner - please type or print)

(Signature of director, officer or partner)

(Official capacity - please type or print).

_______________

16. Form 21-101F2 - Initial Operation Report Alternative Trading System is

replaced with the following:

FORM 21-101F2

INITIAL OPERATION REPORT

ALTERNATIVE TRADING SYSTEM

TYPE OF FILING:

0 INITIAL OPERATION REPORT 0 AMENDMENT

Identification:

1. Full name of alternative trading system:

2. Name(

s) under which business is conducted, if different from item 1:

3. If this filing makes a name change on behalf of the alternative trading system

in respect of the name set out in Item 1 or Item 2, enter the previous name and

the new name.

Previous name:

New name:

4. Head office

Address:

Telephone:

Facsimile:

5. Mailing address (if different):

6. Other offices

Address:

Telephone:

Facsimile:

7. Website address:

8. Contact employee

Name and title:

Telephone number:

Facsimile:

E-mail address:

9. Counsel

Firm name:

Contact name:

Telephone number:

Facsimile:

E-mail address:

10. The ATS is

0 a member of ...................... (name of the recognized self-regulatory

entity)

0 a registered dealer

11. If this is an initial operation report, the date the alternative trading system

expects to commence operation:

12. The ATS has contracted with [regulation services provider] to perform market

regulation for the ATS and its subscribers.

EXHIBITS

File all Exhibits with the Initial Operation Report. For each Exhibit, include the name

of the ATS, the date of filing of the Exhibit and the date as of which the information

is accurate (if different from the date of the filing). If any Exhibit required is

inapplicable, a statement to that effect shall be furnished instead of such Exhibit.

If the ATS files an amendment to the information provided in its Initial Operation

Report and the information relates to an Exhibit filed with the Initial Operation

Report or a subsequent amendment, the ATS must, in order to comply with

subsection 3.2(1), 3.2(2) or 3.2(3) of National Instrument 21-101, provide a

description of the change, the expected date of the implementation of the change, and

file a complete and updated Exhibit. The ATS must provide a clean and blacklined

version showing changes from the previous filing.

Exhibit A - Corporate Governance

1. Legal status:

? Corporation

? Partnership

? Sole Proprietorship

? Other (specify):

2. Except where the ATS is a sole proprietorship, indicate the following:

1. Date (DD/MM/YYYY) of formation.

2. Place of formation.

3. Statute under which the ATS was organized.

3. Provide a copy of the constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar documents,

and all subsequent amendments.

4. Provide the policies and procedures to address conflicts of interest arising from

the operation of the marketplace or the services it provides, including those

related to the commercial interest of the marketplace, the interests of its owners

and its operators, and the responsibilities and sound functioning of the

marketplace.

Exhibit B - Ownership

A list of the registered or beneficial holders of securities of, partnership interests in, or

other ownership interests in, the ATS. For each of the persons listed in the Exhibit,

please provide the following:

1. Name.

2. Principal business or occupation and title.

3. Ownership interest.

4. Nature of the ownership interest, including a description of the type of

security, partnership interest or other ownership interest.

5. Whether the person has control (as interpreted in subsection 1.3(2) of

National Instrument 21-101 Marketplace Operation).

In the case of an ATS that is publicly traded, if the ATS is a corporation, please only

provide a list of each shareholder that directly owns five percent or more of a class of

a voting security of the ATS.

Exhibit C - Organization

1. A list of partners, officers, governors, and members of the board of directors

and any standing committees of the board, or persons performing similar

functions, who presently hold or have held their offices or positions during the

previous year, indicating the following for each:

1. Name.

2. Principal business or occupation and title.

3. Dates of commencement and expiry of present term of office or position.

4. Type of business in which each is primarily engaged and current

employer.

5. Type of business in which each was primarily engaged in the preceding

five years, if different from that set out in item 4.

6. Whether the person is considered to be an independent director.

2. A list of the committees of the board, including their mandates.

Exhibit D - Affiliates

1. For each affiliated entity of the ATS provide the name, head office address and

describe the principal business of the affiliate.

2. For each affiliated entity of the ATS

(

i) to which the ATS has outsourced any of its key services or systems

affecting the market or facility described in Exhibit E - Operations of

the Marketplace, including order entry, trading, execution, routing and

data, or

(ii) with which the ATS has any other material business relationship,

including loans, cross-guarantees, etc.

provide the following information:

1. Name and address of the affiliate.

2. The name and title of the directors and officers, or persons performing

similar functions, of the affiliate.

3. A description of the nature and extent of the contractual and other

agreements with the ATS and the roles and responsibilities of the

affiliate under the arrangement.

4. A copy of each material contract relating to any outsourced functions or

other material relationship.

5. Copies of constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar

documents.

Exhibit E - Operations of the Marketplace

Describe in detail the manner of operation of the market and its associated functions.

This should include, but not be limited to, a description of the following:

1. The structure of the market (e.g., call market, auction market, dealer

market).

2. Means of access to the market or facility and services, including a

description of any co-location arrangements.

3. The hours of operation.

4. A description of the services offered by the marketplace including, but

not limited to, order entry, co-location, trading, execution, routing and

data.

5. A list of the types of orders offered, including, but not limited to, a

description of the features and characteristics of orders.

6. Procedures regarding the entry, display and execution of orders. If

indications of interest are used, please describe the information they

include and list the types of recipients.

7. Description of how orders interact, including, but not limited to, the

priority of execution for all order types.

8. Description of order routing procedures.

9. Description of order and trade reporting procedures.

10. Description of procedures for clearance and settlement of transactions.

11. The safeguards and procedures of the marketplace to protect trading

information of marketplace participants.

12. Training provided to participants and a copy of any materials provided

both with respect to systems of the marketplace, the requirements of the

marketplace, and the rules of the regulation services providers, if

applicable.

13. Steps taken to ensure that marketplace participants have knowledge of

and comply with the requirements of the marketplace.

The filer must provide all policies, procedures and trading manuals related to the

operation of the marketplace and, if applicable, the order router.

Exhibit F - Outsourcing

Where the ATS has outsourced the operation of key services or systems affecting the

market or facility described in Exhibit E - Operations of the Marketplace to an arms-

length third party, including any function associated with the routing, trading,

execution, clearing and settlement, and co-location, provide the following

information:

1. Name and address of person or company to which the function has been

outsourced.

2. A description of the nature and extent of the contractual or other

agreement with the ATS and the roles and responsibilities of the arms-

length party under the arrangement.

3. A copy of each material contract relating to any outsourced function.

Exhibit G - Systems and Contingency Planning

For each of the systems that support order entry, order routing, execution, trade

reporting, trade comparison, data feed, market surveillance, and trade clearing,

describe:

1. Current and future capacity estimates.

2. Procedures for reviewing system capacity.

3. Procedures for reviewing system security.

4. Procedures to conduct stress tests.

5. A description of the filer's business continuity and disaster recovery

plans, including any relevant documentation.

6. Procedures to test business continuity and disaster recovery plans.

Exhibit H - Custody of Assets

1. If the ATS proposes to hold funds or securities of a marketplace participant on

a regular basis, a description of the controls that will be implemented to ensure

the safety of the funds or securities.

2. If any other person or company, other than the ATS, will hold or safeguard

funds or securities of a marketplace participant on a regular basis, provide the

name of the person or company and a description of the controls that will be

implemented to ensure the safety of the funds or securities.

Exhibit I - Securities

List the types of securities that are traded on the ATS, indicating the exchange(

s) on

which such securities are listed. If this is an initial filing, the types of securities the

ATS expects to trade.

Exhibit J - Access to Services

1. A complete set of all forms, agreements or other materials pertaining to access

to the services of the marketplace described in Exhibit E.4, including trading

on the ATS.

2. Describe the classes of marketplace participants (i.e. dealer, institution, or

retail).

3. Describe the ATS's criteria for access to the services of the marketplace.

4. Describe any differences in access to the services offered by the marketplace to

different groups or classes of marketplace participants.

5. Describe conditions under which marketplace participants may be subject to

suspension or termination with regard to access to the services of the ATS.

6. Describe any procedures that will be involved in the suspension or termination

of a marketplace participant.

7. Describe the ATS's arrangements for permitting clients of marketplace

participants to have access to the marketplace. Provide a copy of any

agreements or documentation relating to these arrangements.

Exhibit K - Marketplace Participants

Provide an alphabetical list of all marketplace participants, including the following

information:

1. Name.

2. Date of becoming a marketplace participant.

3. Describe the type of trading activities primarily engaged in by the

marketplace participant (e.g., agency trading, proprietary trading,

registered trading, market making).

4. The class of participation or other access.

5. Provide a list of all persons or entities that were denied or limited access

to the marketplace, indicating for each:

(

i) whether they were denied or limited access;

(ii) the date the marketplace took such action;

(iii) the effective date of such action; and

(iv) the nature and reason for any denial or limitation of access.

Exhibit L - Fees

A description of the fee model and all fees charged by the marketplace, or by a party

to which services have been directly or indirectly outsourced, including, but not

limited to, fees relating to connecting to the market or facility, access, data, regulation

(if applicable), trading, routing, and co-location, how such fees are set and any fee

rebates or discounts and how the rebates and discounts are set.

Exhibit M - Regulation

The ATS has contracted with regulation services provider ............................. to

perform market regulation for ATS and its subscribers. Provide a copy of the contract

between the filer and the regulation services provider.

Exhibit N - Acknowledgement

The form of acknowledgement required by subsections 5.9(2) and 6.11(2) of National

Instrument 21-101.

CERTIFICATE OF ALTERNATIVE TRADING SYSTEM

The undersigned certifies that the information given in this report is true and correct.

DATED at_________________this_____day of________________20___

(Name of alternative trading system)

(Name of director, officer or partner - please type or print)

(Signature of director, officer or partner)

(Official capacity - please type or print).

_______________

17. Form 21-101F3 Quarterly Report of Alternative Trading System Activities is

replaced with the following:

FORM 21-101F3

QUARTERLY REPORT OF MARKETPLACE ACTIVITIES

A. General Marketplace Information

1. Marketplace Name:

2. Period covered by this report:

3. Identification

A. Full name of marketplace (if sole proprietor, last, first and middle

name):

B. Name(

s) under which business is conducted, if different from

item A:

C. Marketplace main street address:

4. Attach as Exhibit A a current list of all marketplace participants at the end of

the period covered by this report, identifying those marketplace participants that are

using the marketplace's co-location services, if any. For each marketplace participant,

indicate the number of trader IDs that may access the marketplace.

5. Attach as Exhibit B a list of all marketplace participants granted, denied or

limited access to the marketplace during the period covered by this report, indicating

for each marketplace participant: (

a) whether they were granted, denied or limited

access; (

b) the date the marketplace took such action; (

c) the effective date of such

action; and (

d) the nature of any denial or limitation of access.

6. A list of all amendments in the information in Form 21-101F1 or 21-101F2 that

were filed with the Canadian securities regulatory authorities and implemented during

the period covered by the report. The list must include a brief description of each

amendment, the date filed and the date implemented.

7. A list of all amendments in the information in Form 21-101F1 or 21-101F2 that

have been filed with the Canadian securities regulatory authorities but not

implemented as of the end of the period covered by the report. The list must include a

brief description of each amendment, the date filed and the reason why it was not

implemented.

8. Systems - If any outages occurred at any time during the period for any system

relating to trading activity, including trading, routing or data, provide the date,

duration and reason for the outage.

B. Marketplace Activity Information

Section 1 -Marketplaces Trading Exchange-Listed Securities

1. General trading activity - For each type of security traded on the

marketplace, provide the details (where appropriate) requested in the form set out in

Chart 1. The information should be provided for transactions executed at the opening

of the market, during regular trading hours, and after hours during the quarter. Enter

"None", "N/A", or "0" where appropriate.

Chart 1 - General trading activity for marketplaces trading exchange-listed

securities

Category

Securities

Volume

Value

Number of Trades

Transparent

Non-

Transparent

Transparent

Non-

Transparent

Transparent

Non-

Transparent

Exchange-Traded Securities

1. Equity

(includes

preferred

shares)

Exchange-

traded

funds

(ETFs)

3. Debt

securities

4. Options

Foreign Exchange-Traded Securities

1. Equity

(includes

preferred

shares)

2. ETFs

3. Debt

securities

4. Options

2. Crosses - Provide the details (where appropriate) requested in the form set out

in Chart 2 below for each type of cross executed on the marketplace for trades

executed at the opening of the market, during regular trading and after hours during

the quarter. Enter "None", "N/A", or "0" where appropriate.

Chart 2 - Crosses

Types of Crosses

% Volume

% Value

% Number of

Trades

% of exchange-traded securities that are

1. Intentional

Crosses

2. Internal crosses

3. Other crosses

3. Order information - Provide the details (where appropriate) requested in the

form set out in Chart 3 below for each type of order in exchange traded securities

executed on the marketplace for orders entered at the opening of the market, during

regular trading and after hours during the quarter. Enter "none", "N/A" or "0" where

appropriate.

Chart 3 - Order information

Types of Orders

Number of

Orders

% Orders

Executed

% Orders

Cancelled

1. Anonymous

2. Fully transparent

3. Pegged orders

4. Fully hidden

5. Separate dark

facility of a

transparent market

6. Partially hidden

(reserve)

7. Total number of

orders entered

during the quarter

4. Trading by security - Provide the details requested in the form set out in

Chart 4 below for the 10 most traded securities on the marketplace (based on the

volume of securities traded) for trades executed at the opening of the market, during

regular trading and after hours during the quarter. Enter "None", "N/A", or "0" where

appropriate.

Chart 4 - Most traded securities

Category of Securities

Volume

Value

Number of

Trades

Exchange-Traded Securities

1. Equity (includes preferred

shares)

[Name of Securities]

2. ETFs

[Name of Securities]

3. Debt

[Enter issuer, maturity and

coupon]

Foreign Exchange-Traded Securities

1. Equity (includes preferred

shares)

[Name of Securities]

2. ETFs

[Name of Securities]

3. Debt

[Name of Securities]

5. Trading by marketplace participant - Provide the details requested in the

form set out in Chart 5 below for the top 10 marketplace participants (based on the

volume of securities traded). The information should be provided for the total trading

volume, including for trades executed at the opening of the market, during regular

trading and after hours during the quarter. Enter "None", "N/A", or "0" where

appropriate. Where a marketplace's marketplace participants are dealers and non-

dealers, the marketplace should complete a separate chart for each.

Chart 5 - Concentration of trading by marketplace participant

Marketplace Participant Name

Total Active

Volume

Total Passive

Volume

6. Routing activities - Indicate the percentage of marketplace participants that

used marketplace-owned or third-party or affiliated routing services during the

reporting period. In addition, provide the information in Chart 6 below.

Chart 6 - Routing of marketplace orders

Percentage

Number of orders executed on the reporting

marketplace

Number of orders routed to away marketplaces (list all

marketplaces where orders were routed)

Number of orders that are marked and treated as

Directed Action Orders (DAO)

7. Co-location - Indicate the percentage of marketplace participants that are using

the marketplace's co-location services, if any.

Section 2 - Fixed Income Marketplaces

1. General trading activity - Provide the details (where appropriate) requested in

the form set out in Chart 7 below for each type of fixed income security traded on the

marketplace for transactions executed during regular trading hours. Enter "None",

"N/A", or "0" where appropriate.

Chart 7 - Fixed income activity

Category of Securities

Value Traded

Number of Trades

Domestic Unlisted Debt Securities

- Government

1. Federal

2. Federal Agency

3. Provincial and Municipal

Domestic Unlisted Debt Securities

- Corporate

Domestic Unlisted Debt Securities

- Other

Foreign Unlisted Debt Securities -

Government

Foreign Unlisted Debt Securities -

Corporate

Foreign Unlisted Debt Securities -

Other

2. Trading by security - Provide the details requested in the form set out in

Chart 8 below for the 10 most traded fixed income securities on the marketplace

(based on the value of the volume traded) for trades executed during regular trading

hours during the quarter. Enter "None", "N/A", or "0" where appropriate.

Chart 8 - Most traded fixed income securities

Category of Securities

Value Traded

Number of Trades

Domestic Unlisted Debt Securities

- Government

1. Federal

[Enter issuer, maturity, coupon]

2. Federal Agency

[Enter issuer, maturity, coupon]

3. Provincial and Municipal

[Enter issuer, maturity, coupon]

Domestic Unlisted Debt Securities

- Corporate

[Enter issuer, maturity, coupon]

Domestic Unlisted Debt Securities

- Other

[Enter issuer, maturity, coupon]

Foreign Unlisted Debt Securities -

Government

[Enter issuer, maturity, coupon]

Foreign Unlisted Debt Securities -

Corporate

[Enter issuer, maturity, coupon]

Foreign Unlisted Debt Securities -

Other

[Enter issuer, maturity, coupon]

3. Trading by marketplace participant - Provide the details requested in the

form set out in Chart 9 below for the top 10 marketplace participants for trades

executed during regular trading hours during the quarter. Enter "None", "N/A", or "0"

where appropriate. If marketplace participants are dealers and non-dealer institutions,

the marketplace should complete a separate chart for each.

Chart 9 - Concentration of trading by marketplace participant

Marketplace Participant Name

Value Traded

Section 3 - Securities Lending Marketplaces

1. General lending activity - Please provide details (where appropriate)

requested in the form set out in Chart 10 below for each type of securities loaned on

the marketplace. Enter "None", "N/A" or "0" where appropriate.

Chart 10 - Lending activity

Category of Securities

Quantity of Securities

Lent During the

Quarter

Aggregate Value of

Securities Lent During

the Quarter

Domestic

1. Corporate Equity

Securities

1.1. Common Shares

1.2. Preferred Shares

2. Non-Corporate Equity

Securities (e.g., trust units,

partnership units,

etc.)(please specify)

3. Government Debt

Securities

4. Corporate Debt Securities

5. Other Fixed Income

Securities (please specify)

Foreign

1. Corporate Equity

Securities

1.1. Common Shares

1.2. Preferred Shares

2. Non-Corporate Equity

Securities (e.g., trust units,

partnership units,

etc.)(please specify)

3. Government Debt

Securities

4. Corporate Debt Securities

5. Other Fixed Income

Securities (please specify)

2. Trading per marketplace participant - Provide the details requested in the

form set out in Chart 11 and Chart 12 below for the top 10 borrowers and lenders

based on their aggregate value of securities borrowed or loaned, respectively, during

the quarter.

Chart 11 - Concentration of activity by borrower

Borrower Name

Aggregate Value of Securities

Borrowed During the Quarter

Chart 12 - Concentration of activity by lender

Lender Name

Aggregate Value of Securities Loaned

During the Quarter

3. Lending activity by security - Provide the details requested in the form set

out in Chart 13 below for the 10 most loaned securities on the marketplace (based on

the quantity of securities loaned during the quarter). Enter "None", "N/A" or "0"

where appropriate.

Chart 13 - Most loaned securities

Category of Securities

Quantity of

Securities Lent

During the Quarter

Aggregate Value of

Securities Lent During

the Quarter

Domestic

1. Common Shares

[Name of Security]

2. Preferred Shares

[Name of Security]

3. Non-Corporate Equity

Securities

[Name of Security]

4. Government Debt Securities

[Name of Security]

5. Corporate Debt Securities

[Name of Security]

6. Other Fixed Income

Securities

[Name of Security]

Foreign

1. Common Shares

[Name of Security]

2. Preferred Shares

[Name of Security]

3. Non-Corporate Equity

Securities

[Name of Security]

4. Government Debt Securities

[Name of Security]

5. Corporate Debt Securities

[Name of Security]

6. Other Fixed Income

Securities

[Name of Security]

Section 4 - Derivatives Marketplaces in Quebec

1. General trading activity - For each category of product traded on the

marketplace, provide the details (where appropriate) requested in the form set out in

Chart 14 below. For products other than options on ETFs and equity options, provide

the details on a product-by-product basis in the appropriate category. Details for

options on ETFs and equity options should be provided on an aggregate basis (one

total for options on ETFs and one for options on equities). The information should be

provided for transactions executed in the early session, during the regular session, and

in the extended session during the quarter. Enter "None", "N/A", or "0" where

appropriate.

Chart 14 - General trading activity

Category of Product

Volume

Number of

Trades

Open Interest (End of

Quarter)

Futures Products

1(

a) Interest rate - short

term

1(

b) Interest rate - long

term

2. Index

3. ETF

4. Equity

5. Currency

6. Energy

7. Others, please specify

Options Products

1(

a) Interest rate -short

term

1(

b) Interest rate - long

term

2. Index

3. ETF

4. Equity

5. Currency

6. Energy

7. Others, please specify

2. Trades resulting from pre-negotiation discussions - Provide the details

(where appropriate) requested in the form set out in Chart 15 below by product and

for each type of trade resulting from pre-negotiation discussions. For products other

than options on ETFs and equity options, provide the details on a product-by-product

basis in the appropriate category. Details for options on ETFs and equity options

should be provided on an aggregate basis (one total for ETFs and one for equities).

The information should be provided for trades executed in the early session, during

the regular session and in the extended session during the quarter. Enter "None",

"N/A", or "0" where appropriate.

Chart 15 - Trades resulting from pre-negotiation discussions

Type of Trade

% of Volume

% Number of Trades

Futures Products

A. Cross

B. Pre-arranged

C. Block

D. Exchange for physical

E. Exchange for risk

F. Riskless basis cross

G. Others, please specify

Options Products

A. Cross

B. Pre-arranged

C. Block

D. Exchange for physical

E. Exchange for risk

F. Riskless basis cross

G. Others, please specify

3. Order information - Provide the details (where appropriate) requested in the

form set out in Chart 16 below by product and for each type of order in exchange

traded contracts executed on the marketplace. For products other than options on

ETFs and equity options, provide the details on a product-by-product basis in the

appropriate category. Details for options on ETFs and equity options should be

provided on an aggregate basis (one total for options on ETFs and one for options on

equities).The information should be provided for orders entered in the early session,

during the regular session and in the extended session during the quarter. Enter

"none", "N/A" or "0" where appropriate.

Chart 16 - Order information

Type of Orders

% Volume

% Number of Trades

1. Anonymous

2. Fully transparent

3. Pegged orders

4. Fully hidden

5. Separate dark facility

of a transparent market

6. Partially hidden

(reserve, for example,

iceberg orders)

4. Trading by product - Provide the details requested in the form set out in

Chart 17 below. For each product other than options on ETFs and equity options, list

the most actively-traded contracts (by volume) on the marketplace that in the

aggregate constitute at least 75% of the total volume for each product during the

quarter. The list must include at least 3 contracts. For options on ETFs and equity

options, list the 10 most actively traded classes by volume. Details for options on

ETFs and equity options should be provided on an aggregate basis (one total for

options on ETFs and one for options on equities). The information should be provided

for trades executed in the early session, during the regular session and in the extended

session during the quarter. Enter "None", "N/A", or "0" where appropriate.

Chart 17 - Most traded contracts

Category of Product

Volume

Number of

Trades

Open Interest

(Number/End of

Quarter)

Futures Products

1. Name of products - 3

most-traded contracts

(or more as applicable)

Options Products

2. ETF

[Classes]

3. Equity

[Classes]

4. Other listed options

(specify for each) - 3

most traded contracts (or

more as applicable)

5. Concentration of trading by marketplace participant - Provide the details

requested in the form set out in Chart 18 below. For each product other than options

on ETFs and equity options, list the top marketplace participants whose aggregate

trading (by volume) constituted at least 75% of the total volume traded. The list must

include at least 3 marketplace participants. For options on ETFs and equity options,

provide the top 10 most active marketplace participants (by volume). The information

should be provided on an aggregate basis (one total for options on ETFs and one for

options on equities). The information should be provided for trades executed in the

early session, during the regular session and in the extended session during the

quarter. Enter "None", "N/A", or "0" where appropriate.

Chart 18 - Concentration of trading by marketplace participant

Product Name

Marketplace

Participant Name

Volume

Futures

Product Name (specify for each)

3. (more if necessary)

Options

ETF

Equity

Other options (specify for each)

3. (more if necessary)

6. Co-location

Indicate the percentage of marketplace participants that are using the marketplace's

co-location services, if any.

C. Certificate of Marketplace

The undersigned certifies that the information given in this report relating to the

marketplace is true and correct.

DATED at_________________this_____day of________________20___

______________________________

(Name of Marketplace)

______________________________

(Name of director, officer or partner - please type or print)

______________________________

(Signature of director, officer or partner)

_______________________________

(Official capacity - please type or print).

_______________

18. Form 21-101F5 Initial Operation Report for Information Processor is replaced

with the following:

FORM 21-101F5

INITIAL OPERATION REPORT FOR INFORMATION PROCESSOR

TYPE OF FILING:

? INITIAL FORM ? AMENDMENT

GENERAL INFORMATION

1. Full name of information processor:

2. Name(

s) under which business is conducted, if different from item 1:

3. If this filing makes a name change on behalf of the information processor in respect of

the name set out in item 1 or item 2, enter the previous name and the new name:

Previous name:

New name:

4. Head office

Address:

Telephone:

Facsimile:

5. Mailing address (if different):

6. Other offices

Address:

Telephone:

Facsimile:

7. Website address:

8. Contact employee

Name and title:

Telephone number:

Facsimile:

E-mail address:

9. Counsel

Firm name:

Contact name:

Telephone number:

Facsimile:

E-mail address:

10. List of all marketplaces, dealers or other parties for which the information processor is

acting or for which it proposes to act as an information processor. For each marketplace, dealer

or other party, provide a description of the function(

s) which the information processor

performs or proposes to perform.

11. List all types of securities for which information will be collected, processed,

distributed or published by the information processor. For each such marketplace, dealer or

other party, provide a list of all securities for which information with respect to quotations for,

or transactions in, is or is proposed to be collected, processed, distributed or published.

Exhibits

File all Exhibits with the Initial Form. For each Exhibit, include the name of the information

processor, the date of filing of the Exhibit and the date as of which the information is accurate (if

different from the date of the filing). If any Exhibit required is inapplicable, a statement to that

effect shall be furnished instead of such Exhibit.

If the information processor files an amendment to the information provided in its Initial Form,

and the information relates to an Exhibit filed with the Initial Form or a subsequent

amendment, the information processor must, in order to comply with sections 14.1 and 14.2

of National Instrument 21-101 provide a description of the change, the expected date of the

implementation of the change, and file a complete and updated Exhibit. The information

processor must provide a clean and a blacklined version showing changes from the previous

filing.

Exhibit A - Corporate Governance

1. Legal status:

? Corporation

? Sole Proprietorship

? Partnership

? Other (specify):

2. Except where the information processor is a sole proprietorship, indicate the

date and place where the information processor obtained its legal status (e.g.,

place of incorporation, place where partnership agreement was filed or where

information processor was formed):

1. Date (DD/MM/YYYY) of formation.

2. Place of formation.

3. Statute under which the information processor was organized.

3. Provide a copy of the constating documents (including corporate by-laws),

shareholder agreements, partnership agreements and other similar documents,

and all subsequent documents.

4. Provide the policies and procedures which promote independence of the

information processor from the marketplaces, inter-dealer bond brokers and

dealers that provide data.

5. Provide the policies and procedures which address the potential conflicts of

interest between the interests of the information processor and its owners,

partners, directors and officers.

Exhibit B - Ownership

List any person or company who owns 10 percent or more of the information processor's

outstanding shares or who, either directly or indirectly, through agreement or otherwise, in

any other manner, may control or direct the management or policies of the information

processor. Provide the full name and address of each such person and attach a copy of the

agreement or, if there is none written, describe the agreement or basis through which such

person exercises or may exercise such control or direction.

Exhibit C - Organization

1. A list of the partners, directors, governors, and members of the board of directors and any

standing committees of the board or persons performing similar functions who presently hold

or have held their offices or positions during the previous year identifying those individuals

with overall responsibility for the integrity and timeliness of data reported to and displayed

by the system (the "System") of the information processor, indicating the following for each:

1. Name.

2. Principal business or occupation and title.

3. Dates of commencement and expiry of present term of office or position.

4. Type of business in which each is primarily engaged and current employer.

5. Type of business in which each was primarily engaged in the preceding five

years, if different from that set out in item 4.

6. Whether the person is considered to be an independent director.

7. A list of the committees of the board, including their mandates.

8. A narrative or graphic description of the organizational structure of the

information processor.

Exhibit D - Staffing

A description of the personnel qualifications for each category of professional, non-professional

and supervisory employee employed by the information processor. Detail whether the

personnel are employed by the information processor or a third party, identifying the

employees responsible for monitoring the timeliness and integrity of data reported to and

displayed by the System.

Exhibit E - Affiliates

For each affiliated entity of the information processor, and for any person or company with

whom the information processor has a contractual or other agreement relating to the operations

of the information processor, including loans or cross-guarantees, provide the following

information:

1. Name and address of person or company.

2. Form of organization (e.g., association, corporation, partnership, etc.).

3. Name of location and statute citation under which organized.

4. Date of incorporation in present form.

5. Description of nature and extent of affiliation and/or contractual or other

agreement with the information processor.

6. Description of business or functions of the affiliates.

7. If a person or company has ceased to be an affiliated entity of the information

processor during the previous year or ceased to have a contractual or other

agreement relating to the operation of the information processor during the

previous year, provide a brief statement of the reasons for termination of the

relationship.

Exhibit F - Services

A description in narrative form of each service or function performed by the information

processor. Include a description of all procedures utilized for the collection, processing,

distribution, validation and publication of information with respect to orders and trades in

securities.

Exhibit G - System and Operations

1. Describe the manner of operation of the System of the information processor that

collects, processes, distributes and publishes information in accordance with National

Instruments 21-101 and 23-101. This description should include the following:

1. The means of access to the System.

2. Procedures governing entry and display of quotations and orders in the System

including data validation processes.

3. A description of any measures used to verify the timeliness and accuracy of

information received and disseminated by the system, including the processes

to resolve data integrity issues identified.

4. The hours of operation of the System.

5. Description of the training provided to users of the System and any materials

provided to the users.

2. Include a list of all computer hardware utilized by the information processor to

perform the services or functions listed in Exhibit F, indicating:

1. Manufacturer, and manufacturer's equipment and identification number.

2. Whether purchased or leased (if leased, duration of lease and any provisions

for purchase or renewal).

3. Where such equipment (exclusive of terminals and other access devices) is

physically located.

3. Provide a description of the measures or procedures implemented by the information

processor to provide for the security of any system employed to perform the functions

of an information processor. This should include a general description of any physical

and operational safeguards designed to prevent unauthorized access to the system.

4. Provide a description of all backup systems which are designed to prevent

interruptions in the performance of any information providing functions as a result

of technical malfunctions or otherwise in the system itself, in any permitted input

or output system connection or as a result of any independent source.

5. Describe the business continuity and disaster recovery plans of the information

processor, and provide any relevant documentation.

6. List each type of interruption which has lasted for more than two minutes and has

occurred within the six (6) months preceding the date of the filing, including the date

of each interruption, the cause and duration. Provide the total number of interruptions

which have lasted two minutes or less.

7. Describe the procedures for reviewing system capacity, and indicate current and

future capacity estimates.

8. Quantify in appropriate units of measure the limits on the information processor's

capacity to receive, collect, process, store or display the data elements included within

each function.

9. Identify the factors (mechanical, electronic or other) which account for the

current limitations on the capacity to receive, collect, process, store or display the data

elements included within each function described in

section 8 above.

10. Describe the procedures for conducting stress tests.

Exhibit H - Outsourcing

Where the information processor has outsourced the operation of any aspect of the services

listed in Exhibit F to an arms-length third party, including any function related to the

collection, consolidation, and dissemination of data, provide the following information:

1. Name and address of person or company to whom the function has been outsourced.

2. A description of the nature and extent of the contractual or other agreement with the

information processor, and the roles and responsibilities of the arms-length third party

under the arrangement.

3. A copy of each material contract relating to any outsourced function.

Exhibit I - Financial Viability

1. Provide a business plan with pro forma financial statements and estimates of revenue.

2. Discuss the financial viability of the information processor in the context of having

sufficient financial resources to properly perform its functions.

Exhibit J - Fees and Revenue Sharing

1. Provide a complete list of all fees and other charges imposed, or to be imposed,

by or on behalf of the information processor for its information services. This

would include all fees to provide data and fees to receive the data from the

information processor.

2. Where arrangements exists to share revenue from the sale of data disseminated by the

information processor with marketplaces, inter-dealer bond brokers and dealers that

provide data to the information processor in accordance with National Instrument 21-

101, a complete description of the arrangements and the basis for these

arrangements.

Exhibit K - Reporting to the Information Processor

1. List all persons and entities that provide data to the information processor in

accordance with the requirements of National Instrument 21-101.

2. Provide a complete set of all forms, agreements and other materials pertaining to the

provision of data to the information processor.

3. A description of any specifications or criteria required of marketplaces, inter-

dealer bond brokers or dealers who provide securities information to the

information processor for collection, processing for distribution or publication.

Identify those specifications or criteria which limit, are interpreted to limit or have the

effect of limiting access to or use of any services provided by the information processor

and state the reasons for imposing such specifications or criteria.

4. For each instance during the past year in which any person or entity has been

prohibited or limited to provide data by the information processor, indicate the name of

each such person or entity and the reason for the prohibition or limitation.

Exhibit L - Access to the Services of the Information Processor

1. A list of all persons and entities who presently subscribe or who have notified the

information processor of their intention to subscribe to the services of the information

processor.

2. The form of contract governing the terms by which persons may subscribe to the

services of an information processor.

3. A description of any specifications or criteria which limit, are interpreted to limit or

have the effect of limiting access to or use of any services provided by the information

processor and state the reasons for imposing such specifications or criteria. This applies

to limits relating to providing information to the information processor and the limits

relating to accessing the consolidated feed distributed by the information processor.

4. For each instance during the past year in which any person has been prohibited or

limited in respect of access to services offered by the information processor, indicate the

name of each such person and the reason for the prohibition or limitation.

Exhibit M - Selection of Securities for which Information Must Be Reported to the

Information Processor

Where the information processor is responsible for making a determination of the data

which must be reported, including the securities for which information must be

reported in accordance with National Instrument 21-101, describe the manner of

selection and communication of these securities. This description should include the

following:

1. The criteria used to determine the securities for which information must be

reported and the data which must be reported to the information processor.

2. The process for selection of the securities, including a description of the parties

consulted in the process and the frequency of the selection process.

3. The process to communicate the securities selected and data to be reported to

the marketplaces, inter-dealer bond brokers and dealers providing the

information as required by National Instrument 21-101. The description should

include where this information is located.

CERTIFICATE OF INFORMATION PROCESSOR

The undersigned certifies that the information given in this report is true and correct.

DATED at_________________this_____day of________________20___

______________________________

(Name of information processor)

______________________________

(Name of director, officer or partner - please type or print)

______________________________

(Signature of director, officer or partner)

______________________________

(Official capacity - please type or print).

*******

(1) Subject to subsection (2), this Instrument comes into force on July 1, 2012.

(2) Section 17 of this Instrument comes into force on December 31, 2012.

Alberta Securities Commission

NATIONAL INSTRUMENT 23-101 TRADING RULES

AMENDING INSTRUMENT

(Securities Act)

Made as a rule by the Alberta Securities Commission on March 14, 2012 pursuant to

sections 223 and 224 of the Securities Act.

AMENDMENTS TO NATIONAL INSTRUMENT 23-101 TRADING RULES

1. National Instrument 23-101 Trading Rules is amended by this Instrument.

Part 6 is amended by

(

a) replacing "The following are the trade-throughs referred to in paragraph

6.1(1)(a)" with "For the purposes of paragraph 6.1(1)(

a) the permitted

trade-throughs are" in

section 6.2, and

(

b) replacing "marketplace participant" with "marketplace participant or a

marketplace that routes or reprices orders" in

section 6.5.

Part 11 is amended by

(

a) replacing "this Part" with "the requirements in

section 11.2" in

subsection 11.1(2),

(

b) replacing "record" with "record in electronic form" in subsection

11.2(1),

(

c) replacing "; and" with ";" in paragraph 11.2(1)(r),

(

d) replacing "." with ";" in paragraph 11.2(1)(s),

(

e) adding the following after paragraph 11.2(1)(s):

(

t) each unique client identifier assigned to a client accessing the

marketplace using direct electronic access; and

(

u) whether the order is a directed-action order., and

(

f) replacing "records" with "records in electronic form" in subsection

11.2(7).

4. This Instrument comes into force on July 1, 2012.

Alberta Securities Commission

MULTILATERAL INSTRUMENT 11-102 PASSPORT SYSTEM

AMENDING INSTRUMENT

(Securities Act)

Made as a rule by the Alberta Securities Commission on March 14, 2012 pursuant to

sections 223 and 224 of the Securities Act.

AMENDMENTS TO

MULTILATERAL INSTRUMENT 11-102 PASSPORT SYSTEM

1. Multilateral Instrument 11-102 Passport System is amended by this Instrument.

2. Appendix D is amended by repealing the row that contains "Marketplace

operation" in the Provision column and substituting the following row:

Marketplace operation

NI 21-101

(only Parts 3, 4, 7, 8, 11 and 13 and sections 5.1(1),

5.1(2), 5.9, 5.10, 6.1, 6.2, 6.3, 6.7, 6.9 and 6.11, as those

parts and sections apply to an ATS)

4. The provisions of this Instrument come into force on July 1, 2012.

Alberta Securities Commission

MULTILATERAL INSTRUMENT 51-105 ISSUERS QUOTED IN THE U.S.

OVER-THE-COUNTER MARKETS

(Securities Act)

Made as a rule by the Alberta Securities Commission on April 11, 2012 pursuant to

sections 223 and 224 of the Securities Act.

MULT