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Effective March 29, 2021 TORONTO STOCK EXCHANGE RULE BOOK

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Effective March 29, 2021 TORONTO STOCK EXCHANGE RULE BOOK TORONTO STOCK EXCHANGE RULE BOOK TABLE OF CONTENTS PART 1 - INTERPRETATION .................................................................................................................................. 1 Rule 1-101 Definitions (Amended) ....................................................................................................................... 1 Rule 1-102 Exercise of Exchange Powers ........................................................................................................... 12 Rule 1-103 Interpretation ..................................................................................................................................... 12 Rule 1-104 Status Equivalent to Membership ..................................................................................................... 12 Rule 1-105 Application of Rules ......................................................................................................................... 12 PART 2 - ACCESS TO TRADING .......................................................................................................................... 13 DIVISION 1 - QUALIFICATIONS AND APPLICATION ................................................................................... 13 Rule 2-101 Qualifications .................................................................................................................................... 13 Rule 2-102 Application ....................................................................................................................................... 13 Rule 2-103 Notice (Repealed) ............................................................................................................................. 13 Rule 2-104 Acceptance as a Participating Organization ...................................................................................... 13 Rule 2-105 Rights of Applicant (sub(b) Repealed) ............................................................................................. 13 Rule 2-106 Waiting Period if Rejected ................................................................................................................ 13 Rule 2-107 Entrance Fee ..................................................................................................................................... 14 Rule 2-108 Register of Participating Organizations ............................................................................................ 14 Rule 2-109 Representative of Participating Organization ................................................................................... 14 Rule 2-110 Not Transferable ............................................................................................................................... 14 DIVISION 2 - INTERESTS AND OWNERSHIP .................................................................................................. 14 Rule 2-201 Change in Control (Sub (3), (4), (5) and Sub (5)(a), (b) Repealed) .................................................. 14 Rule 2-202 Ownership of Significant Equity Interest .......................................................................................... 14 Rule 2-203 Subsidiaries ....................................................................................................................................... 15 Rule 2-204 Related Companies ........................................................................................................................... 15 DIVISION 3 - CONTINUING QUALIFICATIONS .............................................................................................. 15 Rule 2-301 Membership in SRO ......................................................................................................................... 15 Rule 2-302 Approval of Directors and Partners .................................................................................................. 15 Rule 2-303 Fees and Charges .............................................................................................................................. 15 Rule 2-304 Notifications ..................................................................................................................................... 15 Rule 2-305 Restrictions on Individuals ............................................................................................................... 16 Rule 2-306 Termination of Employment on Withdrawal of Approval ................................................................ 17 Rule 2-307 Indemnification and Limited Liability of the Exchange ................................................................... 17 Rule 2-308 Compulsory Arbitration .................................................................................................................... 18 Rule 2-309 Appointment of Auditors .................................................................................................................. 18 Rule 2-310 Original Records ............................................................................................................................... 19 DIVISION 4 - SUPERVISION OF TRADING ...................................................................................................... 19 Rule 2-401 Supervision of Trading (Repealed) ................................................................................................... 19 Rule 2-402 Accounts (Subs (2) & (3) Repealed) ................................................................................................. 19 Rule 2-403 Prohibition of Carrying Certain Accounts Without Consent ............................................................ 19 Rule 2-404 Records of Orders (Repealed) ........................................................................................................... 19 Effective March 29, 2021 - ii - Rule 2-405 Confirmation ..................................................................................................................................... 19 Rule 2-406 Records of Security Positions ........................................................................................................... 20 DIVISION 5 - PARTICIPATING ORGANIZATIONS PROVIDING THIRD PARTY ELECTRONIC ACCESS ................................................................................................................................................................................. 21 Rule 2-501 Third Party Electronic Access to Marketplaces ................................................................................ 21 Policy 2-501 (Deleted) ..................................................................................................................................... 21 Rule 2-502 Conditions for Connections .............................................................................................................. 21 Policy 2-502 (Deleted) ..................................................................................................................................... 21 Rule 2-503 Responsibility of Participating Organizations .................................................................................. 22 Rule 2-504 Termination of Third Party Electronic Access .................................................................................. 22 DIVISION 6 - SUSPENSION AND TERMINATION ........................................................................................... 22 Rule 2-601 Good Standing .................................................................................................................................. 22 Rule 2-602 Termination ....................................................................................................................................... 23 Rule 2-603 Automatic Suspension ...................................................................................................................... 23 DIVISION 7 - TRADING NUMBERS ................................................................................................................... 23 Rule 2-701 Assignment of Trading Numbers (Repealed) ................................................................................... 23 Rule 2-702 Disclosure of Trading Number ......................................................................................................... 23 PART 3 - GOVERNANCE OF TRADING SESSIONS ......................................................................................... 24 DIVISION 1 - SESSIONS ....................................................................................................................................... 24 Rule 3-101 Date and Time of Sessions ................................................................................................................ 24 Rule 3-102 Trades Outside of Hours for Sessions ............................................................................................... 24 Rule 3-103 Changes in Sessions, Trading Suspensions and Halts (Subs (4) & (5) Repealed) ............................ 24 DIVISION 2 - DECISIONS .................................................................................................................................... 24 Rule 3-201 Powers of Trading Policy Committee (Repealed)............................................................................. 24 Rule 3-202 Powers of Equities Procedure Committee (Repealed) ...................................................................... 24 Rule
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