NEO TRADING

A LEVEL PLAYING FIELD FOR ALL

  • Trading Notice - Trading Fee Reductions for Lit Book and Changes to Fees for Unintentional Crosses

    Feb 23, 2017 | 2017 - 006 The NEO Exchange is committed to advocating for better quality of execution while reducing the cost of doing business for the investment industry.  We are pleased to announce the following changes to the Lit Book fee structure, effective March 1st, 2017: Interlisted Securities Passive rebate will be reduced from $0.0022 to $0.0010 per share Active fee will be... read more
  • Trading Notice - Amendments to Trading Policies Approved

    Jan 26 '17 | 2017 - 002

    January 26, 2017 In accordance with Schedule 5 of its recognition order dated November 13, 2014, as amended (the “Protocol”), Aequitas NEO Exchange Inc. (“NEO Exchange”) has adopted and the Ontario Securities Commission (the “OSC”) has approved amendments to the NEO Exchange trading policies (the “Trading Policies Amendments”). The Trading Policies Amendments are “Public Interest Rules”, as... read more
  • Trading Notice - Listing Migration – Production Simulation

    Jan 1 '17 | 2017 - 001

    In continued support of Member and Service Facilitator readiness for the upcoming migration of securities to the Aequitas NEO Exchange, we are pleased to announce that a second symbol migration simulation will be completed. The simulation will take place in our production environment between January 16, 2017 and January 17, 2017. View Details (PDF) read more
  • Trading Notice - Listing Migration Production Simulation

    Dec 19 '16 | 2016 - 041

    In preparation for the upcoming migration of securities to the Aequitas NEO Exchange, we are pleased to announce that a symbol migration simulation will be completed. The simulation will take place in our production environment between January 10, 2017 and January 11, 2017. The simulation allows Members and Service Facilitators to confirm and validate their respective interactions and functional... read more
  • Trading Notice - GTE Scheduled Maintenance

    Nov 4 '16 | 2016 - 037

    Please be aware that the Aequitas NEO Exchange General Testing Environment (GTE) will be unavailable between the hours of 3:00 PM ET Friday November 04, 2016 and 9:00 AM ET Monday November 07, 2016 for scheduled maintenance. Should you have any questions or require additional information, please contact NEO Exchange Operations via email or via telephone. NEO Exchange Operations  T:  (416)... read more
  • Trading Notice - Remembrance Day Operating Schedule

    Nov 4 '16 | 2016 - 036

    Please note that the Aequitas NEO Exchange will be open on Remembrance Day Friday November 11, 2016. Trading will be permitted however no trade settlements will occur.   Trading will be permitted All Aequitas NEO Exchange corporate offices will be opened No trade settlements will occur   Trading and Settlement Cycle Summary:   Aequitas NEO Exchange - Holiday Operating... read more
  • Trading Notice - Competitive DMM Program

    Nov 1 '16 | 2016 - 035

    In keeping with our promise to continually improve our offering, the NEO Exchange is revamping its Designated Market Maker (DMM) program. The changes, as highlighted below, are designed to provide a more competitive environment, which we believe will further improve liquidity provision on the NEO Exchange. We anticipate the changes will serve to enhance the quality of quotes in our two trading... read more
  • Trading Notice - Internal DR Test

    Oct 13 '16 | 2016 - 034

    Aequitas NEO Exchange will be conducting an internal Disaster Recovery (DR) test in the production environment commencing at 12:00AM ET on Saturday October 22, 2016 ending prior to 5:00PM ET on Sunday October 23, 2016. During the test period market data may be disseminated; all members and service facilitators are reminded that this is not live market data and should be disregarded. A... read more
  • Trading Notice - GTE Scheduled Maintenance

    Oct 6 '16 | 2016 - 033

    Please be aware that the Aequitas NEO Exchange General Testing Environment (GTE) will be unavailable between the hours of 2:00 PM ET Friday October 07, 2016 and 9:00 AM ET Tuesday October 11, 2016 for scheduled maintenance. Should you have any questions or require additional information, please contact NEO Exchange Operations via email or via telephone. read more
  • Trading Notice - Notice of NEO Book Fee Withdrawal

    Oct 6 '16 | 2016 - 032

    Following publication for comment of proposed changes to NEO Book™ trading fees on June 30, 2016 (see Trading Notice 2016-021), upon consideration of the comments received – in particular those relating to segmentation and increased fee complexity – Aequitas NEO Exchange has decided to withdraw the proposal.  We thank the commenters for their thoughtful feedback. Should you have any questions or... read more
  • Trading Notice - Holiday Operating Schedule

    Sept 27 '16 | 2016 - 031

    In observance of the Thanksgiving Day holiday on Monday October 10, 2016, the Aequitas NEO Exchange will be closed. No trading will be permitted No trade settlements will occur All Aequitas NEO Exchange corporate offices will be closed   Trading and Settlement Cycle Summary: Calendar Date Trading Day Settlement Date October 05, 2016 Yes October 11, 2016 October 06,... read more
  • Trading Notice - Expansion of Eligible Symbols for Trading

    Aug 29 '16 | 2016 - 029

    Aequitas NEO Exchange is pleased to announce the expansion of eligible securities for trading on the exchange, to include NEX symbols (TSX-V symbols ending in “.H” or “.K”) effective Tuesday September 06, 2016. The trading schedule for these symbols, will follow the schedule for TSX and TSX-V listed securities. Should you have any questions or require any additional information, please contact... read more
  • Trading Notice - Holiday Operating Schedule

    Aug 28 '16 | 2016 - 028

    In observance of the Labour Day holiday on Monday September 05, 2016, the Aequitas NEO Exchange will be closed. No trading will be permitted No trade settlements will occur All Aequitas NEO Exchange corporate offices will be closed   Trading and Settlement Cycle Summary: Calendar Date Trading Day Settlement Date August 31, 2016 Yes September 6, 2016 September 1,... read more
  • Trading Notice - Production Maintenance

    Aug 8 '16 | 2016 - 027

    Please be aware that scheduled maintenance activities will be completed within the Aequitas NEO Exchange production environment commencing at 7:00 PM ET on Friday August 19, 2016 ending at 11:59 PM ET on Sunday August 21, 2016. As a result of the activities being completed, multicast market data may be disseminated and clients are advised to ignore any market data disseminated during this period... read more
  • Trading Notice - Change to NEO Book Trading Fee Model – Request for Comments

    June 30 '16 | 2016 - 021

    Proposed NEO Book™ Differentiated Pricing Aequitas NEO Exchange is seeking comment on a proposed NEO Book™ fee model change, whereby whether or not an active rebate is received would depend on the type of active order flow (the “Proposed Fee Change”). Under the proposal, an active order from a natural investor (NEO Trader™) would receive a rebate while an active order from a Latency Sensitive... read more
  • Trading Notice - Regulatory Approval for Lit Book Fee Changes and Continuation of NEO Book Inverted Pricing

    May 20 '16 | 2016 - 017

    Lit Book Trading Fees The proposed Lit Book trading fee reductions for interlisted securities announced by Aequitas NEO Exchange on May 9, 2016 and an adjustment to the fees for notes and debentures have been approved. View PDF read more
  • Technical Notice - Updated Specifications Availability

    May 19 '16 | 2016 - 016

    Aequitas NEO Exchange is pleased to announce the immediate availability of updated Aequitas NEO Exchange FIX Order Entry specifications. The document has been updated to reflect details of the NEO Book Automated Execution Facility (AEF) targeted for production launch mid-August 2016, subject to regulatory approval.  A Trading Notice will be disseminated at a later date providing details regarding... read more
  • Trading Notice - Holiday Operating Schedule

    May 16 '16 | 2016 - 015

    In observance of the Victoria Day holiday on Monday, May 23, 2016, the Aequitas NEO Exchange will be closed. No trading will be permitted No trade settlements will occur All Aequitas NEO Exchange corporate offices will be closed   Trading and Settlement Cycle Summary: Calendar Date Trading Day Settlement Date May 18, 2016 Yes May 24, 2016 May 19, 2016 Yes May 25,... read more
  • Trading Notice - Reduced Interlisted Trading Fees in the Lit Book

    May 9 '16 | 2016 - 014

    Aequitas NEO Exchange remains committed to driving down the cost of doing business for the investment industry and, from the very beginning, we’ve been strong proponents of industry-wide fee reductions. The TSX announced on May 2nd that they are reducing their make/take trading fees for interlisted securities. We applaud this change as it benefits the entire industry, although it is unfortunate... read more
  • Trading Notice - Introduction of Fees Triggered by Market Share Threshold

    April 29 '16 | 2016-013

    Aequitas NEO Exchange is providing notice that we have met the market share thresholds set out in our fee schedules, as described below.  June 1st will be the billing start date for the following fees, which have been waived since our launch over a year ago.  Market share in each case has been calculated based on value of shares traded over a monthly period. Display Fees for Professional Usage... read more
  • Trading Notice - Extended Lit Book Trading Hours

    March 10 '16 | 2016 - 011

    The NEO Exchange is pleased to confirm that as outlined in notice 2016-006 the second phase effective Monday March 14, 2016  is extending its trading hours in the Lit Book for all securities that are not NEO listed securities. This is the second phase of the change in hours, with trading hours of notes and debentures extended on November 2, 2015, as previously communicated in notice 2015-045. The... read more
  • Trading Notice - Holiday Operating Schedule

    Mar 9 '16 | 2016 - 010

    In observance of the Good Friday holiday on Friday, March 25, 2016, the Aequitas NEO Exchange will be closed. No trading will be permitted No trade settlements will occur All Aequitas NEO Exchange corporate offices will be closed   Trading and Settlement Cycle Summary: Calendar Date Trading Day Settlement Date March 22, 2016 Yes March 28, 2016 March 23,... read more
  • Trading Notice - Trading Policies Amendments

    Mar 3 '16 | 2016 - 009

    In accordance with Schedule 5 of its recognition order dated November 13, 2014, as amended (the “Protocol”), Aequitas NEO Exchange Inc. (“NEO Exchange”) has adopted and the Ontario Securities Commission (the “OSC”) has approved amendments to the NEO Exchange trading policies (the “Trading Policies Amendments”). The Trading Policies Amendments include both “Public Interest Rules”, which were... read more
  • Trading Notice - GTE Scheduled Maintenance

    Mar 3 '16 | 2016 - 008

    Please be aware that the Aequitas NEO Exchange General Testing Environment (GTE) will be unavailable between the hours of 12:00 PM ET Friday March 04, 2016 and 9:00 AM ET Monday March 07, 2016 for scheduled maintenance. Upon completion of the maintenance activities a confirming notification will be distributed and all access capabilities will be restored. Should you have any questions or require... read more
  • Trading Notice - GTE Scheduled Maintenance

    Feb 25 '16 | 2016 - 007

    Please be aware that the Aequitas NEO Exchange General Testing Environment (GTE) will be unavailable between the hours of 3:00 PM ET Friday February 26, 2016 and 9:00 AM ET Monday February 29, 2016 for scheduled maintenance. Upon completion of the maintenance activities a confirming notification will be distributed and all access capabilities will be restored. Should you have any questions or... read more
  • Trading Notice - Extended Lit Book Trading Hours

    Feb 17 '16 | 2016 - 006

    The NEO Exchange is extending its trading hours in the Lit Book for all securities that are not NEO listed securities. This is the second phase of the change in hours, with trading hours of notes and debentures extended on November 2, 2015, as previously communicated in notice 2015-045. The following trading hours are effective as of March 14, 2016. View PDF read more
  • Trading Notice - Holiday Operating Schedule

    Feb 8 '16 |2016 - 005

    In observance of the Family Day holiday on Monday February 15, 2016, the Aequitas NEO Exchange will be closed. No trading will be permitted No trade settlements will occur All Aequitas NEO Exchange corporate offices will be closed    Trading and Settlement Cycle Summary: Calendar Date Trading Day Settlement Date February 10, 2016 Yes February 16, 2016 February 11,... read more
  • Trading Notice - Regulatory Approval for Reduced Net Trading Fees for NEO Book™ and Lit Book

    Feb 1 '16 | 2016 - 004

    Aequitas NEO Exchange has received regulatory approval for fee changes as outlined in notice 2016-003.  The new trading fee schedule, which is effective today, is available on our website here. Please contact us with any questions or to request additional information at: NEO Exchange Operations T:  (416) 933-5950 E:  NEOExchangeOperations@aequin.com Aequitas NEO Exchange Inc. 155 University... read more
  • Trading Notice - Reduced Net Trading Fees for NEO Book™ and Lit Book

    Jan 26 '16 | 2016 - 003

    Reduced Net Trading Fees for NEO BookTM and Lit Book In line with our commitment to driving down the cost of doing business for the investment industry, we will be implementing a number of game-changing amendments to our NEO Book™ and Lit Book trading fees.  These amendments will provide our customers with a whole new level of costs savings while at the same time streamlining our trading fees in... read more
  • Trading Notice - Request for Comments - Trading Policies Amendments

    Jan 7 '16 | 2016 - 002

    Aequitas NEO Exchange Inc. (“NEO Exchange”) is publishing proposed amendments (the “Proposed Amendments”) to the NEO Exchange trading policies (the “Trading Policies”) in accordance with Schedule 5 to its recognition order, as amended (the “Protocol”). As required under the Protocol, the Proposed Amendments were filed with the Ontario Securities Commission (“OSC”). They include both “Public... read more