TSX Market Making Program Guide Appendix D – Version History TMX Group Page 39 Version Date Description of Changes 3.4 – Defined threshold of reassignments and modified it to look back 3 months and be a 3 month ban. Also clarified that a firm may not re-bid on an assignment they just lost purely due to underperformance. 2.3 Mar 12, 2018 3.3 – Clarified %TimeAtNBBO (excludes times when quotes or locked or crossed), TOB Size measurement (only includes Individual MGF), Liquidity Factor measurement (only counts trades within same day) 3.8 – Clarified odd lot rotation during continuous trading Added Section 3.14 - Exemption from Market Making Responsibilities 2.2 Jan 19, 2018 2.8 – Added clarification that bids are subject to minimum and maximum levels Appendix A – Added maximum bid levels 2.1 Nov 20, 2017 Appendix C - Updated sample report to issuers Formatting and branding changes 2.0 Sept 20, 2017 2.5 – Added section on Minimum Assignments 3.3, Appendix C – Added sample performance reports to issuers 3.5 – Updated MGF Facility to guarantee fills at TBBO only (not NBBO as proposed) 3.7.2 – Added section on Participation Option 3.8 – Added detail to Odd Lot Facility 2.11 – Added section on Designated Market Maker Contact 3.12 – Added section on Responsible Designated Trader 4 – Added detail to section Existing the Program Appendix A – Updated values for Min Liquidity Factory and removed ETFs from chart (ETFs not part of secondary assignments) Appendix B – Added “Trader ID” to definitions 1.6 March 2017 Draft version accompanying regulatory proposal
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