TSX Market Making Program Guide Appendix D – Version History TMX Group Page 38 Appendix D – Version History Version Date Description of Changes 3.3 February 1, 2023 3.1.3 - Added new ETF Market Maker Fee information (i.e. new Tier B credit criteria, and Tier A Bonus pool information). 3.2 July 5, 2021 3.2.2 – Added concept that if the underperforming month does not apply if the Market Maker has overcontributed over a certain threshold. 3.2.3 – Added single market maker measurement methodology 3.2.4 – Added criteria for single market maker removal from assignment Updated Appendix B - Definitions 3.1 Apr 1, 2021 Revised sections 2.7.2, 3.23, and 3.24 that reference Individual Contribution measurement to reflect that this is still under evaluation and will not be implemented. 3.0 January 6, 2021 2.7 - Revised to reflect new bidding process for corporates and add process for individual market maker replacement. 3.2 - Added details for Individual Performance measurement. Added Section 3.3.2 Automatic Adjustments Added Section 3.3.3 TMX-initiated stock level targets 4.2 – Removed allowance for Dealer Sponsored Allocations. Appendix B - Added definitions for completeness Appendix C - Updated with screenshots of MM reports for issuers on InfoSuite. Multiple edits throughout for clarity and accuracy. 2.6 Oct 15, 2019 Added Section 3.7.3 Participation Anti-wash effective Nov 4, 2019 2.5 Sept 27, 2018 2.4 – Modified Table 2 - Impact of Underperformance to Market Makers on Secondary Assignments to push out timeline of underperformance rebids and reassignments by 1 month 2.4.3 Sept 6, 2018 2.3 – Removed current Tier B/A ratio. This will be provided on bidding templates going forward. 2.4 July 11, 2018 2.8 – Modified tie-break to give a threshold of 10% whereby firms are considered “equivalent” in performance for the purpose of tie-breaks.
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