OSC Notice of Approval - Neo Exchange Trading Policies - Anonymous Broker Preferencing - Neo Exchange Inc.

In accordance with the Process for the Review and Approval of Rules and the Information Contained in Form 21-101F1 and the Exhibits Thereto, Neo Exchange Inc. (“NEO Exchange”) has adopted and the Ontario Securities Commission has approved amendments to NEO Exchange’s Trading Policies.

On June 28, 2019, NEO published for comment a Public Interest Rule Amendment to amend the matching logic for dark orders in NEO-D to apply broker preferencing to all orders, other than jitney orders.

One comment letter was received. A summary of the comments and NEO Exchange’s response, as well as a copy of the approved Public Interest Rule Amendment and Housekeeping Rule Changes, can be found at www.osc.gov.on.ca.

The Public Interest Rule Amendment will be effective on October 1, 2019.