108 SECURITIES INC. (NRD# 38260 )


Exempt Market Dealer

18 ASSET MANAGEMENT INC. (NRD# 32480 )


Portfolio Manager

1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. (NRD# 30050 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

3I FINANCIAL INVESTMENT SERVICES INC. (NRD# 25880 )


Mutual Fund Dealer

3IQ CORP. (NRD# 41350 )


Investment Fund Manager

4FRONT CAPITAL PARTNERS INC. (NRD# 38040 )


Exempt Market Dealer

ABERDEEN ASSET MANAGEMENT CANADA LIMITED (NRD# 37730 )


Portfolio Manager

ABERDEEN ASSET MANAGEMENT INC. (NRD# 12470 )


Investment Fund Manager

Portfolio Manager

ABERDEEN FUND DISTRIBUTORS, LLC (NRD# 30420 )


Exempt Market Dealer

ABERDEEN GOULD CAPITAL MARKETS LTD. (NRD# 27200 )


Exempt Market Dealer

ABINGDON CAPITAL CORPORATION (NRD# 53830 )


Exempt Market Dealer

ACADIAN ASSET MANAGEMENT LLC (NRD# 6620 )


Exempt Market Dealer

Portfolio Manager

ACASTA CAPITAL INC. (NRD# 42680 )


Exempt Market Dealer

ACC GLOBAL FINANCIAL INC. (NRD# 50490 )


Mutual Fund Dealer

ACCESS CAPITAL CORP. (NRD# 210 )


Exempt Market Dealer

ACCILENT CAPITAL MANAGEMENT INC. (NRD# 12410 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACCREDITED CAPITAL CORPORATION (NRD# 18780 )


Commodity Trading Manager

Exempt Market Dealer

ACERNIS CAPITAL MANAGEMENT INC. (NRD# 42110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACKER FINLEY ASSET MANAGEMENT INC. (NRD# 610 )


Investment Fund Manager

Portfolio Manager

ACKER FINLEY INC. (NRD# 140 )


Investment Dealer

ACM ADVISORS LTD. (NRD# 30360 )


Exempt Market Dealer

Investment Fund Manager

ACORN GLOBAL INVESTMENTS INC. (NRD# 18640 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACTION VALEUR AJOUTEE INC. (NRD# 19120 )


Portfolio Manager

ACUMEN CAPITAL FINANCE PARTNERS LIMITED (NRD# 6070 )


Investment Dealer

ADAPTIVE ASSET MANAGEMENT LTD. (NRD# 49070 )


Portfolio Manager

ADDENDA CAPITAL INC. (NRD# 28190 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

ADDINGTON FINANCIAL CORPORATION (NRD# 6890 )


Mutual Fund Dealer

ADROIT INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS ADROIT LTEE (NRD# 11680 )


Portfolio Manager

ADVANCED CAPITAL CORPORATION (NRD# 46100 )


Exempt Market Dealer

ADVISORY CAPITAL GROUP CANADA INC. (NRD# 5180 )


Portfolio Manager

AFINA CAPITAL MANAGEMENT INC. (NRD# 31010 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AGAWA FUND MANAGEMENT INC. (NRD# 53320 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AGF INVESTMENTS INC. / PLACEMENTS AGF INC. (NRD# 3640 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

AGF SECURITIES (CANADA) LIMITED (NRD# 20 )


Investment Dealer

AGILITH CAPITAL INC. (NRD# 26360 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AHF CAPITAL PARTNERS INC. (NRD# 42210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AIP ASSET MANAGEMENT INC. (NRD# 43370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALBOURNE PARTNERS (CANADA) LIMITED (NRD# 47650 )


Portfolio Manager

ALDERSLEY SECURITIES INC. (NRD# 5540 )


Mutual Fund Dealer

Portfolio Manager

ALEXANDER CAPITAL GROUP INC. (NRD# 22840 )


Exempt Market Dealer

ALGONQUIN CAPITAL CORPORATION (NRD# 46400 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALIGNED CAPITAL PARTNERS INC. (NRD# 2340 )


Investment Dealer

ALIGNVEST CAPITAL MANAGEMENT INC. (NRD# 42570 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALIGNVEST INVESTMENT MANAGEMENT CORPORATION (NRD# 49100 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

ALL GROUP FINANCIAL SERVICES INC. (NRD# 22960 )


Investment Dealer

ALLARD, ALLARD & ASSOCIES INC. (NRD# 20120 )


Portfolio Manager

ALLIANCEBERNSTEIN CANADA, INC. (NRD# 100 )


Exempt Market Dealer

Portfolio Manager

ALLIANZ GLOBAL INVESTORS U.S. LLC / ALLIANZ INVESTISSEURS MONDIAUX E.-U. (NRD# 9820 )


Exempt Market Dealer

ALLIED CAPITAL CORPORATION (NRD# 4390 )


Exempt Market Dealer

ALLVISTA INVESTMENT MANAGEMENT INC. (NRD# 27610 )


Portfolio Manager

ALPHAFIXE CAPITAL INC. (NRD# 28220 )


Investment Fund Manager

Portfolio Manager

ALPHANORTH ASSET MANAGEMENT (NRD# 26330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALPHAPLANUM INC. (NRD# 48980 )


Portfolio Manager

ALPHAPRO MANAGEMENT INC. (NRD# 34600 )


Investment Fund Manager

ALTA WEST MORTGAGE CAPITAL CORPORATION (NRD# 33610 )


Exempt Market Dealer

ALTACORP CAPITAL INC. (NRD# 33040 )


Investment Dealer

ALTERNATIVE CAPITAL GROUP INC. / GROUPE CAPITAL ALTERNATIF INC. (NRD# 42220 )


Exempt Market Dealer

ALTIMUM MUTUALS INC. (NRD# 15640 )


Mutual Fund Dealer

ALTIUM WEALTH ARCHITECTURE INC. / ALTIUM ARCHITECTURE DE PATRIMOINE INC. (NRD# 44490 )


Portfolio Manager

ALTRINSIC GLOBAL ADVISORS, LLC (NRD# 23170 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALTUS SECURITIES INC. (NRD# 5960 )


Investment Dealer

ALVAREZ & MARSAL CANADA SECURITIES ULC (NRD# 39430 )


Exempt Market Dealer

AMUNDI CANADA INC. (NRD# 27710 )


Exempt Market Dealer

Portfolio Manager

ANALYTIC INVESTORS, LLC (NRD# 30280 )


Portfolio Manager

ANNAPOLIS CAPITAL LIMITED (NRD# 30040 )


Exempt Market Dealer

Investment Fund Manager

ANTARES INVESTMENT MANAGEMENT, INC. (NRD# 18330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ANTYA INVESTMENTS INC. (NRD# 49320 )


Portfolio Manager

AON HEWITT INVESTMENT MANAGEMENT INC. (NRD# 51900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

APS ASSET MANAGEMENT PTE LTD (NRD# 40180 )


Portfolio Manager

AQR CAPITAL MANAGEMENT, LLC (NRD# 33420 )


Exempt Market Dealer

AR3 CAPITAL MANAGEMENT INC. (NRD# 41210 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARC FINANCIAL CORP. (NRD# 2960 )


Exempt Market Dealer

ARGOSY SECURITIES INC. (NRD# 5450 )


Investment Dealer

ARMSTRONG SHAW ASSOCIATES INC. (NRD# 32190 )


Portfolio Manager

AROHI ASSET MANAGEMENT PTE. LTD. (NRD# 36790 )


Portfolio Manager

ARROW CAPITAL MANAGEMENT INC. (NRD# 9540 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARROWSTREET CAPITAL, LIMITED PARTNERSHIP (NRD# 9320 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

ARTEMIS INVESTMENT MANAGEMENT LIMITED (NRD# 18440 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARTON INVESTMENTS (NRD# 23250 )


Investment Dealer

ASCEND CAPITAL, LLC (NRD# 31080 )


Portfolio Manager

ASCENDO FINANCIAL SOLUTIONS INC. (NRD# 47570 )


Exempt Market Dealer

ASCENTA FINANCE CORP. (NRD# 23800 )


Exempt Market Dealer

ASSANTE CAPITAL MANAGEMENT LTD./GESTION DE CAPITAL ASSANTE LTEE (NRD# 1160 )


Investment Dealer

ASSANTE FINANCIAL MANAGEMENT LTD./GESTION FINANCIERE ASSANTE LTEE (NRD# 25750 )


Exempt Market Dealer

Mutual Fund Dealer

ASTON HILL ASSET MANAGEMENT INC. (NRD# 12690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ASTON HILL CAPITAL MARKETS INC. (NRD# 10890 )


Investment Fund Manager

Portfolio Manager

ATB INVESTMENT MANAGEMENT INC. (NRD# 14430 )


Investment Fund Manager

Portfolio Manager

ATB SECURITIES INC. (NRD# 16070 )


Investment Dealer

AURION CAPITAL MANAGEMENT INC. / GESTION DE PLACEMENTS AURION INC. (NRD# 3380 )


Investment Fund Manager

Portfolio Manager

AUSPICE CAPITAL ADVISORS LTD. (NRD# 25850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC. (NRD# 50110 )


Commodity Trading Manager

Portfolio Manager

AVENTINE MANAGEMENT GROUP INC. (NRD# 14850 )


Investment Fund Manager

Portfolio Manager

AVENUE INVESTMENT MANAGEMENT INC. (NRD# 15660 )


Portfolio Manager

AVIVA INVESTORS CANADA INC. (NRD# 8420 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

AXCESS CAPITAL ADVISORS INC. (NRD# 34040 )


Exempt Market Dealer

AYAL CAPITAL ADVISORS LIMITED (NRD# 44670 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

B.A.F. CAPITAL MANAGEMENT INC. (NRD# 40250 )


Restricted Portfolio Manager

B.E.S.T. INVESTMENT COUNSEL LIMITED (NRD# 8500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

B.S.P. FUNDS CANADA INC. (NRD# 30320 )


Exempt Market Dealer

B2B BANK FINANCIAL SERVICES INC./B2B BANQUE SERVICES FINANCIERS INC. (NRD# 4330 )


Exempt Market Dealer

Mutual Fund Dealer

B2B BANK SECURITIES SERVICES INC. / B2B BANQUE SERVICES DE VALEURS MOBILIERES INC. (NRD# 6690 )


Investment Dealer

BAILLIE GIFFORD & CO LIMITED (NRD# 48560 )


Portfolio Manager

BAILLIE GIFFORD OVERSEAS LIMITED (NRD# 460 )


Portfolio Manager

BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC. (NRD# 400 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

BANQUE NATIONALE INVESTISSEMENTS INC./NATIONAL BANK INVESTMENTS INC. (NRD# 28750 )


Investment Fund Manager

Mutual Fund Dealer

BANWELL FINANCIAL INC. (NRD# 10300 )


Exempt Market Dealer

Mutual Fund Dealer

BARCLAYS CAPITAL CANADA INC. (NRD# 23970 )


Investment Dealer

BARING INTERNATIONAL INVESTMENT LIMITED (NRD# 480 )


Portfolio Manager

BARING NORTH AMERICA LLC (NRD# 6480 )


Exempt Market Dealer

Investment Fund Manager

BAROMETER CAPITAL MANAGEMENT INC. (NRD# 10920 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BARRAGE CAPITAL INC. (NRD# 37070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BARRANTAGH INVESTMENT MANAGEMENT INC. (NRD# 5360 )


Portfolio Manager

BASKIN FINANCIAL SERVICES INC. (NRD# 7050 )


Portfolio Manager

BAYFRONT CAPITAL PARTNERS LTD. (NRD# 31330 )


Exempt Market Dealer

BBS SECURITIES INC (NRD# 27620 )


Investment Dealer

BCV ASSET MANAGEMENT INC. (NRD# 24700 )


Portfolio Manager

BEACON SECURITIES LIMITED/VALEURS MOBILIERES BEACON LTEE (NRD# 15540 )


Investment Dealer

BECKSLEY CAPITAL INC. / CAPITAL BECKSLEY INC. (NRD# 540 )


Exempt Market Dealer

BELCO PRIVATE CAPITAL INC. (NRD# 35250 )


Exempt Market Dealer

BELLOTTI CAPITAL PARTNERS INC. (NRD# 23350 )


Exempt Market Dealer

BELLWETHER INVESTMENT MANAGEMENT INC. (NRD# 21600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BER TOV CAPITAL CORPORATION (NRD# 25280 )


Exempt Market Dealer

BERINGER CAPITAL PARTNERS LTD. (NRD# 21360 )


Exempt Market Dealer

BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE. (NRD# 260 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

BIMCOR INC. (NRD# 270 )


Investment Fund Manager

Portfolio Manager

BIRCHLEAF INVESTMENTS INC. (NRD# 9390 )


Investment Fund Manager

Portfolio Manager

BITTERROOT CAPITAL ADVISORS, LLC (NRD# 36550 )


Portfolio Manager

BKC CAPITAL INC. (NRD# 43070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACK CREEK INVESTMENT MANAGEMENT INC. (NRD# 18900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACK SWAN DEXTERITAS INC. (NRD# 41290 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACKBRIDGE CAPITAL MANAGEMENT CORP. (NRD# 35230 )


Exempt Market Dealer

Investment Fund Manager

BLACKHEATH FUND MANAGEMENT INC. (NRD# 29840 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE (NRD# 3900 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLAIR FRANKLIN CAPITAL PARTNERS INC. (NRD# 41310 )


Exempt Market Dealer

BLOOM BURTON & CO. LIMITED (NRD# 49560 )


Investment Dealer

BLOOM INVESTMENT COUNSEL, INC. (NRD# 280 )


Investment Fund Manager

Portfolio Manager

BLOOMBERG TRADEBOOK CANADA COMPANY (NRD# 11870 )


Futures Commission Merchant

Investment Dealer

BLOOMBERGSEN INC. (NRD# 26810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLUE RIBBON FUND MANAGEMENT LTD. (NRD# 35270 )


Investment Fund Manager

BLUECREST CAPITAL MANAGEMENT (CANADA) LIMITED / GESTION DE CAPITAUX (CANADA) BLUECREST LIMITEE (NRD# 45980 )


Commodity Trading Manager

Portfolio Manager

BLUENOSE INVESTMENT MANAGEMENT INC. (NRD# 14820 )


Portfolio Manager

BLUEWATER INVESTMENT MANAGEMENT INC. (NRD# 4950 )


Portfolio Manager

BMG FINANCIAL SERVICES CORP. (NRD# 37370 )


Exempt Market Dealer

BMO ASSET MANAGEMENT CORP. (NRD# 7800 )


Commodity Trading Manager

Portfolio Manager

BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC. (NRD# 1850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BMO INVESTMENTS INC./BMO INVESTISSEMENTS INC. (NRD# 550 )


Investment Fund Manager

Mutual Fund Dealer

BMO INVESTORLINE INC./BMO LIGNE D'ACTION INC. (NRD# 250 )


Investment Dealer

BMO NESBITT BURNS INC. (NRD# 2580 )


Futures Commission Merchant

Investment Dealer

Investment Fund Manager

BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC. (NRD# 1810 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BNP PARIBAS (CANADA) VALEURS MOBILIERES INC./BNP PARIBAS (CANADA) SECURITIES INC. (NRD# 23310 )


Investment Dealer

BNY MELLON ASSET MANAGEMENT CANADA LTD. (NRD# 6140 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. (NRD# 5810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BOLTON CAPITAL CANADA INC. (NRD# 46550 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BONWICK CAPITAL PARTNERS, LLC (NRD# 49210 )


Exempt Market Dealer

BORDEAUX CAPITAL INC. (NRD# 53840 )


Exempt Market Dealer

BOWMONT CAPITAL AND ADVISORY LTD. (NRD# 34800 )


Exempt Market Dealer

BRANDES INVESTMENT PARTNERS & CO. (NRD# 7570 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC (NRD# 6360 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRANT SECURITIES LIMITED (NRD# 300 )


Investment Dealer

BRETON HILL CAPITAL LTD. (NRD# 32370 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRICKBURN ASSET MANAGEMENT INC. (NRD# 14220 )


Investment Fund Manager

Portfolio Manager

BRIDGEPORT ASSET MANAGEMENT INC. (NRD# 25060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRIDGEWATER ASSOCIATES, LP (NRD# 21400 )


Commodity Trading Manager

Portfolio Manager

BRIDGING FINANCE INC. (NRD# 44620 )


Exempt Market Dealer

Restricted Portfolio Manager

BRISTOL GATE CAPITAL PARTNERS INC. (NRD# 23210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRIX RCR INC. (NRD# 42230 )


Exempt Market Dealer

BROADVIEW CAPITAL MANAGEMENT INC. (NRD# 29090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROMPTON FUNDS LIMITED (NRD# 37530 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOK CAPITAL CORPORATION (NRD# 4790 )


Exempt Market Dealer

BROOKFIELD FINANCIAL SECURITIES LP (NRD# 52080 )


Investment Dealer

BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. (NRD# 22390 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOKFIELD INVESTMENT MANAGEMENT INC. (NRD# 21490 )


Commodity Trading Manager

Portfolio Manager

BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX BROOKFIELD SOUNDVEST LTEE (NRD# 1830 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOKVEST CAPITAL CORPORATION (NRD# 40310 )


Exempt Market Dealer

BSM CAPITAL CORPORATION (NRD# 27360 )


Exempt Market Dealer

BT CROISSANCE GLOBALE / BT GLOBAL GROWTH INC. (NRD# 34190 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BUILDERS CAPITAL MANAGEMENT CORP. (NRD# 36850 )


Exempt Market Dealer

BULL CAPITAL MANAGEMENT INC./ GESTION DE CAPITAUX BULL INC (NRD# 24930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BULLION MANAGEMENT SERVICES INC. (NRD# 34690 )


Investment Fund Manager

BULLION MARKETING SERVICES INC. (NRD# 21450 )


Exempt Market Dealer

BURGUNDY ASSET MANAGEMENT LTD./GESTION D'ACTIFS BURGUNDY LTEE (NRD# 360 )


Investment Fund Manager

Portfolio Manager

BURKETT ASSET MANAGEMENT LIMITED (NRD# 50550 )


Portfolio Manager

BURLINGTON CAPITAL MANAGEMENT LTD. (NRD# 18790 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BUSH ASSOCIES LTEE / BUSH ASSOCIATES LTD (NRD# 19180 )


Portfolio Manager

C.S.T. CONSULTANTS INC./CONSULTANTS C.S.T. INC. (NRD# 790 )


Investment Fund Manager

Scholarship Plan Dealer

CADO INVESTMENT FUND MANAGEMENT INC. (NRD# 34050 )


Investment Fund Manager

CALDWELL INVESTMENT MANAGEMENT LTD. (NRD# 6930 )


Investment Fund Manager

Portfolio Manager

CALDWELL SECURITIES LTD. (NRD# 750 )


Investment Dealer

CALEDON CAPITAL MANAGEMENT INC. (NRD# 29280 )


Exempt Market Dealer

Portfolio Manager

CALLIDUS CAPITAL CORPORATION (NRD# 41450 )


Exempt Market Dealer

Investment Fund Manager

CALROSSIE INVESTMENT MANAGEMENT INC. (NRD# 25680 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMBRIDGE ASSOCIATES LIMITED, LLC (NRD# 48660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMERON STEPHENS SECURITIES LTD. (NRD# 43180 )


Exempt Market Dealer

CAMPBELL, LEE & ROSS INVESTMENT MANAGEMENT INC. (NRD# 10320 )


Portfolio Manager

CANACCORD ASSET MANAGEMENT INC./CANACCORD GESTION D'ACTIFS INC. (NRD# 25790 )


Exempt Market Dealer

CANACCORD GENUITY CORP./CORPORATION CANACCORD GENUITY (NRD# 900 )


Investment Dealer

CANADIAN RESOURCES CAPITAL CORPORATION (NRD# 40220 )


Exempt Market Dealer

CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC. (NRD# 9180 )


Investment Dealer

CANDEAL.CA INC (NRD# 11860 )


Investment Dealer

CANDOR FINANCIAL GROUP INC. (NRD# 6650 )


Mutual Fund Dealer

CANFIN MAGELLAN INVESTMENTS INC. (NRD# 6870 )


Exempt Market Dealer

Mutual Fund Dealer

CANOE FINANCIAL LP (NRD# 32950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CANSO FUND MANAGEMENT LTD. (NRD# 34570 )


Investment Fund Manager

CANSO INVESTMENT COUNSEL LTD. (NRD# 7190 )


Exempt Market Dealer

Portfolio Manager

CANTOR FITZGERALD CANADA CORPORATION (NRD# 24390 )


Investment Dealer

CAPITAL CANADA LIMITED (NRD# 580 )


Exempt Market Dealer

CAPITAL CCFL S.E.N.C. (NRD# 34270 )


Exempt Market Dealer

CAPITAL INSIGHT PARTNERS,LLC (NRD# 40440 )


Portfolio Manager

CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA),INC. (NRD# 10500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAPITAL STREET GROUP INVESTMENT SERVICES, INC. (NRD# 25970 )


Exempt Market Dealer

CARDINAL CAPITAL MANAGEMENT INC. (NRD# 12920 )


Investment Fund Manager

Portfolio Manager

CARDINAL POINT CAPITAL MANAGEMENT INC. (NRD# 14810 )


Portfolio Manager

CARLISLE CAPITAL MORTGAGE CORPORATION (NRD# 40340 )


Exempt Market Dealer

CARTE WEALTH MANAGEMENT INC. (NRD# 24540 )


Exempt Market Dealer

Mutual Fund Dealer

CASGRAIN & COMPAGNIE LIMITEE / CASGRAIN & COMPANY LIMITED (NRD# 990 )


Investment Dealer

CASSELS INVESTMENT MANAGEMENT INC. (NRD# 9500 )


Portfolio Manager

CASSIO CAPITAL PARTNERS INC. (NRD# 50630 )


Exempt Market Dealer

CASTLEBAY WEALTH MANAGEMENT INC. (NRD# 54260 )


Portfolio Manager

CASTLEMOORE INC. (NRD# 20640 )


Portfolio Manager

CELERNUS INVESTMENT PARTNERS INC. (NRD# 38730 )


Investment Fund Manager

Portfolio Manager

CENTURION ASSET MANAGEMENT INC. (NRD# 32750 )


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

CERTUS WEALTH MANAGEMENT INC. (NRD# 7940 )


Portfolio Manager

CES SECURITIES CANADA ULC (NRD# 49280 )


Investment Dealer

CGOV ASSET MANAGEMENT (NRD# 5590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CHIEFSWOOD INVESTMENT MANAGEMENT INC. (NRD# 11180 )


Portfolio Manager

CHILDREN'S EDUCATION FUNDS INC./FONDS D'ETUDES POUR LES ENFANTS INC. (NRD# 1180 )


Investment Fund Manager

Scholarship Plan Dealer

CHIPPINGHAM FINANCIAL GROUP LIMITED/GROUPE FINANCIER CHIPPINGHAM LIMITEE (NRD# 11370 )


Futures Commission Merchant

Investment Dealer

CHOU ASSOCIATES MANAGEMENT INC. (NRD# 600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CHS ASSET MANAGEMENT INC. (NRD# 28660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CI INVESTMENTS INC. (NRD# 28980 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CI PRIVATE COUNSEL LP (NRD# 21800 )


Exempt Market Dealer

Portfolio Manager

CIBC ASSET MANAGEMENT INC./GESTION D'ACTIFS CIBC INC. (NRD# 3660 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

CIBC INVESTOR SERVICES INC./ SERVICES INVESTISSEURS CIBC INC. (NRD# 5380 )


Investment Dealer

CIBC SECURITIES INC./PLACEMENTS CIBC INC. (NRD# 11100 )


Mutual Fund Dealer

CIBC WORLD MARKETS INC./MARCHES MONDIAUX CIBC INC. (NRD# 3850 )


Futures Commission Merchant

Investment Dealer

CIDEL ASSET MANAGEMENT INC. (NRD# 3690 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CINAPORT CAPITAL INC. (NRD# 31900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CIT GROUP SECURITIES (CANADA) INC. (NRD# 5430 )


Investment Dealer

CITCO SECURITIES INC. (NRD# 41230 )


Exempt Market Dealer

CITIBANK CANADA INVESTMENT FUNDS LIMITED / FONDS D'INVESTISSEMENT DE CITIBANQUE CANADA (NRD# 4920 )


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

CITIGROUP GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX CITIGROUP CANADA INC. (NRD# 3360 )


Investment Dealer

CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED (NRD# 4800 )


Exempt Market Dealer

CLAIRWOOD CAPITAL MANAGEMENT INC. (NRD# 37640 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLARESTE WEALTH MANAGEMENT INC. (NRD# 16890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLARUS SECURITIES INC / VALEURS MOBILIERES CLARUS INC. (NRD# 13160 )


Investment Dealer

CLEARWATER CAPITAL MANAGEMENT INC. (NRD# 8880 )


Portfolio Manager

CLIFTON CAPITAL MANAGEMENT INC. (NRD# 50210 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLIMATE CHANGE INFRASTRUCTURE MANAGEMENT INC. (NRD# 38960 )


Exempt Market Dealer

CMC MARKETS CANADA INC./ MARCHES CMC CANADA (NRD# 12570 )


Investment Dealer

COCKFIELD PORRETTI CUNNINGHAM INVESTMENT COUNSEL INC. (NRD# 770 )


Portfolio Manager

COERENTE CAPITAL MANAGEMENT INC./GESTION CAPITAL COERENTE INC. (NRD# 41970 )


Portfolio Manager

COLEFORD INVESTMENT MANAGEMENT LTD. (NRD# 730 )


Investment Fund Manager

Portfolio Manager

COLLINS BARROW SNT CORPORATE FINANCE INC. (NRD# 54080 )


Exempt Market Dealer

COLLINS BARROW TORONTO CORPORATE FINANCE INC. (NRD# 45070 )


Exempt Market Dealer

COMMONFUND ASSET MANAGEMENT COMPANY, INC. (NRD# 9460 )


Portfolio Manager

COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION (NRD# 38670 )


Investment Fund Manager

Restricted Dealer

Restricted Portfolio Manager

COMPAGNIE TIMBER HILL CANADA / TIMBER HILL CANADA COMPANY (NRD# 7830 )


Investment Dealer

CONDOR ASSET MANAGEMENT INC. (NRD# 29990 )


Exempt Market Dealer

Portfolio Manager

CONNING INVESTMENT PRODUCTS, INC. (NRD# 48850 )


Portfolio Manager

CONNOR, CLARK & LUNN FUNDS INC. (NRD# 33960 )


Exempt Market Dealer

Investment Fund Manager

CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN (NRD# 640 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. (NRD# 14660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD. (NRD# 4700 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS GALLIANT S.E.C. / GALLIANT ADVISORS LP (NRD# 34090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONTESSA CAPITAL CANADA CORPORATION (NRD# 45100 )


Exempt Market Dealer

CORDIANT CAPITAL INC. (NRD# 9220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CORIEL CAPITAL INC. (NRD# 25910 )


Portfolio Manager

CORIOLIS CAPITAL LIMITED (NRD# 27330 )


Exempt Market Dealer

Portfolio Manager

CORMARK SECURITIES INC. / VALEURS MOBILIERES CORMARK INC. (NRD# 10090 )


Investment Dealer

CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION (NRD# 3220 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CORPORATION GESTION DE PLACEMENTS CLARET / CLARET ASSET MANAGEMENT CORPORATION (NRD# 8130 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

CORTLAND CREDIT GROUP INC. (NRD# 44470 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COTE 100 INC./QUOTE 100 INC. (NRD# 19220 )


Portfolio Manager

COUGAR GLOBAL INVESTMENTS LIMITED (NRD# 42810 )


Portfolio Manager

COUNSEL PORTFOLIO SERVICES INC./SERVICES DE PORTEFEUILLE COUNSEL INC. (NRD# 13240 )


Investment Fund Manager

Portfolio Manager

COURTAGE DIRECT BANQUE NATIONALE INC./NATIONAL BANK DIRECT BROKERAGE INC. (NRD# 9190 )


Investment Dealer

COVENANT CAPITAL MANAGEMENT INC. (NRD# 16770 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COVINGTON CAPITAL CORPORATION (NRD# 5120 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COVISTA CAPITAL CORP. (NRD# 50300 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COWAN ASSET MANAGEMENT LIMITED (NRD# 45110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COXSWAIN ROW CAPITAL CORPORATION (NRD# 39370 )


Exempt Market Dealer

CQI CAPITAL MANAGEMENT L.P. (NRD# 26370 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CRANSON CAPITAL SECURITIES INC. (NRD# 38430 )


Exempt Market Dealer

CREDENTIAL ASSET MANAGEMENT INC. (NRD# 1260 )


Mutual Fund Dealer

CREDENTIAL SECURITIES INC. (NRD# 6190 )


Investment Dealer

CREDIT SUISSE SECURITIES (CANADA), INC./VALEURS MOBILIERES CREDIT SUISSE (CANADA), INC. (NRD# 1350 )


Futures Commission Merchant

Investment Dealer

CRESTRIDGE ASSET MANAGEMENT INC. (NRD# 11200 )


Portfolio Manager

CRIMSON CAPITAL INC. (NRD# 37550 )


Exempt Market Dealer

Portfolio Manager

CROSBIE & COMPANY INC. (NRD# 11920 )


Exempt Market Dealer

CROWDMATRIX INC. (NRD# 51340 )


Exempt Market Dealer

CROWN CAPITAL PARTNERS INC. (NRD# 21730 )


Exempt Market Dealer

Investment Fund Manager

CRUSADER ASSET MANAGEMENT INC. (NRD# 40790 )


Commodity Trading Manager

Portfolio Manager

CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED (NRD# 8000 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CTI CAPITAL VALEURS MOBILIERES INC. / CTI CAPITAL SECURITIES INC. (NRD# 25640 )


Investment Dealer

CUDA MANAGEMENT CONSULTING INC. (NRD# 38300 )


Exempt Market Dealer

CUMBERLAND ASSOCIATES INVESTMENT COUNSEL INC. (NRD# 3890 )


Portfolio Manager

CUMBERLAND PRIVATE WEALTH MANAGEMENT INC./ CUMBERLAND, GESTION DE PATRIMOINE (NRD# 7200 )


Investment Dealer

Investment Fund Manager

CYGNUS INVESTMENT PARTNERS LP (NRD# 52070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CYPRESS CAPITAL MANAGEMENT LTD. (NRD# 8990 )


Investment Fund Manager

Portfolio Manager

D & A LABRECQUE CAPITAL INC (NRD# 32010 )


Exempt Market Dealer

D.W.GOOD INVESTMENT COMPANY LIMITED (NRD# 14140 )


Mutual Fund Dealer

D&D SECURITIES INC./VALEURS MOBILIERES D&D (NRD# 22770 )


Investment Dealer

DAVINCI CAPITAL PARTNERS INC. (NRD# 18920 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DAVIS-REA LTD./DAVIS-REA LTEE. (NRD# 17810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DE THOMAS FINANCIAL CORP. (NRD# 1050 )


Exempt Market Dealer

Mutual Fund Dealer

DEANS KNIGHT CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAL DEANS KNIGHT LTEE (NRD# 4300 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELANEY CAPITAL MANAGEMENT LTD. (NRD# 1090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELANO CAPITAL CORP. (NRD# 28130 )


Exempt Market Dealer

DELBROOK CAPITAL ADVISORS INC. (NRD# 32070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELOITTE CORPORATE FINANCE INC. / FINANCEMENT CORPORATIF DELOITTE INC. (NRD# 8690 )


Exempt Market Dealer

DELPHINA ASSET MANAGEMENT INC. (NRD# 17570 )


Portfolio Manager

DESAUTELS CAPITAL MANAGEMENT INC./GESTION DE CAPITAUX DESAUTELS INC. (NRD# 27840 )


Exempt Market Dealer

Investment Fund Manager

DESJARDINS CABINET DE SERVICES FINANCIERS INC./DESJARDINS FINANCIAL SERVICES FIRM INC. (NRD# 4210 )


Mutual Fund Dealer

DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC. (NRD# 17990 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DESJARDINS SECURITE FINANCIERE INVESTISSEMENTS INC./DESJARDINS FINANCIAL SECURITY INVESTMENTS INC. (NRD# 23430 )


Mutual Fund Dealer

DESJARDINS SECURITIES INC./VALEURS MOBILIERES DESJARDINS INC. (NRD# 1030 )


Futures Commission Merchant

Investment Dealer

DESJARDINS SOCIETE DE PLACEMENT INC. / DESJARDINS INVESTMENTS INC. (NRD# 38320 )


Investment Fund Manager

DEUTSCHE BANK SECURITIES LIMITED/DEUTSCHE BANK VALEURS MOBILIERES LIMITEE (NRD# 2180 )


Investment Dealer

DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. (NRD# 26750 )


Portfolio Manager

DI TOMASSO GROUP INCORPORATED (NRD# 5230 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIAM CAPITAL MARKETS INC. (NRD# 49680 )


Exempt Market Dealer

DICEMARK CAPITAL MARKETS INC. (NRD# 46700 )


Exempt Market Dealer

DIFFERENCE CAPITAL MANAGEMENT INC. (NRD# 9120 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIMENSIONAL FUND ADVISORS CANADA ULC (NRD# 16190 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION (NRD# 22460 )


Commodity Trading Adviser

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIXON MITCHELL INVESTMENT COUNSEL INC. (NRD# 14440 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DOHENY SECURITIES LIMITED (NRD# 13950 )


Mutual Fund Dealer

DOHERTY & ASSOCIATES LTD. (NRD# 1010 )


Exempt Market Dealer

Portfolio Manager

DONRO FINANCIAL LTD. (NRD# 7130 )


Mutual Fund Dealer

DONVILLE KENT ASSET MANAGEMENT INC. (NRD# 26430 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DORCHESTER WEALTH MANAGEMENT COMPANY (NRD# 51260 )


Investment Fund Manager

Portfolio Manager

DPS CAPITAL INC. (NRD# 53610 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DRADIS CAPITAL MANAGEMENT LIMITED (NRD# 35950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DRIEHAUS CAPITAL MANAGEMENT LLC (NRD# 22340 )


Portfolio Manager

DUBEAU CAPITAL & CIE LTEE/DUBEAU CAPITAL & CO. LTD (NRD# 19280 )


Investment Dealer

DUNCAN ROSS ASSOCIATES LTD. / DUNCAN ROSS ASSOCIES LTEE (NRD# 6280 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DUNDEE SECURITIES LTD./VALEURS MOBILIERES DUNDEE LTEE (NRD# 36170 )


Investment Dealer

DUROSE ASSET MANAGEMENT INC. (NRD# 31270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DYNAMIC TREE ASSET MANAGEMENT AG (NRD# 36290 )


Exempt Market Dealer

Portfolio Manager

EAST COAST FUND MANAGEMENT INC. (NRD# 29950 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EAST WEST INVESTMENT MANAGEMENT CORPORATION (NRD# 29550 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ECHELON WEALTH PARTNERS INC. (NRD# 32420 )


Investment Dealer

EDGEHILL PARTNERS (NRD# 33270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EDGEPOINT INVESTMENT GROUP INC. / GROUPE DE PLACEMENTS EDGEPOINT (NRD# 27490 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EDGEPOINT WEALTH MANAGEMENT INC. (NRD# 34580 )


Investment Fund Manager

EDINBURGH PARTNERS LIMITED (NRD# 25270 )


Portfolio Manager

EDUCATORS FINANCIAL GROUP INC. (NRD# 2650 )


Investment Fund Manager

Mutual Fund Dealer

EDWARD JONES (NRD# 4340 )


Investment Dealer

EKATON WEALTH MANAGEMENT INC. (NRD# 42870 )


Exempt Market Dealer

ELECTRONIC TRANSACTION CLEARING CANADA, INC. (NRD# 42740 )


Investment Dealer

ELM PARK CAPITAL MANAGEMENT, LLC (NRD# 35180 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EMD FINANCIAL INC. / LA FINANCIERE EMD INC. (NRD# 36480 )


Exempt Market Dealer

EMERGING EQUITIES INC. (NRD# 8640 )


Investment Dealer

EMPIRE LIFE INVESTMENTS INC. (NRD# 38910 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ENCASA FINANCIAL INC. (NRD# 31940 )


Investment Fund Manager

ENLIGHTENED PRIVATE CAPITAL INC. (NRD# 28680 )


Exempt Market Dealer

ENRICHED INVESTING INCORPORATED (NRD# 16650 )


Investment Fund Manager

Portfolio Manager

ENSIGN CAPITAL INC. (NRD# 17660 )


Exempt Market Dealer

ENTREPRISES GREG POMPEO INC. (NRD# 27380 )


Mutual Fund Dealer

ENTRUST FOCUS PARTNERS LP (NRD# 47640 )


Investment Fund Manager

Portfolio Manager

EOSPHOROS ASSET MANAGEMENT INCORPORATED (NRD# 17250 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EPIC CAPITAL MANAGEMENT INC. (NRD# 12330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EPOCH INVESTMENT PARTNERS, INC. (NRD# 29130 )


Exempt Market Dealer

Portfolio Manager

EQUIGENESIS CORPORATION (NRD# 6160 )


Exempt Market Dealer

EQUILEND CANADA CORP. (NRD# 28250 )


Investment Dealer

EQUILIBRIUM CAPITAL MANAGEMENT INC. / GESTION DE CAPITAL EQUILIBRIUM (NRD# 12110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EQUILIFE INVESTMENT MANAGEMENT INC. (NRD# 8160 )


Mutual Fund Dealer

Portfolio Manager

EQUINOX INVESTMENT MANAGEMENT LTD. (NRD# 44850 )


Portfolio Manager

EQUITON CAPITAL INC. (NRD# 53400 )


Exempt Market Dealer

EQUITY ASSOCIATES INC. (NRD# 6940 )


Exempt Market Dealer

Mutual Fund Dealer

ERNST & YOUNG ORENDA CORPORATE FINANCE INC./CONSEIL EN FINANCEMENT ERNST & YOUNG ORENDA INC. (NRD# 5670 )


Exempt Market Dealer

ETF CAPITAL MANAGEMENT (NRD# 25780 )


Portfolio Manager

EVENTUS CAPITAL CORP (NRD# 52520 )


Exempt Market Dealer

EVEREST FINANCIAL PLANNING INC. (NRD# 4960 )


Mutual Fund Dealer

EWING MORRIS & CO. INVESTMENT PARTNERS LTD. (NRD# 38130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EXCALIBUR CAPITAL MANAGEMENT INC. (NRD# 25840 )


Investment Fund Manager

Portfolio Manager

EXCEL FUNDS MANAGEMENT INC. (NRD# 29050 )


Investment Fund Manager

EXCEL INVESTMENT COUNSEL INC. (NRD# 29740 )


Exempt Market Dealer

Portfolio Manager

EXCEL PRIVATE WEALTH INC. (NRD# 19470 )


Mutual Fund Dealer

EXPONENT INVESTMENT MANAGEMENT INC. (NRD# 37400 )


Portfolio Manager

FADINE SECURITIES INC. (NRD# 37470 )


Exempt Market Dealer

FAIRBANK INVESTMENT MANAGEMENT LIMITED. (NRD# 29470 )


Investment Fund Manager

Portfolio Manager

FAIRCOURT ASSET MANAGEMENT INC. (NRD# 21330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FALCON ASSET MANAGEMENT INC. (NRD# 29810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FEDERAL WAY ASSET MANAGEMENT LP (NRD# 40270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FEDERATED INVESTORS CANADA ULC (NRD# 52120 )


Investment Fund Manager

Portfolio Manager

FI CAPITAL LTD. (NRD# 23110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIAM LLC (NRD# 22030 )


Commodity Trading Manager

Portfolio Manager

FIDELITY (CANADA) ASSET MANAGEMENT ULC (NRD# 26990 )


Commodity Trading Manager

Portfolio Manager

FIDELITY CLEARING CANADA ULC / COMPENSATION FIDELITY CANADA (NRD# 28880 )


Futures Commission Merchant

Investment Dealer

FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA (NRD# 17240 )


Commodity Trading Manager

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

FIDUCIARY TRUST COMPANY OF CANADA (NRD# 17980 )


Commodity Trading Manager

Portfolio Manager

FIELDHOUSE CAPITAL MANAGEMENT INC. (NRD# 28950 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIERA CAPITAL FUNDS INC./FONDS FIERA CAPITAL INC. (NRD# 11150 )


Mutual Fund Dealer

FINANCIAL DECISIONS INC. (NRD# 8170 )


Mutual Fund Dealer

FINANCIERE DES PROFESSIONNELS - FONDS D'INVESTISSEMENT INC./PROFESSIONALS' FINANCIAL - MUTUAL FUNDS INC. (NRD# 19350 )


Investment Fund Manager

FINANCIERE DES PROFESSIONNELS GESTION PRIVEE INC. / PROFESSIONALS' FINANCIAL - PRIVATE MANAGEMENT INC. (NRD# 19310 )


Investment Dealer

FIRM CAPITAL SECURITIES CORP. (NRD# 42070 )


Exempt Market Dealer

FIRST AFFILIATED SECURITIES INC. (NRD# 1410 )


Exempt Market Dealer

Mutual Fund Dealer

FIRST ASSET INVESTMENT MANAGEMENT INC. (NRD# 8190 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIRST CANADIAN PROPERTY INVESTMENTS LTD. (NRD# 4060 )


Exempt Market Dealer

FIRST RELIANCE ASSET MANAGEMENT INC. (NRD# 35590 )


Exempt Market Dealer

FIRST REPUBLIC CAPITAL CORPORATION (NRD# 27270 )


Exempt Market Dealer

FIRST TRUST ADVISORS L.P. (NRD# 4670 )


Portfolio Manager

FIRSTENERGY CAPITAL CORP. / CORPORATION FIRSTENERGY CAPITAL (NRD# 4510 )


Investment Dealer

FISGARD ASSET MANAGEMENT CORPORATION (NRD# 28410 )


Exempt Market Dealer

FISHER ASSET MANAGEMENT, LLC (NRD# 21170 )


Portfolio Manager

FOCUS ASSET MANAGEMENT LTD. (NRD# 29800 )


Investment Fund Manager

Portfolio Manager

FOREMOST CAPITAL INC. (NRD# 43390 )


Exempt Market Dealer

FOREMOST FINANCIAL CORPORATION (NRD# 34710 )


Exempt Market Dealer

FORESTERS ASSET MANAGEMENT INC. /GESTION D'ACTIFS FORESTERS INC. (NRD# 11020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FORESTERS FINANCIAL INVESTMENT MANAGEMENT COMPANY OF CANADA INC. /SOCIETE DE GESTION DE PLACEMENTS FINANCIERS CANADIENS FORESTERS INC. (NRD# 33880 )


Investment Fund Manager

FORGE FIRST ASSET MANAGEMENT INC. (NRD# 40080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FORMULA GROWTH LIMITED / FORMULA GROWTH, SOCIETE LIMITEE (NRD# 17160 )


Exempt Market Dealer

Investment Fund Manager

FORSTAR CAPITAL LIMITED (NRD# 24280 )


Exempt Market Dealer

FORSTRONG GLOBAL ASSET MANAGEMENT INC. (NRD# 12120 )


Portfolio Manager

FOSTER & ASSOCIATES FINANCIAL SERVICES INC./ SERVICES FINANCIERS FOSTER & ASSOCIES (NRD# 5000 )


Investment Dealer

FOUNDATION MARKETS INC. (NRD# 22830 )


Exempt Market Dealer

FOX COLLINS SECURITIES INC. (NRD# 33510 )


Exempt Market Dealer

FOYSTON, GORDON & PAYNE INC. (NRD# 1290 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRAME GLOBAL ASSET MANAGEMENT LIMITED (NRD# 52890 )


Portfolio Manager

FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON (NRD# 3600 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

FREEDOM INTERNATIONAL BROKERAGE COMPANY (NRD# 1360 )


Exempt Market Dealer

FREETHINK CAPITAL INC. (NRD# 48250 )


Exempt Market Dealer

Investment Fund Manager

FRESHCAP FINANCIAL INC. (NRD# 53110 )


Portfolio Manager

FRIEDBERG ADVISORS LP (NRD# 35630 )


Portfolio Manager

FRIEDBERG MERCANTILE GROUP LTD. / GROUPE FRIEDBERG MERCANTILE (NRD# 1310 )


Futures Commission Merchant

Investment Dealer

FRIGATE VENTURES LP (NRD# 24000 )


Investment Fund Manager

FRONT STREET CAPITAL 2004 (NRD# 31380 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRONTFOUR CAPITAL CORP. (NRD# 36600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRONTWATER CAPITAL INC. (NRD# 29200 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

FT PORTFOLIOS CANADA CO./SOCIETE DE GESTION DE PORTEFEUILLES FT CANADA (NRD# 5300 )


Investment Fund Manager

Mutual Fund Dealer

FTC INVESTOR SERVICES INC. / SERVICES AUX INVESTISSEURS FTC INC. (NRD# 18200 )


Mutual Fund Dealer

FULCRA ASSET MANAGEMENT INC. (NRD# 28420 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FULL CYCLE ENERGY INVESTMENT MANAGEMENT LIMITED (NRD# 15740 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FUNDEX INVESTMENTS INC. (NRD# 24080 )


Exempt Market Dealer

Mutual Fund Dealer

FUNDS DIRECT CANADA INC. (NRD# 13520 )


Mutual Fund Dealer

FURTHER CAPITAL PARTNERS LTD. (NRD# 50400 )


Exempt Market Dealer

GAIN CAPITAL - FOREX.COM CANADA LTD. (NRD# 38580 )


Investment Dealer

GALIBIER CAPITAL MANAGEMENT LTD. (NRD# 39660 )


Investment Fund Manager

Portfolio Manager

GALILEO GLOBAL EQUITY ADVISORS INC. (NRD# 9470 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GARIBALDI CAPITAL ADVISORS LTD. (NRD# 45260 )


Exempt Market Dealer

GE CAPITAL MARKETS (CANADA) LTD./GE MARCHES FINANCIERS (CANADA) LTEE (NRD# 24900 )


Exempt Market Dealer

GEMINI ASSET MANAGEMENT INC. (NRD# 22950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GENERATION CAPITAL MANAGEMENT INC. (NRD# 37330 )


Portfolio Manager

GENERIC CAPITAL CORPORATION (NRD# 30140 )


Exempt Market Dealer

GENFUND MANAGEMENT INC. (NRD# 28600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GENOVA PRIVATE MANAGEMENT INC. (NRD# 24030 )


Portfolio Manager

GENUS CAPITAL MANAGEMENT INC. / GESTION DE FONDS GENUS (NRD# 4520 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GEORGIAN CAPITAL PARTNERS CORPORATION (NRD# 30090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION CRISTALLIN INC./CRYSTALLINE MANAGEMENT INC. (NRD# 18620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION D'ACTIFS LESTER INC. / LESTER ASSET MANAGEMENT INC. (NRD# 19800 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION D'ACTIFS NOMURA USA INC. / NOMURA ASSET MANAGEMENT U.S.A. INC. (NRD# 20010 )


Portfolio Manager

GESTION D'ACTIFS SECTORIELS INC. / SECTORAL ASSET MANAGEMENT INC. (NRD# 19820 )


Exempt Market Dealer

Portfolio Manager

GESTION DE CAPITAUX ROTHENBERG INC. / ROTHENBERG CAPITAL MANAGEMENT INC. (NRD# 5170 )


Investment Dealer

GESTION DE PATRIMOINE BLUE BRIDGE INC. / BLUE BRIDGE WEALTH MANAGEMENT INC. (NRD# 31240 )


Portfolio Manager

GESTION DE PLACEMENTS ETERNA INC./ETERNA INVESTMENT MANAGEMENT INC. (NRD# 20260 )


Investment Fund Manager

Portfolio Manager

GESTION DE PLACEMENTS HELENE DION INC./HELENE DION INVESTMENT MANAGEMENT INC. (NRD# 26350 )


Portfolio Manager

GESTION DE PORTEFEUILLE LANDRY INC. (NRD# 19940 )


Investment Fund Manager

Portfolio Manager

GESTION DE PORTEFEUILLE TRIASIMA INC./TRIASIMA PORTFOLIO MANAGEMENT INC. (NRD# 13610 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION FERIQUE (NRD# 34230 )


Investment Fund Manager

Portfolio Manager

GESTION HNB-ANCHOR PLACEMENT INC. / HNB-ANCHOR INVESTMENT MANAGEMENT INC. (NRD# 19790 )


Portfolio Manager

GESTION PALOS INC. / PALOS MANAGEMENT INC. (NRD# 19640 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION PEMBROKE LTEE / PEMBROKE MANAGEMENT LTD. (NRD# 18250 )


Portfolio Manager

GESTION PLACEMENTS DESJARDINS INC./DESJARDINS INVESTMENT MANAGEMENT INC. (NRD# 4310 )


Investment Fund Manager

Portfolio Manager

GESTION PRIVEE DE PLACEMENT PEMBROKE LTEE/PEMBROKE PRIVATE WEALTH MANAGEMENT LTD. (NRD# 1560 )


Investment Fund Manager

Mutual Fund Dealer

GF SECURITIES (CANADA) COMPANY LIMITED (NRD# 49970 )


Investment Dealer

GFI INVESTMENT COUNSEL LTD. (NRD# 25030 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GILDER GAGNON HOWE & CO. LLC/GILDER HOWE ET CIE (NRD# 33810 )


Portfolio Manager

GILLFORD CAPITAL INC. (NRD# 29350 )


Exempt Market Dealer

GIVERNY CAPITAL INC. (NRD# 17580 )


Investment Fund Manager

Portfolio Manager

GLC ASSET MANAGEMENT GROUP LTD. / GLC GROUPE DE GESTION D'ACTIFS LTEE. (NRD# 1460 )


Portfolio Manager

GLEN UNION CAPITAL INC. (NRD# 52370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GLIDEPATH PORTFOLIO SERVICES INC. (NRD# 11360 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GLOBAL ALPHA CAPITAL MANAGEMENT LTD. / GESTION D'ACTIFS GLOBAL ALPHA LTEE (NRD# 21230 )


Investment Fund Manager

Portfolio Manager

GLOBAL GROWTH ASSETS INC./LES ACTIFS DE CROISSANCE GLOBAL INC. (NRD# 35640 )


Investment Fund Manager

GLOBAL MAXFIN CAPITAL INC. / MAXFIN CAPITAUX GLOBAL (NRD# 7250 )


Investment Dealer

GLOBAL MAXFIN INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC. (NRD# 9080 )


Exempt Market Dealer

Mutual Fund Dealer

Scholarship Plan Dealer

GLOBAL RESP CORPORATION/CORPORATION REEE GLOBAL (NRD# 7410 )


Scholarship Plan Dealer

GLOBAL SECURITIES CORPORATION / SOCIETE DE VALEURS GLOBAL INC. (NRD# 6670 )


Futures Commission Merchant

Investment Dealer

GLOBAL WEALTH BUILDERS LTD. (NRD# 14400 )


Investment Fund Manager

Portfolio Manager

GLOBEFLEX CAPITAL, LP (NRD# 9650 )


Portfolio Manager

GLOBEINVEST CAPITAL MANAGEMENT INC. (NRD# 5440 )


Portfolio Manager

GLOBEVEST CAPITAL LTEE (NRD# 19540 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GLUSKIN SHEFF + ASSOCIATES INC. (NRD# 1450 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GMG PRIVATE COUNSEL INC./SERVICES-CONSEILS PRIVE GMG INC. (NRD# 32140 )


Exempt Market Dealer

Portfolio Manager

GMO CANADA LLC / GMO CANADA S.R.L. (NRD# 33580 )


Exempt Market Dealer

GMP SECURITIES L.P./ GMP VALEURS MOBILIERES S.E.C. (NRD# 21980 )


Investment Dealer

GMP SECURITIES, LLC (NRD# 11190 )


Exempt Market Dealer

GOLD INVESTMENT MANAGEMENT LTD. (NRD# 26490 )


Portfolio Manager

GOLDENWISE CAPITAL MANAGEMENT INC. (NRD# 42990 )


Commodity Trading Manager

Portfolio Manager

GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP (NRD# 13930 )


Commodity Trading Manager

Portfolio Manager

GOLDMAN SACHS CANADA INC. (NRD# 9270 )


Investment Dealer

GOLDPOINT PARTNERS CANADA GENPAR INC. (NRD# 34790 )


Investment Fund Manager

GOLDSTEIN FINANCIAL INVESTMENTS INC. (NRD# 7030 )


Mutual Fund Dealer

GOODMAN & COMPANY, INVESTMENT COUNSEL INC. (NRD# 26870 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GOODREID INVESTMENT COUNSEL CORP./CONSEILLERS EN PLACEMENT GOODREID CORP. (NRD# 9750 )


Portfolio Manager

GOODWOOD INC. (NRD# 9140 )


Investment Dealer

Investment Fund Manager

GP WEALTH MANAGEMENT CORPORATION (NRD# 7990 )


Exempt Market Dealer

Mutual Fund Dealer

GRACORP CAPITAL ADVISORS LTD. (NRD# 33290 )


Exempt Market Dealer

GRAFTON ASSET MANAGEMENT INC. (NRD# 36890 )


Exempt Market Dealer

Investment Fund Manager

GRANT THORNTON CORPORATE FINANCE INC. (NRD# 10650 )


Exempt Market Dealer

GRAVITAS SECURITIES INC. (NRD# 26260 )


Investment Dealer

Investment Fund Manager

GRAYHAWK INVESTMENT STRATEGIES INC. (NRD# 52900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GRAYLIE MANAGEMENT LIMITED (NRD# 4240 )


Portfolio Manager

GREENBANK FINANCIAL INC. (NRD# 48920 )


Exempt Market Dealer

GREENCHIP FINANCIAL CORP. (NRD# 25690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENLEAF GROUP INC. (NRD# 4050 )


Exempt Market Dealer

GREENROCK CAPITAL PARTNERS INC. (NRD# 27650 )


Investment Fund Manager

Portfolio Manager

GREENSKEEPER ASSET MANAGEMENT INC. (NRD# 34080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENSKY CAPITAL INC. (NRD# 28840 )


Exempt Market Dealer

GREYBROOK SECURITIES INC. (NRD# 2150 )


Exempt Market Dealer

GREYPOINT CAPITAL INC. (NRD# 41530 )


Exempt Market Dealer

Restricted Portfolio Manager

GREYSTONE MANAGED INVESTMENTS INC./ GESTION DE PLACEMENTS GREYSTONE (NRD# 2370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GROSS SECURITIES CORP. (NRD# 42580 )


Exempt Market Dealer

GROUNDLAYER CAPITAL INC. (NRD# 12640 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GROUPE CLOUTIER INVESTISSEMENTS INC. (NRD# 24770 )


Mutual Fund Dealer

GROWTH WORKS CAPITAL LTD. (NRD# 14600 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

GROWTHQUEST CAPITAL INC. (NRD# 7900 )


Portfolio Manager

GRYPHON CAPITAL CORPORATION/CORPORATION GRYPHON CAPITAL (NRD# 5880 )


Exempt Market Dealer

GRYPHON INTERNATIONAL INVESTMENT CORPORATION/CORPORATION PLACEMENT GRYPHON INTERNATIONAL (NRD# 5780 )


Investment Fund Manager

Portfolio Manager

GRYPHON INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS GRYPHON INC. (NRD# 1480 )


Investment Fund Manager

Portfolio Manager

GUARDIAN CAPITAL ADVISORS LP (NRD# 17640 )


Exempt Market Dealer

Portfolio Manager

GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL (NRD# 17650 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GUARDIAN CAPITAL MANAGEMENT LP (NRD# 26140 )


Exempt Market Dealer

Portfolio Manager

GUARDIAN ETHICAL MANAGEMENT INC. (NRD# 35060 )


Investment Fund Manager

H & H SECURITIES LIMITED (NRD# 4970 )


Exempt Market Dealer

HAMBLIN WATSA INVESTMENT COUNSEL LTD. (NRD# 1610 )


Portfolio Manager

HAMILTON CAPITAL PARTNERS INC. / PARTENAIRES HAMILTON CAPITAL (NRD# 29860 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HAMPTON SECURITIES LIMITED (NRD# 2890 )


Investment Dealer

HANBURY MANAGEMENT LTD. (NRD# 16320 )


Exempt Market Dealer

HANOVER PRIVATE CLIENT CORPORATION / CORPORATION HANOVER CLIENTELE PRIVEE (NRD# 8910 )


Portfolio Manager

HANSBERGER GROWTH INVESTORS, LP (NRD# 48240 )


Portfolio Manager

HARBOUREDGE ASSET MANAGEMENT CORPORATION (NRD# 39970 )


Exempt Market Dealer

HARBOURFRONT WEALTH MANAGEMENT INC. (NRD# 43480 )


Investment Dealer

HARBOURVEST PARTNERS (CANADA) LIMITED (NRD# 49080 )


Exempt Market Dealer

Portfolio Manager

HARRINGTON MACMILLAN FUND MANAGEMENT LIMITED (NRD# 40780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HARRIS, BOLDUC & ASSOCIES INC./HARRIS BOLDUC & ASSOCIATES INC. (NRD# 24890 )


Portfolio Manager

HARVEST PORTFOLIOS GROUP INC. (NRD# 29540 )


Investment Fund Manager

Portfolio Manager

HAYWOOD SECURITIES INC. / VALEURS MOBILIERES HAYWOOD INC. (NRD# 1630 )


Investment Dealer

HEADSAIL WEALTH MANAGEMENT INCORPORATED (NRD# 48770 )


Portfolio Manager

HEATHBRIDGE CAPITAL MANAGEMENT LTD. (NRD# 7680 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HEMISPHERE CAPITAL MANAGEMENT INC. (NRD# 13510 )


Investment Fund Manager

Portfolio Manager

HENLEY CAPITAL CORPORATION (NRD# 9900 )


Exempt Market Dealer

Portfolio Manager

HERITAGE EDUCATION FUNDS INC./FONDS D'EDUCATION HERITAGE INC. (NRD# 560 )


Investment Fund Manager

Scholarship Plan Dealer

HEXAVEST INC. (NRD# 18060 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HGC INVESTMENT MANAGEMENT INC. (NRD# 46180 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGGINS INVESTMENT GROUP INC. (NRD# 32590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGH ROCK CAPITAL MANAGEMENT INC. (NRD# 36150 )


Portfolio Manager

HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. (NRD# 50220 )


Portfolio Manager

HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET (NRD# 7960 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGHVIEW ASSET MANAGEMENT LTD. (NRD# 16790 )


Portfolio Manager

HILLSDALE INVESTMENT MANAGEMENT INC. (NRD# 6130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HL EMD LLC (NRD# 21310 )


Exempt Market Dealer

HMW CAPITAL INC. (NRD# 26800 )


Exempt Market Dealer

HNW MANAGEMENT INC. / MANAGEMENT HNW (NRD# 36050 )


Portfolio Manager

HOISINGTON INVESTMENT MANAGEMENT COMPANY (NRD# 33940 )


Restricted Portfolio Manager

HOLLISWEALTH ADVISORY SERVICES INC. / SERVICES FINANCIERS PATRIMOINE HOLLIS INC. (NRD# 340 )


Exempt Market Dealer

Mutual Fund Dealer

HORIZON 360 ET ASSOCIES INC. (NRD# 19880 )


Portfolio Manager

HORIZONONE ASSET MANAGEMENT INC. (NRD# 20370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HORIZONS ETFS MANAGEMENT (CANADA) INC. (NRD# 34630 )


Commodity Trading Adviser

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HOTTINGER ASSET MANAGEMENT CANADA INC. (NRD# 12680 )


Exempt Market Dealer

Portfolio Manager

HOWARD, BARCLAY & ASSOCIATES LTD. (NRD# 4600 )


Portfolio Manager

HR STRATEGIES INC. (NRD# 19630 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HRS LIQUID STRATEGIES LP (NRD# 49580 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED. / GESTION GLOBALE D'ACTIFS HSBC (CANADA) LIMITEE (NRD# 3840 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HSBC INVESTMENT FUNDS (CANADA) INC./FONDS D'INVESTISSEMENT HSBC (CANADA) INC. (NRD# 1680 )


Mutual Fund Dealer

HSBC PRIVATE WEALTH SERVICES (CANADA) INC./ SERVICES DE GESTION PRIVEE DE PATRIMOINE HSBC (CANADA) INC. (NRD# 45230 )


Portfolio Manager

HSBC SECURITIES (CANADA) INC./ VALEURS MOBILIERES HSBC (CANADA) INC. (NRD# 17220 )


Investment Dealer

HUB CAPITAL INC. / CAPITAL HUB INC. (NRD# 12100 )


Exempt Market Dealer

Mutual Fund Dealer

HUGHESLITTLE INVESTMENT MANAGEMENT LTD. (NRD# 21050 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HYMAS INVESTMENT MANAGEMENT INC. (NRD# 10260 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

I.A. MICHAEL INVESTMENT COUNSEL LTD. (NRD# 2270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

I.G. INVESTMENT MANAGEMENT, LTD. / SOCIETE DE GESTION D'INVESTISSEMENT, I.G. LTEE (NRD# 25370 )


Investment Fund Manager

Portfolio Manager

IA INVESTMENT COUNSEL INC./IA CONSEIL EN PLACEMENT INC. (NRD# 4720 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IBK CAPITAL CORP. (NRD# 1790 )


Exempt Market Dealer

IBV CAPITAL LTD. (NRD# 43140 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ICECAP ASSET MANAGEMENT LIMITED (NRD# 32700 )


Portfolio Manager

IFM INVESTORS (US) ADVISOR, LLC (NRD# 40850 )


Exempt Market Dealer

Investment Fund Manager

IGAN PARTNERS INC. (NRD# 42150 )


Exempt Market Dealer

IMAGINE WEALTH MANAGEMENT INC. (NRD# 53700 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IMC LIMITED PARTNERSHIP (NRD# 29920 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INDEPENDENT ACCOUNTANTS' INVESTMENT COUNSEL INC. (NRD# 9420 )


Portfolio Manager

INDEPENDENT TRADING GROUP (ITG) INC. (NRD# 29140 )


Investment Dealer

INDUSTRIELLE ALLIANCE GESTION DE PLACEMENTS INC. / INDUSTRIAL ALLIANCE, INVESTMENT MANAGEMENT INC. (NRD# 18340 )


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

INDUSTRIELLE ALLIANCE VALEURS MOBILIERES INC. / INDUSTRIAL ALLIANCE SECURITIES INC. (NRD# 15400 )


Investment Dealer

INFLECTION MANAGEMENT INC. (NRD# 33590 )


Exempt Market Dealer

Investment Fund Manager

INFOR FINANCIAL INC. (NRD# 36970 )


Investment Dealer

Investment Fund Manager

INNERKIP CAPITAL MANAGEMENT INC. (NRD# 18990 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC. (NRD# 19040 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED (NRD# 3140 )


Commodity Trading Manager

INSTINET CANADA CROSS LIMITED (NRD# 34060 )


Investment Dealer

INSTINET CANADA LIMITED (NRD# 4020 )


Investment Dealer

INTACT INVESTMENT MANAGEMENT INC./INTACT GESTION DE PLACEMENTS INC. (NRD# 7600 )


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

INTEGRA CAPITAL LIMITED (NRD# 12240 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INTEGRAL WEALTH SECURITIES LIMITED (NRD# 310 )


Investment Dealer

INTEGRATED MANAGED FUTURES CORP. (NRD# 15860 )


Commodity Trading Manager

Exempt Market Dealer

INTEGRATED-EQUITIES INC. (NRD# 35680 )


Exempt Market Dealer

INTERACTIVE COURTAGE CANADA INC. / INTERACTIVE BROKERS CANADA INC. (NRD# 11890 )


Futures Commission Merchant

Investment Dealer

INTERNATIONAL CAPITAL MANAGEMENT INC. (NRD# 5480 )


Exempt Market Dealer

Mutual Fund Dealer

INTERWARD ASSET MANAGEMENT LTD. (NRD# 21590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INTRODUCTION CAPITAL INC. (NRD# 20380 )


Exempt Market Dealer

INTRYNSYC CAPITAL CORPORATION (NRD# 30080 )


Exempt Market Dealer

INUKSHUK CAPITAL MANAGEMENT INC. (NRD# 38760 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INVERLOCHY CAPITAL LTD. (NRD# 22800 )


Portfolio Manager

INVESCAP SARL (NRD# 46020 )


Exempt Market Dealer

INVESCO CANADA LTD./INVESCO CANADA LTEE (NRD# 4850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

INVESTAR INVESTMENT LTD. (NRD# 39250 )


Exempt Market Dealer

INVESTIA FINANCIAL SERVICES INC. / INVESTIA SERVICES FINANCIERS INC. (NRD# 8490 )


Exempt Market Dealer

Mutual Fund Dealer

INVESTMENT STRATEGIES INC. (NRD# 23560 )


Exempt Market Dealer

Portfolio Manager

INVESTORS GROUP FINANCIAL SERVICES INC./ SERVICES FINANCIERS GROUPE INVESTORS INC. (NRD# 22380 )


Mutual Fund Dealer

INVESTORS GROUP SECURITIES INC./VALEURS MOBILIERES GROUPE INVESTORS INC. (NRD# 5760 )


Investment Dealer

INVICO CAPITAL CORPORATION (NRD# 22310 )


Investment Fund Manager

Portfolio Manager

INVISOR INVESTMENT MANAGEMENT INC. (NRD# 48610 )


Portfolio Manager

IPC INVESTMENT CORPORATION (NRD# 5650 )


Exempt Market Dealer

Mutual Fund Dealer

IPC SECURITIES CORPORATION / IPC VALEURS MOBILIERES (NRD# 8780 )


Investment Dealer

IPSOL CAPITAL INC. (NRD# 45430 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

IRIS ASSET MANAGEMENT LTD. (NRD# 43290 )


Portfolio Manager

ITG CANADA CORP. (NRD# 9780 )


Futures Commission Merchant

Investment Dealer

J. PRIEST INVESTMENT MANAGEMENT INC. (NRD# 30790 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

J. ZECHNER ASSOCIATES INC. (NRD# 4160 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

J.C. HOOD INVESTMENT COUNSEL INC. (NRD# 10230 )


Portfolio Manager

J.P. MORGAN SECURITIES CANADA INC. / J.P. MORGAN VALEURS MOBILIERES CANADA INC. (NRD# 2510 )


Investment Dealer

JANUS CAPITAL MANAGEMENT LLC (NRD# 5790 )


Exempt Market Dealer

Portfolio Manager

JAPA INTERNATIONAL LIMITED (NRD# 6970 )


Portfolio Manager

JARISLOWSKY, FRASER LIMITEE / JARISLOWSKY, FRASER LIMITED (NRD# 5570 )


Investment Fund Manager

Portfolio Manager

JC CLARK INC. (NRD# 12060 )


Portfolio Manager

JC CLARK LTD. / JC CLARK LTEE (NRD# 10690 )


Investment Dealer

Investment Fund Manager

JCM VENTURE CAPITAL LTD. (NRD# 44410 )


Exempt Market Dealer

JDM INVESTMENT PARTNERS LTD. (NRD# 29440 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JEFFERIES SECURITIES, INC. (NRD# 49620 )


Investment Dealer

JESSELTON CAPITAL MANAGEMENT INC. (NRD# 54240 )


Exempt Market Dealer

Investment Fund Manager

JITNEYTRADE INC. (NRD# 11470 )


Futures Commission Merchant

Investment Dealer

JM FUND MANAGEMENT INC. (NRD# 40600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JOG CAPITAL CORP. (NRD# 40840 )


Exempt Market Dealer

Investment Fund Manager

JONES COLLOMBIN INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS JONES COLLOMBIN INC. (NRD# 1840 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JONESTRADING CANADA INC./COURTAGE JONES CANADA INC. (NRD# 28380 )


Investment Dealer

JPMORGAN ASSET MANAGEMENT (CANADA) INC./GESTION D'ACTIF JPMORGAN (CANADA) INC. (NRD# 1270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JUSTWEALTH FINANCIAL INC. (NRD# 52700 )


Portfolio Manager

JVAR CAPITAL LIMITED (NRD# 18510 )


Exempt Market Dealer

Portfolio Manager

JVK LIFE & WEALTH ADVISORY GROUP INC./JVK LIFE & WEALTH ADVISORY GROUP (NRD# 10160 )


Exempt Market Dealer

Mutual Fund Dealer

K.J. HARRISON & PARTNERS INC (NRD# 11790 )


Investment Dealer

Investment Fund Manager

K2 & ASSOCIATES INVESTMENT MANAGEMENT INC. (NRD# 9230 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KAI ASSET MANAGEMENT INC. (NRD# 51940 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KAIOG CAPITAL PARTNERS INC. (NRD# 29930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KASSIRER ASSET MANAGEMENT CORPORATION (NRD# 10080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KEATSCONNELLY ULC (NRD# 40980 )


Portfolio Manager

KEIRA CAPITAL PARTNERS INC. (NRD# 38970 )


Exempt Market Dealer

KENSINGTON CAPITAL ADVISORS INC. (NRD# 7330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KERNAGHAN & PARTNERS LTD. (NRD# 50390 )


Futures Commission Merchant

Investment Dealer

KES 7 CAPITAL INC. (NRD# 46420 )


Exempt Market Dealer

KEYBASE FINANCIAL GROUP INC. (NRD# 4710 )


Exempt Market Dealer

Mutual Fund Dealer

KILBURN OGILVIE WAYMANN INVESTMENT MANAGEMENT LTD. (NRD# 17060 )


Portfolio Manager

KILGHARRAH ASSET MANAGEMENT INC. (NRD# 51110 )


Portfolio Manager

KILGOUR WILLIAMS CAPITAL INCORPORATED (NRD# 45930 )


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

KIMELMAN & BAIRD, LLC (NRD# 23450 )


Portfolio Manager

KINDIGO CAPITAL LTD. (NRD# 51630 )


Exempt Market Dealer

KINDLE CAPITAL MANAGEMENT INC. (NRD# 44690 )


Exempt Market Dealer

KINGSDALE CAPITAL MARKETS INC. / MARCHES KINGSDALE CAPITAL INC. (NRD# 6830 )


Investment Dealer

KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE (NRD# 1930 )


Investment Dealer

Investment Fund Manager

KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC. (NRD# 3230 )


Investment Fund Manager

Scholarship Plan Dealer

KPMG CORPORATE FINANCE INC./FINANCEMENT CORPORATIF KPMG INC. (NRD# 6410 )


Exempt Market Dealer

KV CAPITAL INC. (NRD# 34440 )


Exempt Market Dealer

Investment Fund Manager

KYKLOPES CAPITAL MANAGEMENT LTD. (NRD# 37650 )


Exempt Market Dealer

Investment Fund Manager

LAKESHORE SECURITIES INC. (NRD# 10580 )


Investment Dealer

LANGMAIDS ASSET MANAGEMENT INC. (NRD# 9980 )


Exempt Market Dealer

Portfolio Manager

LAURIER CAPITAL FUNDING INC. (NRD# 43460 )


Exempt Market Dealer

LAURUS INVESTMENT COUNSEL INC. (NRD# 48260 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAVBAY CAPITAL MANAGEMENT INC. (NRD# 53580 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAWRENCE PARK ASSET MANAGEMENT LTD. (NRD# 37930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAWTON PARTNERS FINANCIAL PLANNING SERVICES LIMITED (NRD# 14020 )


Mutual Fund Dealer

LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA) (NRD# 5740 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LBC FINANCIAL SERVICES INC./BLC SERVICES FINANCIERS INC. (NRD# 5100 )


Mutual Fund Dealer

LDIC INC. (NRD# 8550 )


Investment Fund Manager

Portfolio Manager

LEEDE JONES GABLE INC. (NRD# 5770 )


Investment Dealer

LEGACY PARTNERS WEALTH STRATEGIES INC. (NRD# 38030 )


Exempt Market Dealer

LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA, INC. (NRD# 37980 )


Portfolio Manager

LEITH WHEELER INVESTMENT COUNSEL LTD. (NRD# 45130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LEITH WHEELER INVESTMENT FUNDS LTD. (NRD# 20750 )


Mutual Fund Dealer

LES CONSEILLERS EN PLACEMENTS KERR INC. / KERR FINANCIAL ADVISORS INC. (NRD# 10440 )


Investment Fund Manager

Portfolio Manager

LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC. (NRD# 43500 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LES INVESTISSEMENTS RIVEMONT INC. / RIVEMONT INVESTMENTS INC. (NRD# 31760 )


Portfolio Manager

LETKO, BROSSEAU & ASSOCIES INC. / LETKO, BROSSEAU & ASSOCIATES INC. (NRD# 4440 )


Investment Fund Manager

Portfolio Manager

LEWIN CAPITAL MANAGEMENT LTD. (NRD# 28020 )


Portfolio Manager

LEX CAPITAL MANAGEMENT INC. (NRD# 30380 )


Exempt Market Dealer

Investment Fund Manager

LIAHONA CAPITAL INC. (NRD# 47620 )


Exempt Market Dealer

LIBERTY INTERNATIONAL INVESTMENT MANAGEMENT INC. (NRD# 50470 )


Portfolio Manager

LIBERTY NORTH CAPITAL CORP. (NRD# 46570 )


Exempt Market Dealer

LIGHTWATER PARTNERS LTD. (NRD# 27510 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIGHTYEAR CAPITAL INC. (NRD# 10570 )


Investment Dealer

LINCLUDEN INVESTMENT MANAGEMENT LIMITED (NRD# 38690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LINCLUDEN MUTUAL FUND DEALER INC. (NRD# 12740 )


Mutual Fund Dealer

LINDE EQUITY INC. (NRD# 14720 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LINDEN MILLS INVESTMENTS INC. (NRD# 20950 )


Exempt Market Dealer

LINGOHR & PARTNER NORTH AMERICA, INC. (NRD# 30310 )


Portfolio Manager

LIONGUARD CAPITAL MANAGEMENT INC. (NRD# 48220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIONRIDGE CAPITAL MANAGEMENT INC. (NRD# 15790 )


Portfolio Manager

LIQUIDNET CANADA INC. / LIQUIDENET CANADA INC. (NRD# 16680 )


Investment Dealer

LISSOM INVESTMENT MANAGEMENT INC. (NRD# 18770 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOEWEN, ONDAATJE, MCCUTCHEON LIMITED / LOEWEN, ONDAATJE, MCCUTCHEON LIMITEE (NRD# 2040 )


Exempt Market Dealer

LOGAN CIRCLE PARTNERS I LLC (NRD# 38840 )


Exempt Market Dealer

Portfolio Manager

LOGAN WEALTH MANAGEMENT INC. (NRD# 40200 )


Portfolio Manager

LOMBARD ODIER SECURITIES (CANADA) INC. (NRD# 23230 )


Investment Dealer

LONGBOW CAPITAL INC (NRD# 29040 )


Exempt Market Dealer

Investment Fund Manager

LONGVIEW ASSET MANAGEMENT LTD. (NRD# 37480 )


Investment Fund Manager

Portfolio Manager

LOOMIS, SAYLES & COMPANY, L.P. (NRD# 17600 )


Portfolio Manager

LORICA INVESTMENT COUNSEL INC. (NRD# 33890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG (NRD# 30200 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOUBANI CAPITAL MANAGEMENT (CANADA) INC. (NRD# 46340 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC. (NRD# 15320 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOWENBERG INVESTMENT COUNSEL, INC. (NRD# 38460 )


Portfolio Manager

LSV ASSET MANAGEMENT (NRD# 8920 )


Exempt Market Dealer

Portfolio Manager

LUMEN ASSET MANAGEMENT INC. (NRD# 52480 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LYCOS ASSET MANAGEMENT INC. (NRD# 28580 )


Portfolio Manager

LYONS ASSET MANAGEMENT INC. (NRD# 20230 )


Portfolio Manager

LYSANDER FUNDS LIMITED (NRD# 34560 )


Exempt Market Dealer

Investment Fund Manager

LYTTON FINANCIAL INC. (NRD# 18500 )


Exempt Market Dealer

M PARTNERS INC. (NRD# 20360 )


Investment Dealer

M.S. LAMONT AND ASSOCIATES LIMITED (NRD# 1990 )


Portfolio Manager

M.Y. CAPITAL MANAGEMENT CORP. (NRD# 41150 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

M5V ADVISORS INC. (NRD# 42730 )


Exempt Market Dealer

Portfolio Manager

MACDONALD, SHYMKO & COMPANY LTD. (NRD# 14890 )


Portfolio Manager

MACDOUGALL INVESTMENT COUNSEL INC. / LES CONSEILLERS EN PLACEMENTS MACDOUGALL INC. (NRD# 16900 )


Investment Fund Manager

Portfolio Manager

MACDOUGALL, MACDOUGALL & MACTIER INC. (NRD# 2120 )


Investment Dealer

MACKENZIE FINANCIAL CORPORATION (NRD# 2130 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MACKIE RESEARCH CAPITAL CORPORATION / CORPORATION MACKIE RECHERCHE CAPITAL (NRD# 3070 )


Investment Dealer

Investment Fund Manager

MACKINNON, BENNETT & COMPANY INC. / MACKINNON, BENNETT & COMPAGNIE INC. (NRD# 32490 )


Exempt Market Dealer

MACNICOL & ASSOCIATES ASSET MANAGEMENT INC. (NRD# 12500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MACQUARIE CAPITAL MARKETS CANADA LTD./MARCHES FINANCIERS MACQUARIE CANADA LTEE. (NRD# 3950 )


Futures Commission Merchant

Investment Dealer

MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD. (NRD# 37360 )


Exempt Market Dealer

MAGENTA CAPITAL CORPORATION (NRD# 33730 )


Exempt Market Dealer

MAHOGANY ASSET MANAGEMENT INC. (NRD# 47720 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAISON PLACEMENTS CANADA INC. (NRD# 2140 )


Investment Dealer

MAJESTIC ASSET MANAGEMENT LLC (NRD# 29010 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MANDEVILLE PRIVATE CLIENT INC./GESTION PRIVEE MANDEVILLE INC. (NRD# 34220 )


Investment Dealer

MANDEVILLE WEALTH SERVICES INC./GESTION DE PATRIMOINE MANDEVILLE INC. (NRD# 42960 )


Exempt Market Dealer

Mutual Fund Dealer

MANITOU INVESTMENT MANAGEMENT LTD. (NRD# 8430 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MANNING & NAPIER ADVISORS, LLC (NRD# 38630 )


Exempt Market Dealer

Portfolio Manager

MANULIFE ASSET MANAGEMENT INVESTMENTS INC./INVESTISSEMENTS GESTION D'ACTIFS MANUVIE INC. (NRD# 48020 )


Exempt Market Dealer

MANULIFE ASSET MANAGEMENT LIMITED/GESTION D'ACTIFS MANUVIE LIMITEE (NRD# 1150 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

MANULIFE SECURITIES INCORPORATED/PLACEMENTS MANUVIE INCORPOREE (NRD# 17820 )


Investment Dealer

MANULIFE SECURITIES INVESTMENT SERVICES INC. (NRD# 28150 )


Exempt Market Dealer

Mutual Fund Dealer

MAPLE LEAF ANGELS CORPORATION (NRD# 29700 )


Exempt Market Dealer

MAPLE ROCK CAPITAL PARTNERS INC. (NRD# 48840 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAPLE SECURITIES CANADA LIMITED / VALEURS MOBILIERES MAPLE CANADA LTEE (NRD# 7440 )


Investment Dealer

MAPLEHILL CAPITAL MANAGEMENT CORPORATION (NRD# 28640 )


Exempt Market Dealer

Portfolio Manager

MAPLEWEST CAPITAL CORPORATION (NRD# 50500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARATHON CAPITAL MARKETS, LLC (NRD# 34150 )


Exempt Market Dealer

MARKETAXESS CANADA COMPANY/SOCIETE MARKETAXESS CANADA (NRD# 22630 )


Investment Dealer

MARQUEST ASSET MANAGEMENT INC. / INVESTISSEMENT CONSEIL MARQUEST (NRD# 2310 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARRET ASSET MANAGEMENT INC. (NRD# 10780 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARS VX (NRD# 45060 )


Restricted Dealer

MARTIN, LUCAS & SEAGRAM LTD. (NRD# 2160 )


Portfolio Manager

MATCO FINANCIAL INC. (NRD# 24290 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

MATNOR HOLDINGS INC. (NRD# 3810 )


Exempt Market Dealer

MAWER DIRECT INVESTING LTD. (NRD# 52220 )


Investment Dealer

MAWER INVESTMENT MANAGEMENT LTD. (NRD# 16280 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

MAXAM CAPITAL MANAGEMENT LTD. (NRD# 28060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAXIT CAPITAL LP (NRD# 47150 )


Exempt Market Dealer

MCELVAINE INVESTMENT MANAGEMENT LTD. (NRD# 8310 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MCF SECURITIES INC. (NRD# 39890 )


Exempt Market Dealer

MCKINLEY CAPITAL MANAGEMENT, LLC (NRD# 7160 )


Portfolio Manager

MCLEAN & PARTNERS WEALTH MANAGEMENT LTD. (NRD# 8680 )


Investment Dealer

Investment Fund Manager

MCLEAN ASSET MANAGEMENT LTD. (NRD# 8540 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC. (NRD# 29830 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MD MANAGEMENT LIMITED/GESTION MD LIMITEE (NRD# 2200 )


Investment Dealer

MEADOWBANK ASSET MANAGEMENT INC. (NRD# 24010 )


Exempt Market Dealer

Portfolio Manager

MECKELBORG FINANCIAL GROUP LTD. (NRD# 34410 )


Portfolio Manager

MEDALIST CAPITAL LTD. (NRD# 45330 )


Exempt Market Dealer

MELLON CAPITAL MANAGEMENT CORPORATION (NRD# 4830 )


Commodity Trading Manager

Portfolio Manager

MERCER GLOBAL INVESTMENTS CANADA LIMITED (NRD# 18020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MERIT VALOR CAPITAL ASSET MANAGEMENT CORPORATION (NRD# 49400 )


Exempt Market Dealer

MERRILL LYNCH CANADA INC. (NRD# 2210 )


Futures Commission Merchant

Investment Dealer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NRD# 2500 )


Portfolio Manager

METAFORM INVESTMENTS INC. (NRD# 51490 )


Exempt Market Dealer

Portfolio Manager

METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS METRIQUES (NRD# 43210 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE (NRD# 2190 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MICHAEL GRAHAM INVESTMENT SERVICES INC. (NRD# 26440 )


Portfolio Manager

MIDDLEFIELD CAPITAL CORPORATION (NRD# 2300 )


Investment Dealer

MIDDLEFIELD LIMITED (NRD# 34870 )


Investment Fund Manager

MIDSTAR MANAGEMENT CORP. (NRD# 53520 )


Exempt Market Dealer

Restricted Portfolio Manager

MIKALACHKI INVESTMENT MANAGEMENT LTD. (NRD# 7610 )


Portfolio Manager

MILES SANTO AND ASSOCIATES INC. (NRD# 5060 )


Mutual Fund Dealer

MILESTONE INVESTMENT COUNSEL INC. (NRD# 5840 )


Portfolio Manager

MILLAR PRIVATE WEALTH MANAGEMENT INC. (NRD# 37320 )


Exempt Market Dealer

Portfolio Manager

MINVESTEC CAPITAL CORP. (NRD# 29570 )


Exempt Market Dealer

MIRABAUD CANADA INC. (NRD# 6030 )


Investment Dealer

MIRABAUD GESTION INC. (NRD# 6010 )


Portfolio Manager

MIRELIS ADVISORS S.A. (NRD# 51950 )


Portfolio Manager

MM ASSET MANAGEMENT INC. (NRD# 21760 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MMCAP MANAGEMENT INC. (NRD# 42950 )


Investment Fund Manager

MNP CORPORATE FINANCE INC. (NRD# 29910 )


Exempt Market Dealer

MODERN ADVISOR CANADA INC. (NRD# 51160 )


Restricted Portfolio Manager

MONARCH WEALTH CORPORATION (NRD# 1400 )


Exempt Market Dealer

Mutual Fund Dealer

MONDIALE ASSET MANAGEMENT LTD. (NRD# 10670 )


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

MONEGY, INC. (NRD# 16830 )


Exempt Market Dealer

Portfolio Manager

MONEYSTRAT SECURITIES INC. (NRD# 2220 )


Exempt Market Dealer

Mutual Fund Dealer

MONTAG PRIVATE WEALTH INC. / MONTAG GESTION PRIVEE INC. (NRD# 42100 )


Portfolio Manager

MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC. (NRD# 290 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORBANK FUND MANAGEMENT INC. (NRD# 39160 )


Exempt Market Dealer

MORGAN MEIGHEN & ASSOCIATES LIMITED (NRD# 4150 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORGAN STANLEY CANADA LIMITED/MORGAN STANLEY CANADA LIMITEE (NRD# 2480 )


Investment Dealer

MORNEAU SHEPELL ASSET & RISK MANAGEMENT LTD. (NRD# 40210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORNINGSTAR ASSOCIATES INC. (NRD# 35390 )


Portfolio Manager

MOUNT LUCAS MANAGEMENT LP (NRD# 40710 )


Commodity Trading Manager

MOUNTAIN FOWLER ASSET MANAGEMENT INC. (NRD# 26970 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MPA MORRISON PARK ADVISORS INC. (NRD# 37260 )


Exempt Market Dealer

MUFG SECURITIES (CANADA), LTD. (NRD# 54270 )


Investment Dealer

NAPG EQUITIES INC. (NRD# 2620 )


Exempt Market Dealer

NASDAQ CXC LIMITED (NRD# 24400 )


Investment Dealer

NATIONAL BANK FINANCIAL INC./FINANCIERE BANQUE NATIONALE INC. (NRD# 1960 )


Futures Commission Merchant

Investment Dealer

NATIONAL BANK FINANCIAL LTD./FINANCIERE BANQUE NATIONALE LTEE (NRD# 2020 )


Futures Commission Merchant

Investment Dealer

NATIONAL BANK TRUST INC./TRUST BANQUE NATIONALE INC. (NRD# 8570 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NAVROC INVESTMENT MANAGEMENT INC. (NRD# 39570 )


Portfolio Manager

NBCN INC. (NRD# 5730 )


Investment Dealer

NCP INVESTMENT MANAGEMENT INC. (NRD# 38220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NDB GROUP SYNDICATIONS INC. (NRD# 9240 )


Exempt Market Dealer

NELSON PORTFOLIO MANAGEMENT CORP. (NRD# 44440 )


Investment Fund Manager

Portfolio Manager

NEST WEALTH ASSET MANAGEMENT INC. (NRD# 16210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NETWORTH FINANCIAL CORP (NRD# 14350 )


Mutual Fund Dealer

NEWGEN ASSET MANAGEMENT LIMITED (NRD# 31070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEWHAVEN ASSET MANAGEMENT INC. (NRD# 9010 )


Portfolio Manager

NEWPOINT CAPITAL PARTNERS INC. (NRD# 7590 )


Exempt Market Dealer

NEWPORT PRIVATE WEALTH INC. (NRD# 10600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEXT EDGE CAPITAL CORP. (NRD# 23200 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEXUS INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE NEXUS INC. (NRD# 350 )


Investment Fund Manager

Portfolio Manager

NEXUSCROWD INC. (NRD# 49290 )


Exempt Market Dealer

NGAM CANADA LP (NRD# 21520 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

NIAGARA CAPITAL PARTNERS LTD. (NRD# 34780 )


Exempt Market Dealer

Investment Fund Manager

NICOLA WEALTH MANAGEMENT LTD. (NRD# 14790 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NISA INVESTMENT ADVISORS, LLC (NRD# 25070 )


Commodity Trading Manager

Portfolio Manager

NOBLE BAY ASSET MANAGEMENT INC. (NRD# 44830 )


Portfolio Manager

NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. / GESTION DES PLACEMENTS NORDEA, AMERIQUE DU NORD (NRD# 12590 )


Portfolio Manager

NORREP CAPITAL MANAGEMENT LTD. (NRD# 11210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTH GROWTH MANAGEMENT LTD (NRD# 14320 )


Exempt Market Dealer

Investment Fund Manager

NORTHBRIDGE CAPITAL PARTNERS LTD. (NRD# 35220 )


Exempt Market Dealer

NORTHCREST PARTNERS INC. (NRD# 26850 )


Exempt Market Dealer

NORTHERN PRECIOUS METALS MANAGEMENT INC./GESTION METAUX PRECIEUX NORTHERN INC. (NRD# 21860 )


Portfolio Manager

NORTHLAND WEALTH MANAGEMENT INC. (NRD# 37060 )


Portfolio Manager

NORTHLEAF CAPITAL PARTNERS (CANADA) LTD (NRD# 31300 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHSTREAM CAPITAL INC. (NRD# 53710 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC. (NRD# 2560 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWEST & ETHICAL INVESTMENTS L.P. (NRD# 26910 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWOOD FAMILY OFFICE LTD. (NRD# 15810 )


Exempt Market Dealer

Portfolio Manager

NS PARTNERS CANADA LTD. (NRD# 21660 )


Investment Fund Manager

Portfolio Manager

NS PARTNERS LTD (NRD# 4320 )


Portfolio Manager

NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT (NRD# 1060 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NYLIFE DISTRIBUTORS LLC (NRD# 23780 )


Exempt Market Dealer

O'SHAUGHNESSY ASSET MANAGEMENT, LLC (NRD# 27910 )


Portfolio Manager

OAKPOINT ASSET MANAGEMENT INC. (NRD# 47040 )


Portfolio Manager

OANDA (CANADA) CORPORATION ULC (NRD# 24590 )


Investment Dealer

OBERON CAPITAL CORPORATION (NRD# 30370 )


Exempt Market Dealer

OCEANROCK INVESTMENTS INC. (NRD# 32240 )


Investment Fund Manager

Portfolio Manager

ODLUM BROWN LIMITED (NRD# 2640 )


Investment Dealer

OECHSLE INTERNATIONAL ADVISORS, LLC (NRD# 7230 )


Portfolio Manager

OGAM LTD. (NRD# 22940 )


Exempt Market Dealer

Portfolio Manager

OLDFIELD PARTNERS LLP (NRD# 31510 )


Portfolio Manager

OLOS CAPITAL, INC./CAPITAL OLOS, INC. (NRD# 32570 )


Exempt Market Dealer

Portfolio Manager

OLYMPIAN FINANCIAL INC. (NRD# 6820 )


Exempt Market Dealer

Mutual Fund Dealer

OMEGA SECURITIES INC. (NRD# 28310 )


Investment Dealer

OMERS INVESTMENT MANAGEMENT INC. / GESTION DE PLACEMENTS OMERS INC. (NRD# 9930 )


Exempt Market Dealer

OMG WEALTH MANAGEMENT INC. (NRD# 23580 )


Investment Dealer

OMNUS INVESTMENTS LTD. (NRD# 33450 )


Exempt Market Dealer

ONE CAPITAL MANAGEMENT, LLC (NRD# 30870 )


Portfolio Manager

ONEX CREDIT PARTNERS, LLC (NRD# 27800 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ONTARIO WEALTH MANAGEMENT CORPORATION (NRD# 36990 )


Exempt Market Dealer

OPEN ACCESS LIMITED (NRD# 6240 )


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

OPEN AVENUE INC. (NRD# 47970 )


Exempt Market Dealer

OPTIMIZE INC. (NRD# 31830 )


Investment Fund Manager

Portfolio Manager

OPTIMUM GESTION DE PLACEMENTS INC. / OPTIMUM ASSET MANAGEMENT INC. (NRD# 20020 )


Portfolio Manager

ORBIS INVESTMENT ADVISORY (CANADA) LIMITED (NRD# 27900 )


Exempt Market Dealer

ORIGIN MERCHANT SECURITIES INC. (NRD# 40580 )


Exempt Market Dealer

OSPREY CAPITAL PARTNERS INC. (NRD# 8330 )


Exempt Market Dealer

OTT CAPITAL CORPORATION (NRD# 28730 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

OTT FINANCIAL CANADA INC. (NRD# 53770 )


Investment Dealer

OTTERWOOD CAPITAL MANAGEMENT INC. (NRD# 39850 )


Commodity Trading Manager

Portfolio Manager

P2P FINANCIAL INC. (NRD# 31820 )


Exempt Market Dealer

PACE SECURITIES CORP. (NRD# 41510 )


Investment Dealer

PACIFIC SPIRIT INVESTMENT MANAGEMENT INC. (NRD# 15140 )


Portfolio Manager

PACIFICA PARTNERS INC. (NRD# 28570 )


Investment Fund Manager

Portfolio Manager

PADLOCK INVESTMENT MANAGEMENT INC. (NRD# 39050 )


Portfolio Manager

PALETTE INVESTMENT MANAGEMENT INC. (NRD# 49180 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PALISADE CAPITAL MANAGEMENT LTD. (NRD# 16620 )


Exempt Market Dealer

Investment Fund Manager

PAN ASSET MANAGEMENT LTD. (NRD# 23290 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PANAGORA ASSET MANAGEMENT, INC. (NRD# 4460 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

PANGAEA ASSET MANAGEMENT INC. (NRD# 22690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PANOPLY CAPITAL ASSET MANAGEMENT INC. (NRD# 27390 )


Exempt Market Dealer

Portfolio Manager

PANVEST CAPITAL CORPORATION (NRD# 7340 )


Exempt Market Dealer

PARADIGM CAPITAL INC. / PARADIGME CAPITAL INC. (NRD# 3450 )


Investment Dealer

PARAGON PRIVATE WEALTH, INC./CLIENT PRIVE PARAGON (NRD# 35780 )


Portfolio Manager

PARETO INVESTMENT MANAGEMENT LIMITED (NRD# 10980 )


Portfolio Manager

PARK PRIVATE WEALTH INC. (NRD# 38950 )


Portfolio Manager

PARTNERS GROUP (USA) INC. (NRD# 43570 )


Exempt Market Dealer

Portfolio Manager

PATHFINDER ASSET MANAGEMENT LIMITED (NRD# 32660 )


Investment Fund Manager

Portfolio Manager

PATHWAY CAPITAL MANAGEMENT, LP (NRD# 22060 )


Exempt Market Dealer

Portfolio Manager

PATIENT CAPITAL MANAGEMENT INC. (NRD# 9300 )


Exempt Market Dealer

Portfolio Manager

PATRIMONICA GESTION D'ACTIFS INC. / PATRIMONICA ASSET MANAGEMENTS INC. (NRD# 39670 )


Portfolio Manager

PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE (NRD# 20990 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PAVILION GLOBAL MARKETS LTD (NRD# 19170 )


Futures Commission Merchant

Investment Dealer

PCJ INVESTMENT COUNSEL LTD. (NRD# 7060 )


Investment Fund Manager

Portfolio Manager

PEAK SECURITIES INC./VALEURS MOBILIERES PEAK INC. (NRD# 10710 )


Investment Dealer

PEARTREE SECURITIES INC. (NRD# 43510 )


Exempt Market Dealer

Restricted Portfolio Manager

PENDERFUND CAPITAL MANAGEMENT LTD. (NRD# 17110 )


Exempt Market Dealer

Investment Fund Manager

PENNANT CAPITAL PARTNERS INC. (NRD# 32760 )


Exempt Market Dealer

PEREGRINE INVESTMENT MANAGEMENT INC. (NRD# 17620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERENNIAL ASSET MANAGEMENT CORP. (NRD# 21500 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERFORMANCE CAPITAL LIMITED (NRD# 5260 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERFORMANCE EQUITY MANAGEMENT, LLC (NRD# 18980 )


Portfolio Manager

PERIMETER MARKETS INC. (NRD# 22510 )


Futures Commission Merchant

Investment Dealer

PERISCOPE CAPITAL INC. (NRD# 29480 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERRON & PARTNERS WEALTH MANAGEMENT CORP. (NRD# 45270 )


Investment Dealer

PERRON ASSET MANAGEMENT INC. (NRD# 51590 )


Portfolio Manager

PERSHING SECURITIES CANADA LIMITED (NRD# 32380 )


Investment Dealer

PETERS & CO. LIMITED (NRD# 2730 )


Investment Dealer

PFSL FUND MANAGEMENT LTD./GESTION DES FONDS PFSL LTEE (NRD# 39310 )


Investment Fund Manager

PFSL INVESTMENTS CANADA LTD. (NRD# 2830 )


Mutual Fund Dealer

PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD. (NRD# 11560 )


Mutual Fund Dealer

PI FINANCIAL CORP./CORPORATION FINANCIERE PI (NRD# 5290 )


Futures Commission Merchant

Investment Dealer

PICTET ASSET MANAGEMENT INC. / PICTET GESTION D'ACTIFS INC. (NRD# 29250 )


Portfolio Manager

PICTET CANADA L.P./PICTET CANADA S.E.C. (NRD# 7090 )


Investment Dealer

PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY (NRD# 18750 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIER 21 ASSET MANAGEMENT INC. / GESTION D'ACTIFS PIER 21 INC. (NRD# 23460 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PILLARFOUR SECURITIES INC. (NRD# 54180 )


Exempt Market Dealer

PIMCO CANADA CORP. (NRD# 18110 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PINEBRIDGE INVESTMENTS CANADA INC./INVESTISSEMENTS PINEBRIDGE CANADA INC. (NRD# 120 )


Exempt Market Dealer

Portfolio Manager

PINNACLE WEALTH BROKERS INC. (NRD# 31740 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PLACEMENTS IA CLARINGTON INC. / IA CLARINGTON INVESTMENTS INC. (NRD# 9110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PLANMAR FINANCIAL CORP. (NRD# 2750 )


Mutual Fund Dealer

PLANNING CIRCLE FINANCIAL GROUP INC. (NRD# 4870 )


Mutual Fund Dealer

POLAR ASSET MANAGEMENT PARTNERS INC. (NRD# 2820 )


Futures Commission Merchant

Investment Dealer

Investment Fund Manager

POLARIS FINANCIAL INC. (NRD# 28300 )


Portfolio Manager

POLLITT & CO. INC. (NRD# 2760 )


Investment Dealer

POLLITT INVESTMENT COUNSEL INC. (NRD# 29060 )


Investment Fund Manager

Portfolio Manager

PORTFOLIO MANAGEMENT CORPORATION (NRD# 2780 )


Portfolio Manager

PORTFOLIO STEWARDS INC. (NRD# 39380 )


Portfolio Manager

PORTFOLIO STRATEGIES CORPORATION (NRD# 10850 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC. (NRD# 7890 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

POWERONE CAPITAL MARKETS LIMITED (NRD# 17010 )


Exempt Market Dealer

PRATTE GESTION DE PORTEFEUILLES INC./PRATTE PORTFOLIO MANAGEMENT INC. (NRD# 52660 )


Portfolio Manager

PRESIMA INC. (NRD# 20280 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PRICEWATERHOUSECOOPERS CORPORATE FINANCE INC. (NRD# 3550 )


Exempt Market Dealer

PRIMARY CAPITAL INC./GROUPE FINANCIER PRIMARY CAPITAL (NRD# 23980 )


Exempt Market Dealer

PRIME QUADRANT (NRD# 10290 )


Exempt Market Dealer

Portfolio Manager

PRIMEVEST CAPITAL CORP. (NRD# 26780 )


Exempt Market Dealer

Investment Fund Manager

PRIVATE CAPITAL MARKETS CORP. (NRD# 3010 )


Exempt Market Dealer

PRIVEST WEALTH MANAGEMENT INC. (NRD# 34330 )


Exempt Market Dealer

PRIVITI CAPITAL CORPORATION (NRD# 32980 )


Investment Fund Manager

PROFESSIONAL INVESTMENTS (KINGSTON) INC. / KINGSTON INVESTMENT PROFESSIONALS INC. (NRD# 2790 )


Exempt Market Dealer

Mutual Fund Dealer

PROGRESSIVE FINANCIAL STRATEGY CAPITAL GROUP CORP. (NRD# 6720 )


Mutual Fund Dealer

PROVISUS WEALTH MANAGEMENT LIMITED (NRD# 24990 )


Investment Fund Manager

Portfolio Manager

PUGSLEY CAPITAL INC. (NRD# 27980 )


Portfolio Manager

PUR INVESTING INC. (NRD# 23950 )


Portfolio Manager

PURPOSE INVESTMENTS INC. (NRD# 41580 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PURSUIT FINANCIAL MANAGEMENT CORPORATION (NRD# 34990 )


Investment Fund Manager

PURSUIT FINANCIAL SERVICES CORP. (NRD# 11140 )


Exempt Market Dealer

PUTNAM INVESTMENTS CANADA ULC (NRD# 12140 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PWL CAPITAL INC. (NRD# 7170 )


Investment Dealer

PYRFORD INTERNATIONAL LIMITED (NRD# 4350 )


Portfolio Manager

PZENA INVESTMENT MANAGEMENT, LLC (NRD# 18100 )


Exempt Market Dealer

Q1 CAPITAL PARTNERS INC.. (NRD# 22480 )


Exempt Market Dealer

QS INVESTORS, LLC (NRD# 33680 )


Portfolio Manager

QTRADE ASSET MANAGEMENT INC./GESTION D'ACTIFS QTRADE INC. (NRD# 17480 )


Exempt Market Dealer

Mutual Fund Dealer

QTRADE SECURITIES INC. / VALEURS MOBILIERES QTRADE INC. (NRD# 9860 )


Investment Dealer

QUADRANT ASSET MANAGEMENT (NRD# 18600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUADRAVEST CAPITAL MANAGEMENT INC. (NRD# 1820 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUADRUS INVESTMENT SERVICES LTD./SERVICES D'INVESTISSEMENT QUADRUS LTEE. (NRD# 2800 )


Mutual Fund Dealer

QUANTUM ADVISORS PRIVATE LIMITED (NRD# 48820 )


Restricted Portfolio Manager

QUANTUS INVESTMENT CORP. (NRD# 32820 )


Exempt Market Dealer

Portfolio Manager

QUARTZ CAPITAL GROUP LTD. (NRD# 38410 )


Exempt Market Dealer

QUEEN FINANCIAL GROUP INC. (NRD# 22680 )


Exempt Market Dealer

Mutual Fund Dealer

QUEENSBURY SECURITIES INC. (NRD# 3030 )


Investment Dealer

QUEENSBURY STRATEGIES INC. (NRD# 4200 )


Exempt Market Dealer

Mutual Fund Dealer

QUESTRADE WEALTH MANAGEMENT INC (NRD# 45780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUESTRADE, INC. (NRD# 9730 )


Futures Commission Merchant

Investment Dealer

QV INVESTORS INC. / INVESTISSEURS QV (NRD# 6750 )


Investment Fund Manager

Portfolio Manager

QVO VADIS INVESTMENT MANAGEMENT INC. (NRD# 36090 )


Portfolio Manager

QWEST INVESTMENT FUND MANAGEMENT LTD. (NRD# 22000 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

R.E.G.A.R. GESTION PRIVEE INC. (NRD# 19700 )


Investment Fund Manager

Portfolio Manager

R.J. O'BRIEN & ASSOCIATES CANADA INC. (NRD# 30390 )


Futures Commission Merchant

Investment Dealer

R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC. (NRD# 860 )


Investment Fund Manager

Portfolio Manager

RADIN CAPITAL PARTNERS INC. (NRD# 37920 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RAE & LIPSKIE INVESTMENT COUNSEL INC. (NRD# 3110 )


Investment Fund Manager

Portfolio Manager

RAINTREE FINANCIAL SOLUTIONS (NRD# 32410 )


Exempt Market Dealer

RARE INFRASTRUCTURE (NORTH AMERICA) PTY. LTD. (NRD# 35670 )


Portfolio Manager

RAYMOND JAMES LTD. (NRD# 8240 )


Investment Dealer

RAYNE CAPITAL MANAGEMENT INC. (NRD# 25450 )


Exempt Market Dealer

Investment Fund Manager

RBC DIRECT INVESTING INC./RBC PLACEMENTS EN DIRECT INC. (NRD# 3200 )


Investment Dealer

RBC DOMINION SECURITIES INC./RBC DOMINION VALEURS MOBILIERES INC. (NRD# 3160 )


Futures Commission Merchant

Investment Dealer

RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC. (NRD# 3090 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC./RBC PHILLIPS, HAGER & NORTH SERVICES-CONSEILS EN PLACEMENTS INC. (NRD# 630 )


Portfolio Manager

RCI INVESTMENT MANAGEMENT INC. (NRD# 28770 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RCM PARTNERS INC. (NRD# 28200 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REAL CROWD CAPITAL INC. (NRD# 54940 )


Exempt Market Dealer

REALCAP HOLDINGS LIMITED (NRD# 3180 )


Portfolio Manager

REALTY FINANCIAL ADVISORS INC. (NRD# 24920 )


Exempt Market Dealer

RED CLOUD KLONDIKE STRIKE INC. (NRD# 49570 )


Exempt Market Dealer

RED SKY CAPITAL MANAGEMENT LTD. (NRD# 32250 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REDWOOD ASSET MANAGEMENT INC. (NRD# 13420 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REEL CAPITAL CORPORATION (NRD# 11380 )


Exempt Market Dealer

REMPART ASSET MANAGEMENT INC./GESTION DE PLACEMENTS REMPART INC. (NRD# 32560 )


Portfolio Manager

RENVEST MERCANTILE BANCORP. INC. (NRD# 22430 )


Exempt Market Dealer

RESOLUTE FUNDS LIMITED (NRD# 18890 )


Investment Fund Manager

Portfolio Manager

RESOLVE ASSET MANAGEMENT INC. (NRD# 51220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RESPONSIVE CAPITAL MANAGEMENT INC. (NRD# 54540 )


Portfolio Manager

RETIRE FIRST LTD. (NRD# 22580 )


Investment Dealer

RETURN ON INNOVATION ADVISORS LTD. (NRD# 13130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RICHARDSON GMP LIMITED / RICHARDSON GMP LIMITEE (NRD# 21970 )


Investment Dealer

RICHMOND EQUITY MANAGEMENT LTD. (NRD# 31920 )


Exempt Market Dealer

Investment Fund Manager

RICHTER FAMILY OFFICE./ BUREAU FAMILIAL RICHTER INC. (NRD# 10170 )


Portfolio Manager

RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. (NRD# 27940 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

RIGEL MERCANTILE LIMITED (NRD# 54500 )


Commodity Trading Manager

RIVER ROAD ASSET MANAGEMENT, LLC (NRD# 33360 )


Portfolio Manager

ROADMAP CAPITAL INC. (NRD# 44800 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROBERT EVANS INVESTMENT COUNSEL LIMITED (NRD# 1170 )


Investment Fund Manager

Portfolio Manager

ROBSON CAPITAL MANAGEMENT INC. (NRD# 16060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROBSON CAPITAL PARTNERS CORP. (NRD# 38440 )


Exempt Market Dealer

ROCKLINC INVESTMENT PARTNERS INC. (NRD# 31020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROCKVALE CAPITAL MANAGEMENT INC. (NRD# 5700 )


Portfolio Manager

ROGAN INVESTMENT MANAGEMENT LIMITED (NRD# 3060 )


Portfolio Manager

ROGERS GROUP INVESTMENT ADVISORS LTD. (NRD# 11460 )


Investment Dealer

ROGERSCASEY CANADA, INC. (NRD# 2230 )


Portfolio Manager

ROMSPEN INVESTMENT CORPORATION (NRD# 21070 )


Exempt Market Dealer

RONDEAU CAPITAL INC. (NRD# 28710 )


Portfolio Manager

ROSALIND ADVISORS, INC. (NRD# 24830 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROSS SMITH ASSET MANAGEMENT INC. (NRD# 26530 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROSSEAU ASSET MANAGEMENT LTD. (NRD# 7970 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROTHSCHILD (CANADA) SECURITIES INC. / VALEURS MOBILIERES ROTHSCHILD (CANADA) INC. (NRD# 7100 )


Exempt Market Dealer

ROUNDTABLE CAPITAL PARTNERS INC. (NRD# 22560 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROYAL MUTUAL FUNDS INC./FONDS D'INVESTISSEMENT ROYAL INC. (NRD# 3190 )


Mutual Fund Dealer

RP INVESTMENT ADVISORS (NRD# 29960 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RT MOSAIC WEALTH MANAGEMENT LTD. (NRD# 51330 )


Portfolio Manager

RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE (NRD# 3080 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

RWS CAPITAL SERVICES INC. (NRD# 17350 )


Exempt Market Dealer

SAGUENAY STRATHMORE CAPITAL INC. (NRD# 36680 )


Exempt Market Dealer

Portfolio Manager

SAGUENAY STRATHMORE CAPITAL, L.P, (NRD# 21710 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SAMARA CAPITAL INC. (NRD# 36660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SAMPFORD ADVISORS INC. (NRD# 54910 )


Exempt Market Dealer

SANDSTONE ASSET MANAGEMENT INC. (NRD# 17800 )


Investment Dealer

SANFORD C. BERNSTEIN & CO., LLC (NRD# 510 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SARBIT ADVISORY SERVICES INC. / SERVICES DE CONSULTATION SARBIT (NRD# 21320 )


Portfolio Manager

SCALE CAPITAL MANAGEMENT INC. (NRD# 17170 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SCARTHINGMOOR ASSET MANAGEMENT INC. (NRD# 6510 )


Portfolio Manager

SCHEER, ROWLETT & ASSOCIATES INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS SCHEER, ROWLETT & ASSOCIES LTEE (NRD# 740 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SCHRODER FUND ADVISORS LLC (NRD# 26620 )


Exempt Market Dealer

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. / GESTION DE PLACEMENTS SCHRODER (AMERIQUE DU NORD) INC. (NRD# 12130 )


Portfolio Manager

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LIMITED / GESTION DE PLACEMENTS SCHRODER ( AMERIQUE DU NORD) (NRD# 3410 )


Portfolio Manager

SCHWABEN CAPITAL GROUP LIMITED (NRD# 29510 )


Exempt Market Dealer

Portfolio Manager

SCIVEST CAPITAL MANAGEMENT INC. (NRD# 16400 )


Exempt Market Dealer

Portfolio Manager

SCOTIA CAPITAL INC. / SCOTIA CAPITAUX INC. (NRD# 3460 )


Futures Commission Merchant

Investment Dealer

SCOTIA MANAGED COMPANIES ADMINISTRATION INC. (NRD# 35620 )


Investment Fund Manager

SCOTIA SECURITIES INC./PLACEMENTS SCOTIA INC. (NRD# 30020 )


Mutual Fund Dealer

SEAMARK ASSET MANAGEMENT (2013) LTD. (NRD# 44880 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SECURITY FINANCIAL SERVICES & INVESTMENT CORP. (NRD# 3250 )


Mutual Fund Dealer

SECUTOR CAPITAL MANAGEMENT CORPORATION (NRD# 12930 )


Investment Dealer

Investment Fund Manager

SEI INVESTMENTS CANADA COMPANY / SOCIETE DE PLACEMENTS SEI CANADA (NRD# 4620 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SELEXIA INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE SELEXIA INC. (NRD# 26980 )


Portfolio Manager

SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC. (NRD# 28590 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

SERVICES EN PLACEMENTS PEAK INC. (NRD# 27990 )


Mutual Fund Dealer

SERVICES FINANCIERS QUINTAL & CO. INC. / QUINTAL & CO. FINANCIAL SERVICES INC. (NRD# 41220 )


Exempt Market Dealer

SETTER CAPITAL INC. (NRD# 26730 )


Exempt Market Dealer

SEVEN HILLS CAPITAL CORP. (NRD# 50050 )


Portfolio Manager

SEVENOAKS CAPITAL INC. (NRD# 27080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SEYMOUR INVESTMENT MANAGEMENT LTD. (NRD# 31390 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SHAH FINANCIAL PLANNING INC. (NRD# 8940 )


Mutual Fund Dealer

SHARP ASSET MANAGEMENT INC. (NRD# 5870 )


Portfolio Manager

SHAUNESSY INVESTMENT COUNSEL INC. (NRD# 12210 )


Portfolio Manager

SHERBROOKE STREET CAPITAL (SSC) INC. / CAPITAL SHERBROOKE STREET (SSC) INC. (NRD# 16140 )


Investment Dealer

SHERPA ASSET MANAGEMENT INC (NRD# 26310 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SHORCAN BROKERS LIMITED (NRD# 3470 )


Exempt Market Dealer

SHORELINE WEST ASSET MANAGEMENT INC. (NRD# 27780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SIA WEALTH MANAGEMENT INC. (NRD# 48340 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SIGMA ANALYSIS & MANAGEMENT LTD. (NRD# 10390 )


Commodity Trading Counsel

Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

SILVER HEIGHTS CAPITAL MANAGEMENT INC. (NRD# 24050 )


Exempt Market Dealer

Portfolio Manager

SILVER MAPLE VENTURES INC. (NRD# 46480 )


Exempt Market Dealer

SILVERCOVE FUND MANAGEMENT LTD. (NRD# 28860 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SILVERCREEK MANAGEMENT INC. (NRD# 9890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SILVERTHORN CAPITAL INCORPORATED (NRD# 46710 )


Exempt Market Dealer

SINCERUS EXEMPT MARKET DEALER LTD. (NRD# 37770 )


Exempt Market Dealer

SINCLAIR-COCKBURN FINANCIAL SERVICES INC. (NRD# 7470 )


Exempt Market Dealer

Mutual Fund Dealer

SIONNA INVESTMENT MANAGERS INC./GESTIONNAIRES DE PLACEMENTS SIONNA INC. (NRD# 12340 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SKYLINE WEALTH MANAGEMENT INC. (NRD# 33440 )


Exempt Market Dealer

SLABE INC. (NRD# 7040 )


Portfolio Manager

SLATER ASSET MANAGEMENT INC. (NRD# 29970 )


Portfolio Manager

SMART INVESTMENTS LTD. (NRD# 40590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SMART MONEY CAPITAL MANAGEMENT INC. (NRD# 46920 )


Portfolio Manager

SNOWLINE CAPITAL MANAGEMENT INC. (NRD# 54010 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SOCIETE DE GESTION D'INVESTISSEMENT HEWARD INC./ HEWARD INVESTMENT MANAGEMENT INC. (NRD# 1620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SOCIETE DE GESTION PRIVEE DES FONDS FMOQ INC (NRD# 26160 )


Exempt Market Dealer

SOCIETE GENERALE CAPITAL CANADA INC. (NRD# 27130 )


Futures Commission Merchant

Investment Dealer

SODHI ASSET MANAGEMENT INC. (NRD# 45820 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SOLIUM FINANCIAL INC. (NRD# 39130 )


Investment Dealer

SOMERSET CAPITAL MANAGEMENT LLP (NRD# 27720 )


Portfolio Manager

SOUTTERHAM INVESTMENTS LIMITED (NRD# 11480 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPARTAN FUND MANAGEMENT INC. (NRD# 20500 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPHERE INVESTMENT MANAGEMENT INC. (NRD# 54020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPROTT ASSET MANAGEMENT LP (NRD# 28740 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPROTT PRIVATE WEALTH LP (NRD# 29070 )


Investment Dealer

SPRUCEGROVE INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS SPRUCEGROVE (NRD# 3990 )


Investment Fund Manager

Portfolio Manager

SPRUNG INVESTMENT MANAGEMENT INC. (NRD# 21900 )


Portfolio Manager

STABLEVIEW ASSET MANAGEMENT INC. (NRD# 44420 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STACEY MUIRHEAD CAPITAL MANAGEMENT LTD. (NRD# 6880 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STANDARD LIFE INVESTMENTS (USA) LTD (NRD# 51070 )


Exempt Market Dealer

STANTON ASSET MANAGEMENT INC./GESTION D'ACTIFS STANTON INC. (NRD# 20470 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STANWICH ADVISORS, LLC (NRD# 24410 )


Exempt Market Dealer

STARBOARD CAPITAL INC. (NRD# 29640 )


Exempt Market Dealer

STARBRIDGE CAPITAL LTD. (NRD# 41500 )


Exempt Market Dealer

Portfolio Manager

STARK INVESTMENTS (CANADA) CORP. (NRD# 21870 )


Portfolio Manager

STARVINE CAPITAL CORPORATION (NRD# 50120 )


Portfolio Manager

STATE FARM INVESTOR SERVICES (CANADA) CO. (NRD# 10450 )


Mutual Fund Dealer

STATE STREET GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX STATE STREET CANADA INC. (NRD# 8850 )


Investment Dealer

STEADYHAND INVESTMENT FUNDS INC. (NRD# 24160 )


Mutual Fund Dealer

STEADYHAND INVESTMENT MANAGEMENT LTD. (NRD# 23820 )


Investment Fund Manager

Portfolio Manager

STEEPE & CO. LTD. (NRD# 25760 )


Exempt Market Dealer

STEPHENAVENUE SECURITIES INC. (NRD# 8080 )


Investment Dealer

STEPHENSON & COMPANY CAPITAL MANAGEMENT INC. (NRD# 48100 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STERLING BRIDGE MORTGAGE CORP. (NRD# 33050 )


Exempt Market Dealer

STERLING MUTUALS INC. (NRD# 5910 )


Exempt Market Dealer

Mutual Fund Dealer

STEVLOC MANAGEMENT INC. (NRD# 46930 )


Exempt Market Dealer

STODGELL INVESTMENT MANAGEMENT LIMITED (NRD# 7840 )


Portfolio Manager

STONE ASSET MANAGEMENT LIMITED (NRD# 9330 )


Investment Fund Manager

Portfolio Manager

Restricted Dealer

STONEBRIDGE FINANCIAL CORPORATION/CORPORATION FINANCIERE STONEBRIDGE (NRD# 9290 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STONEBROOKE ASSET MANAGEMENT LTD. (NRD# 22370 )


Portfolio Manager

STONECASTLE INVESTMENT MANAGEMENT INC. (NRD# 26340 )


Exempt Market Dealer

Portfolio Manager

STONEHOUSE CAPITAL MANAGEMENT INC. (NRD# 10030 )


Portfolio Manager

STOREYWORKS CAPITAL INC. (NRD# 28920 )


Exempt Market Dealer

STORMCROW CAPITAL LIMITED (NRD# 50240 )


Exempt Market Dealer

STORNOWAY PORTFOLIO MANAGEMENT INC. (NRD# 18410 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STRAND SECURITIES CORPORATION (NRD# 3320 )


Exempt Market Dealer

STRATHBRIDGE ASSET MANAGEMENT INC./ GESTION D'ACTIFS STRATHBRIDGE INC. (NRD# 690 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

STRATHY INVESTMENT MANAGEMENT LIMITED (NRD# 15620 )


Portfolio Manager

STRATIGIS CAPITAL ADVISORS INC. (NRD# 42080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STUART INVESTMENT MANAGEMENT LIMITED (NRD# 3350 )


Investment Dealer

STYLUS ASSET MANAGEMENT INC. (NRD# 680 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUCCESSFUL INVESTOR WEALTH MANAGEMENT INC. (NRD# 6350 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUMMERHILL CAPITAL MANAGEMENT INC. (NRD# 16980 )


Portfolio Manager

SUMMERWOOD CAPITAL CORP. (NRD# 23700 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUN LIFE FINANCIAL INVESTMENT SERVICES (CANADA) INC./PLACEMENTS FINANCIERE SUN LIFE (CANADA) INC. (NRD# 2260 )


Mutual Fund Dealer

SUN LIFE GLOBAL INVESTMENTS (CANADA) INC./PLACEMENTS MONDIAUX SUN LIFE (CANADA) INC. (NRD# 27680 )


Commodity Trading Manager

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

SUN LIFE INSTITUTIONAL INVESTMENTS (CANADA) INC./PLACEMENTS INSTITUTIONNEL SUN LIFE (CANADA) INC. (NRD# 45590 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUNEL SECURITIES INC. (NRD# 24940 )


Exempt Market Dealer

SUPERSTAR INVESTMENT CORP. (NRD# 6740 )


Mutual Fund Dealer

T. ROWE PRICE (CANADA), INC. (NRD# 4570 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

T.I.P. WEALTH MANAGER INC. (NRD# 23710 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TACITA CAPITAL INC. (NRD# 23760 )


Portfolio Manager

TACTEX GESTION D'ACTIFS INC. / TACTEX ASSET MANAGEMENT INC. (NRD# 30250 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAHO CAPITAL MANAGEMENT, INC. (NRD# 49500 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAILWIND CAPITAL INC. (NRD# 16930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAKOTA ASSET MANAGEMENT INC. (NRD# 39270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TANCOOK INVESTMENT MANAGEMENT LIMITED (NRD# 52950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TANGERINE INVESTMENT FUNDS LIMITED/FONDS D'INVESTISSEMENT TANGERINE LIMITEE (NRD# 2570 )


Mutual Fund Dealer

TANGERINE INVESTMENT MANAGEMENT INC./GESTION D'INVESTISSEMENTS TANGERINE INC. (NRD# 26280 )


Investment Fund Manager

Portfolio Manager

TAO SECURITIES INC. (NRD# 36220 )


Exempt Market Dealer

TAYLOR ASSET MANAGEMENT INC. (NRD# 39580 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC. (NRD# 5850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TD INVESTMENT SERVICES INC. / SERVICES D'INVESTISSEMENT TD INC. (NRD# 11610 )


Mutual Fund Dealer

TD SECURITIES INC. / VALEURS MOBILIERES TD INC. (NRD# 5860 )


Futures Commission Merchant

Investment Dealer

TD WATERHOUSE CANADA INC. (NRD# 8950 )


Investment Dealer

TD WATERHOUSE PRIVATE INVESTMENT COUNSEL INC. / GESTION PRIVEE TD WATERHOUSE INC. (NRD# 18660 )


Exempt Market Dealer

Portfolio Manager

TEAMMAX INVESTMENT CORP. (NRD# 9640 )


Mutual Fund Dealer

TEMPERED INVESTMENT MANAGEMENT LTD. (NRD# 32780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TERA CAPITAL CORPORATION (NRD# 6660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TERRA FUND MANAGEMENT LTD. (NRD# 34160 )


Investment Fund Manager

TETREM CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX TETREM (NRD# 17850 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TFP INVESTMENT COUNSEL CORP. (NRD# 16940 )


Portfolio Manager

THE CATALYST CAPITAL GROUP INC. (NRD# 25600 )


Portfolio Manager

THE COMMERCIAL CAPITAL SECURITIES INC. (NRD# 8370 )


Exempt Market Dealer

THE FUNDING PORTAL INC. (NRD# 47390 )


Exempt Market Dealer

THE MURRAY WEALTH GROUP INC. (NRD# 50380 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

THE PALLAS ATHENA CORPORATION / CORPORATION PALLAS ATHENA (NRD# 2720 )


Portfolio Manager

THIRD EYE CAPITAL MANAGEMENT INC. (NRD# 31410 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

THORNMARK ASSET MANAGEMENT INC. / GESTION D'ACTIFS THORNMARK (NRD# 7730 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TIMBERCREEK ASSET MANAGEMENT LTD. (NRD# 28370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TIMELO INVESTMENT MANAGEMENT INC. (NRD# 37210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TMS/TAX MANAGEMENT SOLUTIONS INC. (NRD# 25140 )


Exempt Market Dealer

TOBAM S.A.S. (NRD# 39190 )


Restricted Portfolio Manager

TOCQUEVILLE ASSET MANAGEMENT, L.P. (NRD# 32110 )


Portfolio Manager

TONUS CAPITAL INC. (NRD# 25670 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TOPLEFT SECURITIES LTD. (NRD# 26700 )


Exempt Market Dealer

TORONTO TRUST MANAGEMENT LTD. (NRD# 33690 )


Investment Fund Manager

TOWER ASSET MANAGEMENT INC. (NRD# 17030 )


Portfolio Manager

TPCM INC. (NRD# 52940 )


Exempt Market Dealer

TRADEX MANAGEMENT INC. / GESTION TRADEX INC. (NRD# 3670 )


Investment Fund Manager

Mutual Fund Dealer

TRALUCENT ASSET MANAGEMENT INC. (NRD# 27890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TRANSITION FINANCIAL ADVISORS GROUP, INC. (NRD# 30590 )


Portfolio Manager

TRAPEZE ASSET MANAGEMENT INC. (NRD# 8150 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TRAPEZE CAPITAL CORP. (NRD# 8030 )


Investment Dealer

TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP/FOND DE GESTION TREZ CAPITAL SOCIETE EN COMMANDITE (NRD# 40680 )


Exempt Market Dealer

Investment Fund Manager

TRI VIEW CAPITAL LTD. (NRD# 40830 )


Exempt Market Dealer

TRIACT CANADA MARKETPLACE LP (NRD# 21250 )


Investment Dealer

TRIDELTA INVESTMENT COUNSEL INC. (NRD# 37940 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TRIUMPH ASSET MANAGEMENT INC./ GESTION D'ACTIFS TRIUMPH (NRD# 18830 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TROON NORTH CAPITAL INC. (NRD# 28140 )


Portfolio Manager

TULETT, MATTHEWS & ASSOC. INC. (NRD# 20100 )


Portfolio Manager

TULLETT PREBON CANADA LIMITED (NRD# 20410 )


Exempt Market Dealer

TURN8 PARTNERS INC. / TURN8 ASSOCIES INC. (NRD# 40490 )


Portfolio Manager

TURNPOINTE WEALTH MANAGEMENT INC. (NRD# 34030 )


Portfolio Manager

TURTLE CREEK ASSET MANAGEMENT INC. (NRD# 15890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TUSCARORA CAPITAL INC. (NRD# 6020 )


Investment Dealer

TUTUILA ASSET MANAGEMENT INC. (NRD# 34140 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

UBS ASSET MANAGEMENT (CANADA) INC. (NRD# 710 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

UBS INVESTMENT MANAGEMENT CANADA INC. / GESTION DES PLACEMENTS UBS CANADA INC. (NRD# 8450 )


Exempt Market Dealer

Portfolio Manager

UBS SECURITIES CANADA INC./UBS VALEURS MOBILIERES CANADA INC. (NRD# 330 )


Investment Dealer

UMC FINANCIAL MANAGEMENT INC. (NRD# 32690 )


Exempt Market Dealer

Restricted Portfolio Manager

UNIGESTION ASSET MANAGEMENT (CANADA) INC./GESTION DE PLACEMENTS UNIGESTION (CANADA) INC. (NRD# 47780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

UNIVERSITY OF TORONTO ASSET MANAGEMENT CORPORATION (NRD# 16840 )


Investment Fund Manager

Portfolio Manager

VALEURS MOBILIERES BANQUE LAURENTIENNE INC. / LAURENTIAN BANK SECURITIES INC. (NRD# 410 )


Investment Dealer

VALUE PARTNERS INVESTMENTS INC. (NRD# 34590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VALUE-CONTRARIAN ASSET MANAGEMENT INC. / VALUE-CONTRARIAN, CONSEILLERS EN PLACEMENTS (NRD# 21830 )


Exempt Market Dealer

Investment Fund Manager

VALUE-SCIENCES INC. (NRD# 4100 )


Portfolio Manager

VAN BERKOM AND ASSOCIATES INC. (NRD# 3800 )


Portfolio Manager

VAN ECK ABSOLUTE RETURN ADVISERS CORPORATION (NRD# 16670 )


Commodity Trading Manager

VANCITY INVESTMENT MANAGEMENT LIMITED / GESTION D'INVESTISSEMENTS VANCITY (NRD# 14950 )


Portfolio Manager

VANGUARD INVESTMENTS CANADA INC. (NRD# 37720 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VANTAGE ASSET MANAGEMENT INC. / GESTION D'ACTIFS VANTAGE (NRD# 29620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VELOCITY TRADE CAPITAL LTD. (NRD# 21850 )


Investment Dealer

VENABLE PARK INVESTMENT COUNSEL INC. (NRD# 21780 )


Portfolio Manager

VENATOR CAPITAL MANAGEMENT LTD. (NRD# 22250 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VERACAP M&A INTERNATIONAL INC. (NRD# 21470 )


Exempt Market Dealer

VERITAS INVESTMENT RESEARCH CORPORATION (NRD# 10420 )


Exempt Market Dealer

Portfolio Manager

VERITION ADVISORS (CANADA) ULC (NRD# 32880 )


Portfolio Manager

VERITY INVESTMENT COUNSEL INC. (NRD# 14680 )


Portfolio Manager

VERTEX ONE ASSET MANAGEMENT INC. (NRD# 14520 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VERUS ADVISORY, INC. (NRD# 47000 )


Commodity Trading Manager

Portfolio Manager

VESTCAP INVESTMENT MANAGEMENT INC. (NRD# 3770 )


Portfolio Manager

VIKING CAPITAL CORP. (NRD# 10730 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VISION CAPITAL CORPORATION (NRD# 13070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VISION WEALTH MANAGEMENT LTD (NRD# 30410 )


Investment Fund Manager

Portfolio Manager

VIVID CAPITAL MANAGEMENT INC. (NRD# 52650 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VL ADVISORS INC. (NRD# 22210 )


Investment Fund Manager

Portfolio Manager

VULCAN ASSET MANAGEMENT CORPORATION (NRD# 47400 )


Portfolio Manager

VWK CAPITAL MANAGEMENT INC. (NRD# 28170 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

W.A. ROBINSON ASSET MANAGEMENT LTD. (NRD# 12660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

W.D. LATIMER CO. LIMITED (NRD# 1950 )


Investment Dealer

WALTER SCOTT & PARTNERS LIMITED (NRD# 4110 )


Exempt Market Dealer

WALTON CAPITAL MANAGEMENT INC. (NRD# 21680 )


Exempt Market Dealer

WARATAH CAPITAL ADVISORS LTD. (NRD# 32060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WATERFRONT STRATEGIC CAPITAL CORP. (NRD# 48570 )


Exempt Market Dealer

WATSON DI PRIMIO STEEL (WDS) INVESTMENT MANAGEMENT LTD. (NRD# 13000 )


Portfolio Manager

WATT CARMICHAEL INC. (NRD# 3870 )


Investment Dealer

WATT CARMICHAEL PRIVATE COUNSEL INC. (NRD# 27470 )


Portfolio Manager

WAVE CYCLE MUTUAL FUNDS LTD. (NRD# 26210 )


Investment Fund Manager

WAVERLEY CORPORATE FINANCIAL SERVICES LTD. (NRD# 40620 )


Exempt Market Dealer

WEALHOUSE CAPITAL LIMITED PARTNERSHIP / GESTION DE CAPITAL WEALHOUSE (NRD# 27690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WEALTH CREATION CORPORATION (NRD# 37840 )


Exempt Market Dealer

WEALTH CREATION PRESERVATION & DONATION INC. (NRD# 23920 )


Exempt Market Dealer

WEALTHBAR FINANCIAL SERVICES INC./SERVICES FINANCIERS WEALTHBAR (NRD# 46170 )


Portfolio Manager

WEALTHBRIDGE INVESTMENT COUNSEL INC. (NRD# 35340 )


Portfolio Manager

WEALTHCO ASSET MANAGEMENT INC. (NRD# 34530 )


Exempt Market Dealer

WEALTHSIMPLE INC. (NRD# 47940 )


Portfolio Manager

WEDGE CAPITAL MANAGEMENT L.L.P. (NRD# 9610 )


Portfolio Manager

WELLINGTON MANAGEMENT CANADA LLC (NRD# 48910 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

WELLS FARGO SECURITIES CANADA, LTD./VALEURS MOBILIERES WELLS FARGO CANADA, LTEE (NRD# 32450 )


Investment Dealer

WEST FACE CAPITAL INC. (NRD# 21620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WEST HARBOUR CAPITAL (NRD# 55190 )


Exempt Market Dealer

WESTBORO MANAGEMENT LTD. (NRD# 29160 )


Exempt Market Dealer

WESTCOURT CAPITAL CORPORATION (NRD# 31310 )


Exempt Market Dealer

Portfolio Manager

WESTWOOD INTERNATIONAL ADVISORS INC. (NRD# 40450 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WFG SECURITIES INC. (NRD# 7020 )


Mutual Fund Dealer

WHITEHAVEN SECURITIES INC. / VALEURS MOBILIERES WHITEHAVEN INC. (NRD# 46540 )


Exempt Market Dealer

WICKHAM INVESTMENT COUNSEL INC. (NRD# 9850 )


Portfolio Manager

WILDLAW CAPITAL MARKETS INC. (NRD# 27070 )


Exempt Market Dealer

WILLOUGHBY ASSET MANAGEMENT INC. (NRD# 50440 )


Investment Fund Manager

WINDCROFT FINANCIAL COUNSEL LIMITED (NRD# 3830 )


Portfolio Manager

WINDERMERE CAPITAL (CANADA) INC. (NRD# 24490 )


Exempt Market Dealer

Portfolio Manager

WINDSTAR EQUITIES LTD. (NRD# 3930 )


Exempt Market Dealer

WINGATE INVESTMENT MANAGEMENT LTD (NRD# 10240 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WISDOMTREE ASSET MANAGEMENT CANADA, INC. (NRD# 54980 )


Exempt Market Dealer

Investment Fund Manager

WISE CAPITAL MANAGEMENT INC. (NRD# 10610 )


Investment Fund Manager

Portfolio Manager

WOLVERTON SECURITIES LTD (NRD# 5510 )


Investment Dealer

WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP (NRD# 29340 )


Portfolio Manager

WORLDSOURCE FINANCIAL MANAGEMENT INC./GESTION FINANCIERE WORLDSOURCE INC. (NRD# 830 )


Exempt Market Dealer

Mutual Fund Dealer

WORLDSOURCE SECURITIES INC./ VALEURS MOBILIERES WORLDSOURCE INC. (NRD# 11720 )


Investment Dealer

Investment Fund Manager

WUTHERICH & COMPANY INVESTMENT COUNSEL INC./ CONSEILLERS EN VALEURS WUTHERICH & COMPAGNIE INC. (NRD# 14370 )


Portfolio Manager

Y.I.S. FINANCIAL INC. (NRD# 4190 )


Mutual Fund Dealer

YORKVILLE ASSET MANAGEMENT INC. (NRD# 33110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

YOUFIRST FINANCIAL INC. (NRD# 26590 )


Portfolio Manager

YTM CAPITAL ASSET MANAGEMENT LTD. (NRD# 35870 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ZED FINANCIAL PARTNERS (NRD# 12560 )


Exempt Market Dealer

ZLC WEALTH INC. (NRD# 14620 )


Exempt Market Dealer

Portfolio Manager