108 SECURITIES INC.


Exempt Market Dealer

1741 ASSET MANAGEMENT FUNDS SICAV


International Investment Fund Manager - Exemption

1741 SPECIALISED INVESTMENT FUNDS SICAV


International Investment Fund Manager - Exemption

17CAPITAL LLP


International Investment Fund Manager - Exemption

18 ASSET MANAGEMENT INC.


Portfolio Manager

1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

3D PRINTING FUND ADVISERS, LLC


International Investment Fund Manager - Exemption

3I FINANCIAL INVESTMENT SERVICES INC.


Mutual Fund Dealer

3IQ CORP.


Investment Fund Manager

400 CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

4FRONT CAPITAL PARTNERS INC.


Exempt Market Dealer

50 SOUTH CAPITAL ADVISORS, LLC


International Investment Fund Manager - Exemption

7017065 CANADA INC.


International Investment Fund Manager - Exemption

ABBEY CAPITAL LIMITED


International Investment Fund Manager - Exemption

ABERDEEN ASSET MANAGEMENT ASIA LIMITED


Portfolio Manager

ABERDEEN ASSET MANAGEMENT CANADA LIMITED


Portfolio Manager

ABERDEEN ASSET MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

ABERDEEN FUND DISTRIBUTORS, LLC


Exempt Market Dealer

ABERDEEN GLOBAL SERVICES S.A.


International Investment Fund Manager - Exemption

ABERDEEN GOULD CAPITAL MARKETS LTD.


Exempt Market Dealer

ABERDEEN MANAGEMENT SERVICES S.A.


International Investment Fund Manager - Exemption

ABSOLUTE PRIVATE COUNSEL LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ABSOLUTE RETURN CAPITAL, LLC


International Investment Fund Manager - Exemption

ACADIAN ASSET MANAGEMENT, LLC


Exempt Market Dealer

Portfolio Manager

ACASTA CAPITAL INC.


Exempt Market Dealer

ACC GLOBAL FINANCIAL INC.


Mutual Fund Dealer

ACCESS CAPITAL CORP.


Exempt Market Dealer

ACCILENT CAPITAL MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACCREDITED CAPITAL CORPORATION


Commodity Trading Manager

Exempt Market Dealer

ACERNIS CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACHIEVEMENT ASSET MANAGEMENT LLC


International Investment Fund Manager - Exemption

ACKER FINLEY ASSET MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

ACKER FINLEY INC.


Investment Dealer

ACM ADVISORS LTD.


Exempt Market Dealer

Investment Fund Manager

ACORN GLOBAL INVESTMENTS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACTION VALEUR AJOUTEE INC.


Portfolio Manager

ACUMEN CAPITAL FINANCE PARTNERS LIMITED


Investment Dealer

ADAMS STREET PARTNERS, LLC


International Investment Fund Manager - Exemption

ADAPTIVE ASSET MANAGEMENT LTD.


Portfolio Manager

ADDENDA CAPITAL INC.


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

ADDINGTON FINANCIAL CORPORATION


Mutual Fund Dealer

ADROIT INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS ADROIT LTEE


Portfolio Manager

ADVANCED CAPITAL CORPORATION


Exempt Market Dealer

ADVISORY CAPITAL GROUP CANADA INC.


Portfolio Manager

AEGON CAPITAL MANAGEMENT INC./AEGON GESTION DE FONDS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AEGON FUND MANAGEMENT INC./AEGON GESTION DE FONDS INC.


Investment Fund Manager

AESSF III PRIVATE INVESTORS GP, LTD


International Investment Fund Manager - Exemption

AETOS ALTERNATIVES MANAGEMENT, LLC


International Investment Fund Manager - Exemption

AFINA CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AGF INVESTMENTS AMERICA INC.


US Adviser with US Clients - Exemption

AGF INVESTMENTS INC. / PLACEMENTS AGF INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

AGF SECURITIES (CANADA) LIMITED


Investment Dealer

AGILITH CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AHF CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AHL PARTNERS LLP


International Investment Fund Manager - Exemption

AIP ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AIP PHOENIX II GP LP


International Investment Fund Manager - Exemption

AIP PMF VI GP LP


International Investment Fund Manager - Exemption

AKRE CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

ALAF II PRIVATE INVESTORS GP LTD.


International Investment Fund Manager - Exemption

ALAMBIC INVESTMENT MANAGEMENT L.P.


International Investment Fund Manager - Exemption

ALBOURNE PARTNERS (CANADA) LIMITED


Portfolio Manager

ALCENTRA EUROPEAN DLF A LIMITED


International Investment Fund Manager - Exemption

ALCENTRA EUROPEAN DLF GP LIMITED


International Investment Fund Manager - Exemption

ALCENTRA EUROPEAN DLF INVESTOR FEEDER LIMITED PARTNERSHIP


International Investment Fund Manager - Exemption

ALDERSLEY SECURITIES INC.


Mutual Fund Dealer

Portfolio Manager

ALEXANDER CAPITAL GROUP INC.


Exempt Market Dealer

ALGONQUIN CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALIGNED CAPITAL PARTNERS INC.


Investment Dealer

ALIGNVEST CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALIGNVEST INVESTMENT MANAGEMENT CORPORATION


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

ALKEON CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

ALL GROUP FINANCIAL SERVICES INC.


Investment Dealer

ALLARD PARTNERS MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

ALLARD, ALLARD & ASSOCIES INC.


Portfolio Manager

ALLBLUE LIMITED


International Investment Fund Manager - Exemption

ALLIANCEBERNSTEIN CANADA, INC.


Exempt Market Dealer

Portfolio Manager

ALLIANCEBERNSTEIN L.P.


International Investment Fund Manager - Exemption

ALLIANZ GLOBAL INVESTORS U.S. LLC / ALLIANZ INVESTISSEURS MONDIAUX E.-U.


Exempt Market Dealer

International Investment Fund Manager - Exemption

ALLIED CAPITAL CORPORATION


Exempt Market Dealer

ALLOY INVESTMENTS ADVISORS, LLC


International Investment Fund Manager - Exemption

ALLVISTA INVESTMENT MANAGEMENT INC.


Portfolio Manager

ALPHAFIXE CAPITAL INC.


Investment Fund Manager

Portfolio Manager

ALPHANORTH ASSET MANAGEMENT


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALPHAPARITY, LLC


International Investment Fund Manager - Exemption

ALPHAPLANUM INC.


Portfolio Manager

ALPHAPRO MANAGEMENT INC.


Investment Fund Manager

ALPINVEST PARTNERS B.V.


International Investment Fund Manager - Exemption

ALPS ADVISORS, INC.


International Investment Fund Manager - Exemption

ALTA WEST MORTGAGE CAPITAL CORPORATION


Exempt Market Dealer

ALTACORP CAPITAL INC.


Investment Dealer

ALTERNATIVE CAPITAL GROUP INC. / GROUPE CAPITAL ALTERNATIF INC.


Exempt Market Dealer

ALTIMUM MUTUALS INC.


Mutual Fund Dealer

ALTIUM WEALTH ARCHITECTURE INC. / ALTIUM ARCHITECTURE DE PATRIMOINE INC.


Portfolio Manager

ALTRINSIC GLOBAL ADVISORS, LLC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALTUS SECURITIES INC.


Investment Dealer

ALVAREZ & MARSAL CANADA SECURITIES ULC


Exempt Market Dealer

ALYESKA INVESTMENT GROUP, L.P.


International Investment Fund Manager - Exemption

AMERICAN CAPITAL ACSF MANAGEMENT, LLC


International Investment Fund Manager - Exemption

AMUNDI CANADA INC.


Exempt Market Dealer

Portfolio Manager

ANALYTIC INVESTORS, LLC


Portfolio Manager

ANCHORAGE CAPITAL GROUP, L.L.C.


International Investment Fund Manager - Exemption

ANGELO, GORDON & CO., L.P.


International Investment Fund Manager - Exemption

ANNAPOLIS CAPITAL LIMITED


Exempt Market Dealer

Investment Fund Manager

ANTARES INVESTMENT MANAGEMENT, INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

APOLLO CREDIT SHORT OPPORTUNITIES FUND (OFFSHORE) LTD.


International Investment Fund Manager - Exemption

APOLLO EPF MANAGEMENT II, L.P.


International Investment Fund Manager - Exemption

APOLLO MANAGEMENT VIII, L.P.


International Investment Fund Manager - Exemption

APS ASSET MANAGEMENT PTE LTD


Portfolio Manager

AQR CAPITAL MANAGEMENT, LLC


Exempt Market Dealer

International Investment Fund Manager - Exemption

ARC FINANCIAL CORP.


Exempt Market Dealer

ARES MANAGEMENT UK LIMITED


International Investment Fund Manager - Exemption

ARES REAL ESTATE MANAGEMENT HOLDINGS, LLC


International Investment Fund Manager - Exemption

ARGENTIERE CAPITAL AG.


International Investment Fund Manager - Exemption

ARGENTIERE CAPITAL LP


International Investment Fund Manager - Exemption

ARGOSY SECURITIES INC.


Investment Dealer

ARISTEIA CAPITAL, L.L.C.


International Investment Fund Manager - Exemption

ARMSTRONG SHAW ASSOCIATES INC.


Portfolio Manager

AROHI ASSET MANAGEMENT PTE. LTD.


Portfolio Manager

ARROW CAPITAL MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARROWSTREET CAPITAL GLOBAL EQUITY LONG/SHORT FEEDER FUND (FEEDER) LIMITED


International Investment Fund Manager - Exemption

ARROWSTREET CAPITAL, LIMITED PARTNERSHIP


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

ARROWSTREET MULTI-STRATEGY UMBRELLA PLC


International Investment Fund Manager - Exemption

ARTEMIS INVESTMENT MANAGEMENT LIMITED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARTISAN PARTNERS LIMITED PARTNERSHIP


International Investment Fund Manager - Exemption

ARTON INVESTMENTS


Investment Dealer

ASB CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

ASCEND CAPITAL LIMITED PARTNERSHIP


International Investment Fund Manager - Exemption

ASCEND CAPITAL, LLC


International Investment Fund Manager - Exemption

Portfolio Manager

ASCENDO FINANCIAL SOLUTIONS INC.


Exempt Market Dealer

ASCENTA FINANCE CORP.


Exempt Market Dealer

ASHMORE INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

ASIA ALTERNATIVES MANAGEMENT LLC


International Investment Fund Manager - Exemption

ASPECT CAPITAL LIMITED


International Investment Fund Manager - Exemption

ASSANTE CAPITAL MANAGEMENT LTD./GESTION DE CAPITAL ASSANTE LTEE


Investment Dealer

ASSANTE FINANCIAL MANAGEMENT LTD./GESTION FINANCIERE ASSANTE LTEE


Exempt Market Dealer

Mutual Fund Dealer

ASSF OPERATING MANAGER IV, L.P.


International Investment Fund Manager - Exemption

ASTENBECK CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

ASTON HILL ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ASTON HILL CAPITAL MARKETS INC.


Investment Fund Manager

Portfolio Manager

ASTON HILL SECURITIES INC.


Investment Dealer

ATALAYA CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

ATB INVESTMENT MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

ATB SECURITIES INC.


Investment Dealer

ATHYRIUM CAPITAL MANAGEMENT, LP


International Investment Fund Manager - Exemption

AURION CAPITAL MANAGEMENT INC. / GESTION DE PLACEMENTS AURION INC.


Investment Fund Manager

Portfolio Manager

AURORA INVESTMENT MANAGEMENT L.L.C.


International Investment Fund Manager - Exemption

AUSPICE CAPITAL ADVISORS LTD.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC.


Commodity Trading Manager

Portfolio Manager

AUTONOMY CAPITAL (JERSEY) L.P.


International Investment Fund Manager - Exemption

AVENTINE MANAGEMENT GROUP INC.


Investment Fund Manager

Portfolio Manager

AVENUE ENERGY OPPORTUNITIES PARTNERS, LLC


International Investment Fund Manager - Exemption

AVENUE INVESTMENT MANAGEMENT INC.


Portfolio Manager

AVIVA INVESTORS CANADA INC.


Exempt Market Dealer

Portfolio Manager

AXA REAL ESTATE INVESTMENT MANAGERS SGP.


International Investment Fund Manager - Exemption

AXCESS CAPITAL ADVISORS INC.


Exempt Market Dealer

AXEMEN RESOURCE CAPITAL LTD.


Exempt Market Dealer

AXIOM INTERNATIONAL INVESTORS LLC


International Investment Fund Manager - Exemption

AXONIC CAPITAL LLC


International Investment Fund Manager - Exemption

AYAL CAPITAL ADVISORS LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

B.A.F. CAPITAL MANAGEMENT INC.


Restricted Portfolio Manager

B.E.S.T. INVESTMENT COUNSEL LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

B.S.P. FUNDS CANADA INC.


Exempt Market Dealer

B2B BANK FINANCIAL SERVICES INC./B2B BANQUE SERVICES FINANCIERS INC.


Exempt Market Dealer

Mutual Fund Dealer

B2B BANK SECURITIES SERVICES INC. / B2B BANQUE SERVICES DE VALEURS MOBILIERES INC.


Investment Dealer

BAILLIE GIFFORD & CO LIMITED


International Investment Fund Manager - Exemption

Portfolio Manager

BAILLIE GIFFORD OVERSEAS LIMITED


International Investment Fund Manager - Exemption

Portfolio Manager

BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC.


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

BALLAST HEALTHCARE PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BALYASNY ASSET MANAGEMENT L.P.


International Investment Fund Manager - Exemption

BANQUE NATIONALE INVESTISSEMENTS INC./NATIONAL BANK INVESTMENTS INC.


Investment Fund Manager

Mutual Fund Dealer

BANWELL FINANCIAL INC.


Exempt Market Dealer

Mutual Fund Dealer

BARCLAYS CAPITAL CANADA INC.


Investment Dealer

BARING INTERNATIONAL INVESTMENT LIMITED


Portfolio Manager

BARING NORTH AMERICA LLC


Exempt Market Dealer

Investment Fund Manager

BAROMETER CAPITAL MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BARRAGE CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BARRANTAGH INVESTMENT MANAGEMENT INC.


Portfolio Manager

BASKIN FINANCIAL SERVICES INC.


Portfolio Manager

BAYFRONT CAPITAL PARTNERS LTD.


Exempt Market Dealer

BAYVIEW FUND MANAGEMENT, LLC.


International Investment Fund Manager - Exemption

BBS SECURITIES INC


Investment Dealer

BCV ASSET MANAGEMENT INC.


Portfolio Manager

BDCM OPPORTUNITY FUND IV ADVISER, L.L.C.


International Investment Fund Manager - Exemption

BEACON SECURITIES LIMITED/VALEURS MOBILIERES BEACON LTEE


Investment Dealer

BECKSLEY CAPITAL INC. / CAPITAL BECKSLEY INC.


Exempt Market Dealer

BELCO PRIVATE CAPITAL INC.


Exempt Market Dealer

BELLOTTI CAPITAL PARTNERS INC.


Exempt Market Dealer

BELLWETHER INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BENEFIT STREET PARTNERS LLC


International Investment Fund Manager - Exemption

BER TOV CAPITAL CORPORATION


Exempt Market Dealer

BERINGER CAPITAL PARTNERS LTD.


Exempt Market Dealer

BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE.


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

BIMCOR INC.


Investment Fund Manager

Portfolio Manager

BIOENTERPRISE CORPORATION


Exempt Market Dealer

BIRCHLEAF INVESTMENTS INC.


Investment Fund Manager

Portfolio Manager

BITTERROOT CAPITAL ADVISORS, LLC


Portfolio Manager

BKC CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACK CREEK INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACK RIVER ASSET MANAGEMENT LLC


International Investment Fund Manager - Exemption

BLACK SWAN DEXTERITAS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACKBRIDGE CAPITAL MANAGEMENT CORP.


Exempt Market Dealer

Investment Fund Manager

BLACKHEATH FUND MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

BLACKROCK (LUXEMBOURG) S.A.


International Investment Fund Manager - Exemption

BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACKROCK ASSET MANAGEMENT IRELAND LIMITED


International Investment Fund Manager - Exemption

BLACKROCK CAPITAL MANAGEMENT, INC.


International Investment Fund Manager - Exemption

BLACKROCK FINANCIAL MANAGEMENT, INC.


International Investment Fund Manager - Exemption

BLACKROCK FUND MANAGERS LIMITED


International Investment Fund Manager - Exemption

BLACKROCK INSTITUTIONAL TRUST COMPANY, NATIONAL ASSOCIATION


International Investment Fund Manager - Exemption

BLACKROCK INVESTMENT MANAGEMENT, LLC


International Investment Fund Manager - Exemption

BLACKSTONE ALTERNATIVE ASSET MANAGEMENT L.P.


International Investment Fund Manager - Exemption

BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C.


International Investment Fund Manager - Exemption

BLACKSTONE STRATEGIC ALLIANCE ADVISORS LLC.


International Investment Fund Manager - Exemption

BLACKSTONE TOTAL ALTERNATIVES SOLUTION ADVISORS LLC


International Investment Fund Manager - Exemption

BLAIR FRANKLIN CAPITAL PARTNERS INC.


Exempt Market Dealer

BLAKENEY GENERAL PARTNERS IV LIMITED


International Investment Fund Manager - Exemption

BLENHEIM FUND MANAGEMENT, LLC


International Investment Fund Manager - Exemption

BLOOM BURTON & CO. LIMITED


Investment Dealer

BLOOM INVESTMENT COUNSEL, INC.


Investment Fund Manager

Portfolio Manager

BLOOM TREE (GP), LLC


International Investment Fund Manager - Exemption

BLOOM TREE PARTNERS, LLC


International Investment Fund Manager - Exemption

BLOOMBERG TRADEBOOK CANADA COMPANY


Futures Commission Merchant

Investment Dealer

BLOOMBERGSEN INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLUE RIBBON FUND MANAGEMENT LTD.


Investment Fund Manager

BLUEBAY ASSET MANAGEMENT LLP


International Investment Fund Manager - Exemption

BLUEBAY DIRECT LENDING FUND I GENERAL PARTNER LIMITED


International Investment Fund Manager - Exemption

BLUEBAY FUNDS MANAGEMENT COMPANY S.A.


International Investment Fund Manager - Exemption

BLUECREST CAPITAL INTERNATIONAL LIMITED


International Investment Fund Manager - Exemption

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


Commodity Trading Manager

Portfolio Manager

BLUEMATRIX LIMITED


International Investment Fund Manager - Exemption

BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

BLUENOSE INVESTMENT MANAGEMENT INC.


Portfolio Manager

BLUETREND FUND LIMITED


International Investment Fund Manager - Exemption

BLUEWATER INVESTMENT MANAGEMENT INC.


Portfolio Manager

BMG FINANCIAL SERVICES CORP.


Exempt Market Dealer

BMO ASSET MANAGEMENT CORP.


Commodity Trading Manager

Portfolio Manager

BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BMO HARRIS FINANCIAL ADVISORS, INC.


Portfolio Manager

BMO INVESTMENTS INC./BMO INVESTISSEMENTS INC.


Investment Fund Manager

Mutual Fund Dealer

BMO INVESTORLINE INC./BMO LIGNE D'ACTION INC.


Investment Dealer

BMO NESBITT BURNS INC.


Futures Commission Merchant

Investment Dealer

Investment Fund Manager

BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC.


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.


Investment Dealer

BNP PARIBAS INVESTMENT PARTNERS CANADA LTD.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BNY MELLON ASSET MANAGEMENT CANADA LTD.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD.


International Investment Fund Manager - Exemption

BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BOFA ADVISORS, LLC


International Investment Fund Manager - Exemption

BOLTON CAPITAL CANADA INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BOWMONT CAPITAL AND ADVISORY LTD.


Exempt Market Dealer

BRACEBRIDGE CAPITAL, LLC


International Investment Fund Manager - Exemption

BRANDES INVESTMENT PARTNERS & CO.


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRANT SECURITIES LIMITED


Investment Dealer

BRETON HILL CAPITAL LTD.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BREVAN HOWARD CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

BRICKBURN ASSET MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

BRIDGEPORT ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRIDGEWATER ASSOCIATES, LP


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

BRIDGING FINANCE INC.


Exempt Market Dealer

Restricted Portfolio Manager

BRIGADE CAPITAL MANAGEMENT, LP


International Investment Fund Manager - Exemption

BRISTOL GATE CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROAD STREET REAL ESTATE CREDIT PARTNERS II GP. L.L.C.


International Investment Fund Manager - Exemption

BROADVIEW CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROMPTON FUNDS LIMITED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOK CAPITAL CORPORATION


Exempt Market Dealer

BROOKFIELD FINANCIAL CORP./CORP. BROOKFIELD FINANCIER


Investment Dealer

BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOKFIELD INVESTMENT MANAGEMENT INC.


Commodity Trading Manager

Portfolio Manager

BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX BROOKFIELD SOUNDVEST LTEE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOKVEST CAPITAL CORPORATION


Exempt Market Dealer

BSM CAPITAL CORPORATION


Exempt Market Dealer

BT CROISSANCE GLOBALE / BT GLOBAL GROWTH INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BTG PACTUAL GLOBAL ASSET MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

BUILDERS CAPITAL MANAGEMENT CORP.


Exempt Market Dealer

BULL CAPITAL MANAGEMENT INC./ GESTION DE CAPITAUX BULL INC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BULLION MANAGEMENT SERVICES INC.


Investment Fund Manager

BULLION MARKETING SERVICES INC.


Exempt Market Dealer

BURGEONVEST BICK SECURITIES LIMITED / VALEURS MOBILIERES BURGEONVEST BICK


Investment Dealer

Investment Fund Manager

BURGUNDY ASSET MANAGEMENT LTD./GESTION D'ACTIFS BURGUNDY LTEE


Investment Fund Manager

Portfolio Manager

BURLINGTON CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BUSH ASSOCIES LTEE / BUSH ASSOCIATES LTD


Portfolio Manager

C.A. DELANEY CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

C.S.T. CONSULTANTS INC./CONSULTANTS C.S.T. INC.


Investment Fund Manager

Scholarship Plan Dealer

CADIAN CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

CADO INVESTMENT FUND MANAGEMENT INC.


Investment Fund Manager

CAIRN CAPITAL LIMITED


International Investment Fund Manager - Exemption

CALAMOS ADVISORS LLC


International Investment Fund Manager - Exemption

CALDWELL INVESTMENT MANAGEMENT LTD.


Investment Fund Manager

Portfolio Manager

CALDWELL SECURITIES LTD.


Investment Dealer

CALEDON CAPITAL MANAGEMENT INC.


Portfolio Manager

CALLIDUS CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

CALROSSIE INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMARES CAPITAL LLP


International Investment Fund Manager - Exemption

CAMBRIDGE ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMBRIDGE ASSOCIATES LIMITED, LLC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMERON STEPHENS SECURITIES LTD.


Exempt Market Dealer

CAMPBELL & COMPANY, LP


International Investment Fund Manager - Exemption

CAMPBELL, LEE & ROSS INVESTMENT MANAGEMENT INC.


Portfolio Manager

CANACCORD ASSET MANAGEMENT INC./CANACCORD GESTION D'ACTIFS INC.


Exempt Market Dealer

CANACCORD GENUITY CORP./CORPORATION CANACCORD GENUITY


Investment Dealer

CANADIAN IMPERIAL BANK OF COMMERCE


International Investment Fund Manager - Exemption

CANADIAN RESOURCES CAPITAL CORPORATION


Exempt Market Dealer

CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC.


Investment Dealer

CANDEAL.CA INC


Investment Dealer

CANDOR FINANCIAL GROUP INC.


Mutual Fund Dealer

CANFIN MAGELLAN INVESTMENTS INC.


Exempt Market Dealer

Mutual Fund Dealer

CANOE FINANCIAL LP


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CANOSA CAPITAL LLP


International Investment Fund Manager - Exemption

CANSO FUND MANAGEMENT LTD.


Investment Fund Manager

CANSO INVESTMENT COUNSEL LTD.


Exempt Market Dealer

Portfolio Manager

CANTOR FITZGERALD CANADA CORPORATION


Investment Dealer

CANYON CAPITAL ADVISORS LLC.


International Investment Fund Manager - Exemption

CAPEVIEW CAPITAL LLP


International Investment Fund Manager - Exemption

CAPITA FINANCIAL MANAGERS (IRELAND) LIMITED


International Investment Fund Manager - Exemption

CAPITAL CANADA LIMITED


Exempt Market Dealer

CAPITAL CCFL S.E.N.C.


Exempt Market Dealer

CAPITAL FUND MANAGEMENT SA


International Investment Fund Manager - Exemption

CAPITAL GUARDIAN TRUST COMPANY


International Investment Fund Manager - Exemption

CAPITAL INSIGHT PARTNERS,LLC


Portfolio Manager

CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA),INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAPITAL INTERNATIONAL MANAGEMENT COMPANY, SARL


International Investment Fund Manager - Exemption

CAPITAL INTERNATIONAL SARL


International Investment Fund Manager - Exemption

CAPITAL INTERNATIONAL, INC.


International Investment Fund Manager - Exemption

CAPSTONE INVESTMENT ADVISORS, LLC


International Investment Fund Manager - Exemption

CAPULA MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

CARDINAL CAPITAL MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

CARDINAL POINT CAPITAL MANAGEMENT INC.


Portfolio Manager

CARLISLE CAPITAL MORTGAGE CORPORATION


Exempt Market Dealer

CARLSON CAPITAL, L.P.


International Investment Fund Manager - Exemption

CARTE WEALTH MANAGEMENT INC.


Exempt Market Dealer

Mutual Fund Dealer

CASGRAIN & COMPAGNIE LIMITEE / CASGRAIN & COMPANY LIMITED


Investment Dealer

CASSELS INVESTMENT MANAGEMENT INC.


Portfolio Manager

CASSIO CAPITAL PARTNERS INC.


Exempt Market Dealer

CASTELLUM CAPITAL MANAGEMENT INC.


Portfolio Manager

CASTLEMOORE INC.


Portfolio Manager

CATTERTON MANAGEMENT COMPANY, L.L.C.


International Investment Fund Manager - Exemption

CAXTON ASSOCIATES LP


International Investment Fund Manager - Exemption

CBRE GLOBAL INVESTMENT PARTNERS FUND SERIES S.A.R.L.


International Investment Fund Manager - Exemption

CEDAR ROCK CAPITAL LIMITED


International Investment Fund Manager - Exemption

CEDAR ROCK CAPITAL MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

CELERNUS INVESTMENT PARTNERS INC.


Investment Fund Manager

Portfolio Manager

CENTURION ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

CERTIKA INVESTMENTS LTD.


Mutual Fund Dealer

CERTUS WEALTH MANAGEMENT INC.


Portfolio Manager

CES SECURITIES CANADA ULC


Investment Dealer

CEVIAN CAPITAL LIMITED


International Investment Fund Manager - Exemption

CGOV ASSET MANAGEMENT


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CGS ASSET MANAGEMENT LTD.


Exempt Market Dealer

Restricted Portfolio Manager

CHALKSTREAM CAPITAL GROUP, L.P.


International Investment Fund Manager - Exemption

CHARLEMAGNE CAPITAL (IOM) LIMITED


International Investment Fund Manager - Exemption

CHARTIER CAPITAL MANAGEMENT INC.


Portfolio Manager

CHEYNE CAPITAL MANAGEMENT (UK) LLP


International Investment Fund Manager - Exemption

CHI-X CANADA ATS LIMITED


Investment Dealer

CHIEFSWOOD INVESTMENT MANAGEMENT INC.


Portfolio Manager

CHILDREN'S EDUCATION FUNDS INC./FONDS D'ETUDES POUR LES ENFANTS INC.


Investment Fund Manager

Scholarship Plan Dealer

CHILTON INVESTMENT COMPANY, LLC


International Investment Fund Manager - Exemption

CHIPPINGHAM FINANCIAL GROUP/GROUPE FINANCIER CHIPPINGHAM LIMITEE


Futures Commission Merchant

Investment Dealer

CHOU ASSOCIATES MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CHS ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CI INVESTMENTS INC.


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CI PRIVATE COUNSEL LP


Exempt Market Dealer

Portfolio Manager

CIBC ASSET MANAGEMENT INC./GESTION D'ACTIFS CIBC INC.


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

CIBC INVESTOR SERVICES INC./ SERVICES INVESTISSEURS CIBC INC.


Investment Dealer

CIBC MELLON TRUST COMPANY


International Investment Fund Manager - Exemption

CIBC SECURITIES INC./PLACEMENTS CIBC INC.


Mutual Fund Dealer

CIBC WORLD MARKETS INC./MARCHES MONDIAUX CIBC INC.


Futures Commission Merchant

Investment Dealer

CIDEL FINANCIAL GROUP INC./GROUPE FINANCIER CIDEL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CINAPORT CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CIT GROUP SECURITIES (CANADA) INC.


Investment Dealer

CITCO SECURITIES INC.


Exempt Market Dealer

CITI PRIVATE ADVISORY, LLC


International Investment Fund Manager - Exemption

CITIBANK CANADA INVESTMENT FUNDS LIMITED / FONDS D'INVESTISSEMENT DE CITIBANQUE CANADA


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

CITIGROUP GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX CITIGROUP CANADA INC.


Investment Dealer

CITY FINANCIAL INVESTMENT COMPANY (HONG KONG) LIMITED


International Investment Fund Manager - Exemption

CITY FINANCIAL INVESTMENT COMPANY LIMITED


International Investment Fund Manager - Exemption

CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED


Exempt Market Dealer

CLAIRWOOD CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLAREN ROAD ASSET MANAGEMENT, LLC


International Investment Fund Manager - Exemption

CLARESTE WEALTH MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLARUS SECURITIES INC / VALEURS MOBILIERES CLARUS INC.


Investment Dealer

CLEARWATER CAPITAL MANAGEMENT INC.


Portfolio Manager

CLIMATE CHANGE INFRASTRUCTURE MANAGEMENT INC.


Exempt Market Dealer

CMC MARKETS CANADA INC./ MARCHES CMC CANADA


Investment Dealer

CMDTY CAPITAL MANAGEMENT, LP


International Investment Fund Manager - Exemption

COCKFIELD PORRETTI CUNNINGHAM INVESTMENT COUNSEL INC.


Portfolio Manager

COERENTE CAPITAL MANAGEMENT INC./GESTION CAPITAL COERENTE INC.


Portfolio Manager

COLEFORD INVESTMENT MANAGEMENT LTD.


Investment Fund Manager

Portfolio Manager

COLLER INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

COLLINS BARROW TORONTO CORPORATE FINANCE INC.


Exempt Market Dealer

COLONIAL FIRST STATE MANAGED INFRASTRUCTURE LIMITED


International Investment Fund Manager - Exemption

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC


International Investment Fund Manager - Exemption

COMAC CAPITAL (CAYMAN) LIMITED


International Investment Fund Manager - Exemption

COMGEST ASSET MANAGEMENT INTERNATIONAL LIMITED


International Investment Fund Manager - Exemption

COMMONFUND ASSET MANAGEMENT COMPANY, INC.


International Investment Fund Manager - Exemption

Portfolio Manager

COMMONFUND CAPITAL, INC.


International Investment Fund Manager - Exemption

COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION


Investment Fund Manager

Restricted Dealer

Restricted Portfolio Manager

COMPAGNIE TIMBER HILL CANADA / TIMBER HILL CANADA COMPANY


Investment Dealer

CONDOR ASSET MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

CONNING INVESTMENT PRODUCTS, INC.


Portfolio Manager

CONNOR, CLARK & LUNN FUNDS INC.


Exempt Market Dealer

Investment Fund Manager

CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD.


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS GALLIANT S.E.C. / GALLIANT ADVISORS LP


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS MACRO SEPTENTRION INC. / SEPTENTRION MACRO ADVISORS INC.


Commodity Trading Manager

Portfolio Manager

CONSULTANTS EN GESTION DE PATRIMOINE BLUE BRIDGE INC. / BLUE BRIDGE WEALTH MANAGEMENT CONSULTANTS INC.


Portfolio Manager

CORBIN CAPITAL PARTNERS, L.P.


International Investment Fund Manager - Exemption

CORDIANT CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CORIEL CAPITAL INC.


Portfolio Manager

CORIOLIS CAPITAL LIMITED


Exempt Market Dealer

Portfolio Manager

CORMARK SECURITIES INC. / VALEURS MOBILIERES CORMARK INC.


Investment Dealer

CORNERSTONE ASSET MANAGEMENT L.P.


Exempt Market Dealer

CORONATION GLOBAL FUND MANAGERS (IRELAND) LIMITED


International Investment Fund Manager - Exemption

CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CORPORATION GESTION DE PLACEMENTS CLARET / CLARET ASSET MANAGEMENT CORPORATION


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

CORTLAND CREDIT GROUP INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COUGAR GLOBAL INVESTMENTS LIMITED


Portfolio Manager

COUNSEL PORTFOLIO SERVICES INC./SERVICES DE PORTEFEUILLE COUNSEL INC.


Investment Fund Manager

Portfolio Manager

COURTAGE DIRECT BANQUE NATIONALE INC./NATIONAL BANK DIRECT BROKERAGE INC.


Investment Dealer

COVENANT CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COVINGTON CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COWAN ASSET MANAGEMENT LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COXSWAIN ROW CAPITAL CORPORATION


Exempt Market Dealer

CQI CAPITAL MANAGEMENT L.P.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CRANSON CAPITAL SECURITIES INC.


Exempt Market Dealer

CREDENTIAL ASSET MANAGEMENT INC.


Mutual Fund Dealer

CREDENTIAL SECURITIES INC.


Investment Dealer

CREDIT SUISSE ASSET MANAGEMENT,LLC


International Investment Fund Manager - Exemption

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


Futures Commission Merchant

Investment Dealer

CREDIT SUISSE SECURITIES (EUROPE) LIMITED


Exempt Market Dealer

CRESCENT EUROPEAN SPECIALTY LOAN S.Ä R.I.


International Investment Fund Manager - Exemption

CRESTLINE MANAGEMENT, LP


International Investment Fund Manager - Exemption

CRESTRIDGE ASSET MANAGEMENT INC.


Portfolio Manager

CRIMSON CAPITAL INC.


Exempt Market Dealer

Portfolio Manager

CRITERION CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

CROSBIE & COMPANY INC.


Exempt Market Dealer

CROWN CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

CRUSADER ASSET MANAGEMENT INC.


Commodity Trading Manager

Portfolio Manager

CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CTI CAPITAL VALEURS MOBILIERES INC. / CTI CAPITAL SECURITIES INC.


Investment Dealer

CUDA MANAGEMENT CONSULTING INC.


Exempt Market Dealer

CUMBERLAND ASSOCIATES INVESTMENT COUNSEL INC.


Portfolio Manager

CUMBERLAND PRIVATE WEALTH MANAGEMENT INC./ CUMBERLAND, GESTION DE PATRIMOINE


Investment Dealer

Investment Fund Manager

CX PARTNERS PTE LTD


International Investment Fund Manager - Exemption

CYPRESS CAPITAL MANAGEMENT LTD.


Investment Fund Manager

Portfolio Manager

CYRUS CAPITAL PARTNERS, L.P.


International Investment Fund Manager - Exemption

CZECH ASSET MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

D & A LABRECQUE CAPITAL INC


Exempt Market Dealer

D.E. SHAW & CO., L.P.


International Investment Fund Manager - Exemption

D.E. SHAW ADVISER II, L.L.C.


International Investment Fund Manager - Exemption

D.E. SHAW ADVISER, L.L.C.,


International Investment Fund Manager - Exemption

D.E. SHAW COMPOSITE ADVISER, L.L.C


International Investment Fund Manager - Exemption

D.E. SHAW HELIANT ADVISER, L.L.C.


International Investment Fund Manager - Exemption

D.E. SHAW INVESTMENT MANAGEMENT, L.L.C.


International Investment Fund Manager - Exemption

D.E. SHAW MULTI-ASSET ADVISER, L.L.C.


International Investment Fund Manager - Exemption

D.E. SHAW RENEWABLE INVESTMENTS, L.L.C.


International Investment Fund Manager - Exemption

D.W.GOOD INVESTMENT COMPANY LIMITED


Mutual Fund Dealer

D&D SECURITIES INC./VALEURS MOBILIERES D&D


Investment Dealer

DAVIDSON KEMPNER CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

DAVINCI CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DAVIS-REA LTD./DAVIS-REA LTEE.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DE THOMAS FINANCIAL CORP.


Exempt Market Dealer

Mutual Fund Dealer

DEANS KNIGHT CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAL DEANS KNIGHT LTEE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELANO CAPITAL CORP.


Exempt Market Dealer

DELAWARE MANAGEMENT BUSINESS TRUST


International Investment Fund Manager - Exemption

DELBROOK CAPITAL ADVISORS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELOITTE CORPORATE FINANCE INC. / FINANCEMENT CORPORATIF DELOITTE INC.


Exempt Market Dealer

DELPHINA ASSET MANAGEMENT INC.


Portfolio Manager

DESAUTELS CAPITAL MANAGEMENT INC./GESTION DE CAPITAUX DESAUTELS INC.


Exempt Market Dealer

Investment Fund Manager

DESJARDINS CABINET DE SERVICES FINANCIERS INC./DESJARDINS FINANCIAL SERVICES FIRM INC.


Mutual Fund Dealer

DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DESJARDINS SECURITE FINANCIERE INVESTISSEMENTS INC./DESJARDINS FINANCIAL SECURITY INVESTMENTS INC.


Exempt Market Dealer

Mutual Fund Dealer

DESJARDINS SECURITIES INC./VALEURS MOBILIERES DESJARDINS INC.


Futures Commission Merchant

Investment Dealer

DESJARDINS SOCIETE DE PLACEMENT INC. / DESJARDINS INVESTMENTS INC.


Investment Fund Manager

DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED


International Investment Fund Manager - Exemption

DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (UK) LIMITED


International Investment Fund Manager - Exemption

DEUTSCHE BANK SECURITIES LIMITED/DEUTSCHE BANK VALEURS MOBILIERES LIMITEE


Investment Dealer

DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.


Portfolio Manager

DI TOMASSO GROUP INCORPORATED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIAM CAPITAL MARKETS INC.


Exempt Market Dealer

DICEMARK CAPITAL MARKETS INC.


Exempt Market Dealer

DIFFERENCE CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIMENSIONAL FUND ADVISORS CANADA ULC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIMENSIONAL FUND ADVISORS LP


International Investment Fund Manager - Exemption

DINAN MANAGEMENT, L.L.C.


International Investment Fund Manager - Exemption

DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION


Commodity Trading Adviser

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIXON MITCHELL INVESTMENT COUNSEL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DME CAPITAL MANAGEMENT, LP


International Investment Fund Manager - Exemption

DODGE & COX


International Investment Fund Manager - Exemption

DOHENY SECURITIES LIMITED


Mutual Fund Dealer

DOHERTY & ASSOCIATES LTD.


Exempt Market Dealer

Portfolio Manager

DOMINICE & CO - ASSET MANAGEMENT


International Investment Fund Manager - Exemption

DONRO FINANCIAL LTD.


Mutual Fund Dealer

DONVILLE KENT ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DORCHESTER WEALTH MANAGEMENT COMPANY


Investment Fund Manager

Portfolio Manager

DRADIS CAPITAL MANAGEMENT LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DRIEHAUS CAPITAL MANAGEMENT LLC


Portfolio Manager

DS ALTERNATIVE STRATEGIES INC.


Exempt Market Dealer

DSAM CAYMAN LP


International Investment Fund Manager - Exemption

DST OPPORTUNITIES ACCESS ADVISORS LLC


International Investment Fund Manager - Exemption

DUBEAU CAPITAL & CIE LTEE/DUBEAU CAPITAL & CO. LTD


Investment Dealer

DUNCAN ROSS ASSOCIATES LTD. / DUNCAN ROSS ASSOCIES LTEE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DUNDEE SECURITIES INC.


US Dealer with US Clients - Exemption

DUNDEE SECURITIES LTD./VALEURS MOBILIERES DUNDEE LTEE


Investment Dealer

DUROSE ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DYMON ASIA CAPITAL LTD.


International Investment Fund Manager - Exemption

DYNAMIC TREE ASSET MANAGEMENT AG


Exempt Market Dealer

Portfolio Manager

EACM ADVISORS LLC


International Investment Fund Manager - Exemption

EAST COAST FUND MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EAST WEST INVESTMENT MANAGEMENT CORPORATION


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EASTSPRING INVESTMENTS (SINGAPORE) LIMITED


International Investment Fund Manager - Exemption

ECLECTICA ASSET MANAGEMENT LLP


International Investment Fund Manager - Exemption

EDESIA ASSET MANAGEMENT B.V.


International Investment Fund Manager - Exemption

EDGECREST CAPITAL CORPORATION


Investment Dealer

EDGEHILL PARTNERS


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EDGEPOINT INVESTMENT GROUP INC. / GROUPE DE PLACEMENTS EDGEPOINT


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EDGEPOINT WEALTH MANAGEMENT INC.


Investment Fund Manager

EDINBURGH PARTNERS LIMITED


Portfolio Manager

EDUCATORS FINANCIAL GROUP INC.


Investment Fund Manager

Mutual Fund Dealer

EDWARD JONES


Investment Dealer

EFFISSIMO CAPITAL MANAGEMENT PTE LTD.


International Investment Fund Manager - Exemption

EJF CAPITAL LLC


International Investment Fund Manager - Exemption

EKATON WEALTH MANAGEMENT INC.


Exempt Market Dealer

ELECTRONIC TRANSACTION CLEARING CANADA, INC.


Investment Dealer

ELEMENTUM ADVISORS, LLC


International Investment Fund Manager - Exemption

ELLINGTON MANAGEMENT GROUP, L.L.C.


International Investment Fund Manager - Exemption

ELLIOTT INTERNATIONAL CAPITAL ADVISORS INC.


International Investment Fund Manager - Exemption

ELM PARK CAPITAL MANAGEMENT, LLC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EMD FINANCIAL INC. / LA FINANCIERE EMD INC.


Exempt Market Dealer

EMERGING EQUITIES INC.


Investment Dealer

EMERGING SOVEREIGN GROUP, LLC


International Investment Fund Manager - Exemption

EMPIRE LIFE INVESTMENTS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EMSO PARTNERS LIMITED


International Investment Fund Manager - Exemption

ENCASA FINANCIAL INC.


Investment Fund Manager

ENGINEERS GATE MANAGER LP


International Investment Fund Manager - Exemption

ENLIGHTENED PRIVATE CAPITAL INC.


Exempt Market Dealer

ENRICHED INVESTING INCORPORATED


Investment Fund Manager

Portfolio Manager

ENSIGN CAPITAL INC.


Exempt Market Dealer

ENTREPRISES GREG POMPEO INC.


Mutual Fund Dealer

ENTRUST FOCUS PARTNERS LP


Investment Fund Manager

Portfolio Manager

ENTRUST PARTNERS OFFSHORE LP


International Investment Fund Manager - Exemption

ENTRUST SECURITIES LLC


International Investment Fund Manager - Exemption

EOM MANAGEMENT LTD.


International Investment Fund Manager - Exemption

EOSPHOROS ASSET MANAGEMENT INCORPORATED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EPIC CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EPOCH INVESTMENT PARTNERS, INC.


Exempt Market Dealer

Portfolio Manager

EQT FUND MANAGEMENT SARL


International Investment Fund Manager - Exemption

EQT SERVICES (UK) LIMITED


International Investment Fund Manager - Exemption

EQUIGENESIS CORPORATION


Exempt Market Dealer

EQUILEND CANADA CORP.


Investment Dealer

EQUILIBRIUM CAPITAL MANAGEMENT INC. / GESTION DE CAPITAL EQUILIBRIUM


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EQUILIFE INVESTMENT MANAGEMENT INC.


Mutual Fund Dealer

Portfolio Manager

EQUINOX ASSET MANAGEMENT LLC


International Investment Fund Manager - Exemption

EQUINOX INVESTMENT MANAGEMENT LTD.


Portfolio Manager

EQUITY ASSOCIATES INC.


Exempt Market Dealer

Mutual Fund Dealer

ERNST & YOUNG ORENDA CORPORATE FINANCE INC./CONSEIL EN FINANCEMENT ERNST & YOUNG ORENDA INC.


Exempt Market Dealer

ETF CAPITAL MANAGEMENT


Portfolio Manager

ETON PARK CAPITAL MANAGEMENT L.P.


International Investment Fund Manager - Exemption

EURO PACIFIC CANADA INC.


Investment Dealer

EUROPA CAPITAL LIMITED LIABILITY PARTNERSHIP


International Investment Fund Manager - Exemption

EVANGELINE SECURITIES LIMITED


Mutual Fund Dealer

EVEREST FINANCIAL PLANNING INC.


Mutual Fund Dealer

EWING MORRIS & CO. INVESTMENT PARTNERS LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EXCALIBUR CAPITAL MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

EXCEL FUNDS MANAGEMENT INC.


Investment Fund Manager

EXCEL INVESTMENT COUNSEL INC.


Exempt Market Dealer

Portfolio Manager

EXIGENT CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

EXPONENT INVESTMENT MANAGEMENT INC.


Portfolio Manager

EXTRACT ADVISORS LLC


International Investment Fund Manager - Exemption

F & C INVESTMENT BUSINESS LIMITED


International Investment Fund Manager - Exemption

F.W. THOMPSON CO. LIMITED


Portfolio Manager

F&C MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

FADINE SECURITIES INC.


Exempt Market Dealer

FAIRBANK INVESTMENT MANAGEMENT LIMITED.


Investment Fund Manager

Portfolio Manager

FAIRCOURT ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FALCON ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FEDERAL WAY ASSET MANAGEMENT LP


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FERMAT CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

FI CAPITAL LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIDELIS INSURANCE HOLDINGS LIMITED


International Investment Fund Manager - Exemption

FIDELITY CLEARING CANADA ULC / COMPENSATION FIDELITY CANADA


Futures Commission Merchant

Investment Dealer

FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA


Commodity Trading Manager

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

FIDUCIARY TRUST COMPANY OF CANADA


Commodity Trading Manager

Portfolio Manager

FIELD STREET CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

FIELDHOUSE CAPITAL MANAGEMENT INC.


Commodity Trading Manager

Portfolio Manager

FIERA CAPITAL FUNDS INC./FONDS FIERA CAPITAL INC.


Mutual Fund Dealer

FIG LLC


International Investment Fund Manager - Exemption

FIN-XO VALEURS MOBILIERES INC. / FIN-XO SECURITIES INC.


Investment Dealer

FINANCIAL DECISIONS INC.


Mutual Fund Dealer

FINANCIERE DES PROFESSIONNELS - FONDS D'INVESTISSEMENT INC./PROFESSIONALS' FINANCIAL - MUTUAL FUNDS INC.


Investment Fund Manager

FINANCIERE DES PROFESSIONNELS GESTION PRIVEE INC. / PROFESSIONALS' FINANCIAL - PRIVATE MANAGEMENT INC.


Investment Dealer

FIR TREE INC.


International Investment Fund Manager - Exemption

FIRM CAPITAL SECURITIES CORP.


Exempt Market Dealer

FIRST AFFILIATED SECURITIES INC.


Exempt Market Dealer

Mutual Fund Dealer

FIRST ASSET INVESTMENT MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIRST CANADIAN PROPERTY INVESTMENTS LTD.


Exempt Market Dealer

FIRST EAGLE INVESTMENT MANAGEMENT, LLC


International Investment Fund Manager - Exemption

FIRST RELIANCE ASSET MANAGEMENT INC.


Exempt Market Dealer

FIRST REPUBLIC CAPITAL CORPORATION


Exempt Market Dealer

FIRST RESOURCE CAPITAL CORP.


Exempt Market Dealer

FIRST STATE INVESTMENTS INTERNATIONAL LIMITED


International Investment Fund Manager - Exemption

FIRST TRUST ADVISORS L.P.


Portfolio Manager

FIRSTENERGY CAPITAL CORP. / CORPORATION FIRSTENERGY CAPITAL


Investment Dealer

FISGARD ASSET MANAGEMENT CORPORATION


Exempt Market Dealer

FISHER ASSET MANAGEMENT, LLC


International Investment Fund Manager - Exemption

Portfolio Manager

FIT PRIVATE INVESTMENT COUNSEL INC.


Exempt Market Dealer

Portfolio Manager

FLAG CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

FOCUS ASSET MANAGEMENT LTD.


Investment Fund Manager

Portfolio Manager

FOREMOST FINANCIAL CORPORATION


Exempt Market Dealer

FORGE FIRST ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FORMULA GROWTH LIMITED / FORMULA GROWTH, SOCIETE LIMITEE


Exempt Market Dealer

Investment Fund Manager

FORSTAR CAPITAL LIMITED


Exempt Market Dealer

FOSTER & ASSOCIATES FINANCIAL SERVICES INC./ SERVICES FINANCIERS FOSTER & ASSOCIES


Investment Dealer

FOUNDATION MARKETS INC.


Exempt Market Dealer

FOX COLLINS SECURITIES INC.


Exempt Market Dealer

FOYSTON, GORDON & PAYNE INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

FREE THINK CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

FREEDOM INTERNATIONAL BROKERAGE COMPANY


Exempt Market Dealer

FRIEDBERG ADVISORS LP


Portfolio Manager

FRIEDBERG MERCANTILE GROUP LTD. / GROUPE FRIEDBERG MERCANTILE


Futures Commission Merchant

Investment Dealer

FRIGATE VENTURES LP


Investment Fund Manager

FRONT STREET CAPITAL 2004


Investment Fund Manager

FRONT STREET INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

FRONTFOUR CAPITAL CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRONTWATER CAPITAL INC.


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

FT PORTFOLIOS CANADA CO./SOCIETE DE GESTION DE PORTEFEUILLES FT CANADA


Investment Fund Manager

Mutual Fund Dealer

FTC INVESTOR SERVICES INC. / SERVICES AUX INVESTISSEURS FTC INC.


Mutual Fund Dealer

FULCRA ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FULL CYCLE ENERGY INVESTMENT MANAGEMENT LIMITED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FULLER & THALER ASSET MANAGEMENT, INC.


International Investment Fund Manager - Exemption

FUNDEX INVESTMENTS INC.


Exempt Market Dealer

Mutual Fund Dealer

FUNDS DIRECT CANADA INC.


Mutual Fund Dealer

GABELLI FUNDS LLC


International Investment Fund Manager - Exemption

GABELLI SECURITIES, INC.


International Investment Fund Manager - Exemption

GAIN CAPITAL - FOREX.COM CANADA LTD.


Investment Dealer

GALIBIER CAPITAL MANAGEMENT LTD.


Investment Fund Manager

Portfolio Manager

GALILEO GLOBAL EQUITY ADVISORS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GARIBALDI CAPITAL ADVISORS LTD.


Exempt Market Dealer

GARY KLEIN CONSULTING


US Adviser with US Clients - Exemption

GÁVEA INVESTIMENTOS LTDA


International Investment Fund Manager - Exemption

GCM CUSTOMIZED FUND INVESTMENT GROUP, L.P.


International Investment Fund Manager - Exemption

GE ASSET MANAGEMENT CANADA COMPANY / SOCIETE DE GESTION DE PLACEMENTS GE CANADA


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GE ASSET MANAGEMENT INCORPORATED


International Investment Fund Manager - Exemption

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


Exempt Market Dealer

GEMINI ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GENERAL MOTORS INVESTMENT MANAGEMENT CORPORATION


Portfolio Manager

GENERATION CAPITAL MANAGEMENT INC.


Portfolio Manager

GENERATION INVESTMENT MANAGEMENT LLP


International Investment Fund Manager - Exemption

GENERIC CAPITAL CORPORATION


Exempt Market Dealer

GENFUND MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GENOVA PRIVATE MANAGEMENT INC.


Portfolio Manager

GENUS CAPITAL MANAGEMENT INC. / GESTION DE FONDS GENUS


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GEORGIAN CAPITAL PARTNERS CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION CRISTALLIN INC./CRYSTALLINE MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION D'ACTIFS LESTER INC. / LESTER ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION D'ACTIFS NOMURA USA INC. / NOMURA ASSET MANAGEMENT U.S.A. INC.


International Investment Fund Manager - Exemption

Portfolio Manager

GESTION D'ACTIFS SECTORIELS INC. / SECTORAL ASSET MANAGEMENT INC.


Exempt Market Dealer

GESTION DE CAPITAUX ROTHENBERG INC. / ROTHENBERG CAPITAL MANAGEMENT INC.


Investment Dealer

GESTION DE FONDS O'LEARY, S.E.C. / O'LEARY FUNDS MANAGEMENT LP


Investment Fund Manager

GESTION DE PLACEMENTS ETERNA INC./ETERNA INVESTMENT MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

GESTION DE PLACEMENTS HELENE DION INC./HELENE DION INVESTMENT MANAGEMENT INC.


Portfolio Manager

GESTION DE PORTEFEUILLE LANDRY INC.


Investment Fund Manager

Portfolio Manager

GESTION DE PORTEFEUILLE TRIASIMA INC./TRIASIMA PORTFOLIO MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION FERIQUE


Investment Fund Manager

Portfolio Manager

GESTION HNB-ANCHOR PLACEMENT INC. / HNB-ANCHOR INVESTMENT MANAGEMENT INC.


Portfolio Manager

GESTION PALOS INC. / PALOS MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION PEMBROKE LTEE / PEMBROKE MANAGEMENT LTD.


Portfolio Manager

GESTION PLACEMENTS DESJARDINS INC./DESJARDINS INVESTMENT MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

GESTION PRIVEE DE PLACEMENT PEMBROKE LTEE/PEMBROKE PRIVATE WEALTH MANAGEMENT LTD.


Investment Fund Manager

Mutual Fund Dealer

GFI INVESTMENT COUNSEL LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GILDER GAGNON HOWE & CO. LLC/GILDER HOWE ET CIE


Portfolio Manager

GILLFORD CAPITAL INC.


Exempt Market Dealer

GIVERNY CAPITAL INC.


Portfolio Manager

GLC ASSET MANAGEMENT GROUP LTD. / GLC GROUPE DE GESTION D'ACTIFS LTEE.


Portfolio Manager

GLENVIEW CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

GLG PARTNERS LP


International Investment Fund Manager - Exemption

GLOBAL ALPHA CAPITAL MANAGEMENT LTD. / GESTION D'ACTIFS GLOBAL ALPHA LTEE


Investment Fund Manager

Portfolio Manager

GLOBAL GROWTH ASSETS INC./LES ACTIFS DE CROISSANCE GLOBAL INC.


Investment Fund Manager

GLOBAL MAXFIN CAPITAL INC. / MAXFIN CAPITAUX GLOBAL


Investment Dealer

GLOBAL MAXFIN INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC.


Exempt Market Dealer

Mutual Fund Dealer

Scholarship Plan Dealer

GLOBAL RESP CORPORATION/CORPORATION REEE GLOBAL


Scholarship Plan Dealer

GLOBAL SECURITIES CORPORATION / SOCIETE DE VALEURS GLOBAL INC.


Futures Commission Merchant

Investment Dealer

GLOBAL WEALTH BUILDERS LTD.


Investment Fund Manager

Portfolio Manager

GLOBEFLEX CAPITAL, LP


International Investment Fund Manager - Exemption

Portfolio Manager

GLOBEINVEST CAPITAL MANAGEMENT INC.


Portfolio Manager

GLOBEVEST CAPITAL LTEE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GLUSKIN SHEFF + ASSOCIATES INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GMG PRIVATE COUNSEL INC./SERVICES-CONSEILS PRIVE GMG INC.


Exempt Market Dealer

Portfolio Manager

GMO CANADA LLC / GMO CANADA S.R.L.


Exempt Market Dealer

GMO EUROPE L.L.C.


International Investment Fund Manager - Exemption

GMP SECURITIES L.P./ GMP VALEURS MOBILIERES S.E.C.


Investment Dealer

GMP SECURITIES, LLC


Exempt Market Dealer

GOLD INVESTMENT MANAGEMENT LTD.


Portfolio Manager

GOLDENTREE ASSET MANAGEMENT, LP


International Investment Fund Manager - Exemption

GOLDENWISE CAPITAL MANAGEMENT INC.


Commodity Trading Manager

Portfolio Manager

GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL


International Investment Fund Manager - Exemption

GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

GOLDMAN SACHS CANADA INC.


Investment Dealer

GOLDMAN SACHS HEDGE FUND STRATEGIES LLC


International Investment Fund Manager - Exemption

GOLDPOINT PARTNERS CANADA GENPAR INC.


Investment Fund Manager

GOLDPOINT PARTNERS LLC


International Investment Fund Manager - Exemption

GOLDSTEIN FINANCIAL INVESTMENTS INC.


Mutual Fund Dealer

GOODMAN & COMPANY, INVESTMENT COUNSEL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GOODREID INVESTMENT COUNSEL CORP./CONSEILLERS EN PLACEMENT GOODREID CORP.


Portfolio Manager

GOODWOOD INC.


Investment Dealer

Investment Fund Manager

GOTTEX FUND MANAGEMENT SARL


International Investment Fund Manager - Exemption

GP WEALTH MANAGEMENT CORPORATION


Exempt Market Dealer

Mutual Fund Dealer

GRACORP CAPITAL ADVISORS LTD.


Exempt Market Dealer

GRAFTON ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

GRANT THORNTON CORPORATE FINANCE INC.


Exempt Market Dealer

GRANTHAM, MAYO, VAN OTTERLOO & CO. LLC


International Investment Fund Manager - Exemption

GRATICULE ASIA MACRO ADVISORS LLC


International Investment Fund Manager - Exemption

GRAYLIE MANAGEMENT LIMITED


Portfolio Manager

GREAT PACIFIC MORTGAGE & INVESTMENTS LTD.


Exempt Market Dealer

GREENBANK FINANCIAL INC.


Exempt Market Dealer

GREENCHIP FINANCIAL CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENLEAF GROUP INC.


Exempt Market Dealer

GREENLIGHT CAPITAL, INC.


International Investment Fund Manager - Exemption

GREENLIGHT MASTERS, LLC


International Investment Fund Manager - Exemption

GREENROCK CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENSKEEPER ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENSKY CAPITAL INC.


Exempt Market Dealer

GREYBROOK SECURITIES INC.


Exempt Market Dealer

GREYPOINT CAPITAL INC.


Exempt Market Dealer

Restricted Portfolio Manager

GREYSTONE MANAGED INVESTMENTS INC./ GESTION DE PLACEMENTS GREYSTONE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREYWOLF CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

GRIFFITHS MCBURNEY CORP.


US Dealer with US Clients - Exemption

GROSS SECURITIES CORP.


Exempt Market Dealer

GROSVENOR CAPITAL MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

GROSVENOR INVESTMENT MANAGEMENT LTD


International Investment Fund Manager - Exemption

GROUNDLAYER CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GROUPE CLOUTIER INVESTISSEMENTS INC.


Mutual Fund Dealer

GROWTH WORKS CAPITAL LTD.


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

GROWTHQUEST CAPITAL INC.


Portfolio Manager

GRYPHON CAPITAL CORPORATION/CORPORATION GRYPHON CAPITAL


Exempt Market Dealer

GRYPHON INTERNATIONAL INVESTMENT CORPORATION/CORPORATION PLACEMENT GRYPHON INTERNATIONAL


Investment Fund Manager

Portfolio Manager

GRYPHON INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS GRYPHON INC.


Investment Fund Manager

Portfolio Manager

GS INVESTMENT STRATEGIES, LLC


International Investment Fund Manager - Exemption

GSA CAPITAL LTD.


International Investment Fund Manager - Exemption

GSO CAPITAL PARTNERS LP


International Investment Fund Manager - Exemption

GSO ENERGY PRIVATE INVESTORS GP, LTD.


International Investment Fund Manager - Exemption

GUARDIAN CAPITAL ADVISORS LP


Exempt Market Dealer

Portfolio Manager

GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GUARDIAN CAPITAL MANAGEMENT LP


Exempt Market Dealer

Portfolio Manager

GUARDIAN ETHICAL MANAGEMENT INC.


Investment Fund Manager

GUGGENHEIM FUND SOLUTIONS, LLC


International Investment Fund Manager - Exemption

GYRUS INVESTMENT MANAGEMENT INC.


Portfolio Manager

H & H SECURITIES LIMITED


Exempt Market Dealer

HAHN INVESTMENT STEWARDS & COMPANY INC.


Portfolio Manager

HAMBLIN WATSA INVESTMENT COUNSEL LTD.


Portfolio Manager

HAMILTON CAPITAL PARTNERS INC. / PARTENAIRES HAMILTON CAPITAL


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HAMILTON LANE ADVISORS, L.L.C.


International Investment Fund Manager - Exemption

HAMPTON SECURITIES LIMITED


Investment Dealer

HANBURY MANAGEMENT LTD.


Exempt Market Dealer

HANOVER PRIVATE CLIENT CORPORATION / CORPORATION HANOVER CLIENTELE PRIVEE


Portfolio Manager

HANSBERGER GROWTH INVESTORS, LP


Portfolio Manager

HARBOUREDGE ASSET MANAGEMENT CORPORATION


Exempt Market Dealer

HARBOURFRONT WEALTH MANAGEMENT INC.


Investment Dealer

HARBOURVEST PARTNERS (CANADA) LIMITED


Exempt Market Dealer

Portfolio Manager

HARBOURVEST PARTNERS L.P.


International Investment Fund Manager - Exemption

HARDING LOEVNER FUNDS PLC


International Investment Fund Manager - Exemption

HARRINGTON MACMILLAN FUND MANAGEMENT LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HARRIS, BOLDUC & ASSOCIES INC./HARRIS BOLDUC & ASSOCIATES INC.


Portfolio Manager

HARVEST PORTFOLIOS GROUP INC.


Investment Fund Manager

Portfolio Manager

HAYMAN CAPITAL MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

HAYWOOD SECURITIES (USA) INC.


US Dealer with US Clients - Exemption

HAYWOOD SECURITIES INC. / VALEURS MOBILIERES HAYWOOD INC.


Investment Dealer

HBK INVESTMENTS L.P.


International Investment Fund Manager - Exemption

HEADSAIL WEALTH MANAGEMENT INCORPORATED


Portfolio Manager

HEATHBRIDGE CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HEMISPHERE CAPITAL MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED


International Investment Fund Manager - Exemption

HENLEY CAPITAL CORPORATION


Exempt Market Dealer

Portfolio Manager

HERITAGE EDUCATION FUNDS INC./FONDS D'EDUCATION HERITAGE INC.


Investment Fund Manager

Scholarship Plan Dealer

HERRING CREEK CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

HEXAVEST INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HGC INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGGINS INVESTMENT GROUP INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGH ROCK CAPITAL MANAGEMENT INC.


Portfolio Manager

HIGHBRIDGE CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

HIGHBRIDGE PRINCIPAL STRATEGIES, LLC


International Investment Fund Manager - Exemption

HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGHVIEW ASSET MANAGEMENT LTD.


Portfolio Manager

HIGHWATER CAPITAL MANAGEMENT CORP.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HILLSDALE INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HL EMD LLC


Exempt Market Dealer

HMW CAPITAL INC.


Exempt Market Dealer

HNW MANAGEMENT INC. / MANAGEMENT HNW


Portfolio Manager

HOISINGTON INVESTMENT MANAGEMENT COMPANY


Restricted Portfolio Manager

HOLLISWEALTH ADVISORY SERVICES INC. / SERVICES FINANCIERS PATRIMOINE HOLLIS INC.


Exempt Market Dealer

Mutual Fund Dealer

HOPLITE CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

HORIZON 360° ET ASSOCIES INC.


Portfolio Manager

HORIZONONE ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HORIZONS ETFS MANAGEMENT (CANADA) INC.


Commodity Trading Adviser

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HORIZONS ETFS MANAGEMENT (USA) LLC


International Investment Fund Manager - Exemption

HOTTINGER ASSET MANAGEMENT CANADA INC.


Exempt Market Dealer

Portfolio Manager

HOWARD, BARCLAY & ASSOCIATES LTD.


Portfolio Manager

HOWELL INVESTMENT MANAGEMENT INC.


Portfolio Manager

HR STRATEGIES INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HRS LIQUID STRATEGIES LP


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

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


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HSBC GLOBAL ASSET MANAGEMENT (UK) LIMITED


International Investment Fund Manager - Exemption

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


Mutual Fund Dealer

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


Portfolio Manager

HSBC SECURITIES (CANADA) INC./ VALEURS MOBILIERES HSBC (CANADA) INC.


Investment Dealer

HUB CAPITAL INC. / CAPITAL HUB INC.


Exempt Market Dealer

Mutual Fund Dealer

HUDSON BAY CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

HUGHESLITTLE INVESTMENT MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HYMAS INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

I.A. MICHAEL INVESTMENT COUNSEL LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

I.G. INVESTMENT MANAGEMENT, LTD. / SOCIETE DE GESTION D'INVESTISSEMENT, I.G. LTEE


Investment Fund Manager

Portfolio Manager

IBK CAPITAL CORP.


Exempt Market Dealer

IBV CAPITAL LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ICE CANYON LLC


International Investment Fund Manager - Exemption

ICECAP ASSET MANAGEMENT LIMITED


Portfolio Manager

ICG ALTERNATIVE CREDIT LLC


International Investment Fund Manager - Exemption

ICG ALTERNATIVE INVESTMENT LIMITED


International Investment Fund Manager - Exemption

ICG FUND ADVISORS LLC


International Investment Fund Manager - Exemption

IFICI INC.


Exempt Market Dealer

IFM INVESTORS (US) ADVISOR, LLC


Exempt Market Dealer

Investment Fund Manager

IFM INVESTORS PTY. LTD


International Investment Fund Manager - Exemption

IGAN PARTNERS INC.


Exempt Market Dealer

IMC LIMITED PARTNERSHIP


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INDEPENDENT ACCOUNTANTS' INVESTMENT COUNSEL INC.


Portfolio Manager

INDEPENDENT FRANCHISE PARTNERS LLP


International Investment Fund Manager - Exemption

INDEPENDENT TRADING GROUP (ITG) INC.


Investment Dealer

INDEX WEALTH MANAGEMENT INC.


Portfolio Manager

INDUSTRIELLE ALLIANCE GESTION DE PLACEMENTS INC. / INDUSTRIAL ALLIANCE, INVESTMENT MANAGEMENT INC.


Commodity Trading Counsel

Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

INDUSTRIELLE ALLIANCE VALEURS MOBILIERES INC. / INDUSTRIAL ALLIANCE SECURITIES INC.


Investment Dealer

INFLECTION MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

INFOR FINANCIAL INC.


Investment Dealer

Investment Fund Manager

INNERKIP CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INNOCAP GLOBAL INVESTMENT MANAGEMENT LTD.


International Investment Fund Manager - Exemption

INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED


Commodity Trading Manager

International Investment Fund Manager - Exemption

INSTINET CANADA CROSS LIMITED


Investment Dealer

INSTINET CANADA LIMITED


Investment Dealer

INTACT INVESTMENT MANAGEMENT INC./INTACT GESTION DE PLACEMENTS INC.


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

INTEGRA CAPITAL LIMITED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INTEGRAL WEALTH SECURITIES LIMITED


Investment Dealer

INTEGRATED MANAGED FUTURES CORP.


Commodity Trading Manager

Exempt Market Dealer

INTEGRATED-EQUITIES INC.


Exempt Market Dealer

INTEGRO FUND GP LP


International Investment Fund Manager - Exemption

INTERACTIVE COURTAGE CANADA INC. / INTERACTIVE BROKERS CANADA INC.


Futures Commission Merchant

Investment Dealer

INTERMEDIATE CAPITAL GROUP (SINGAPORE) PTE LIMITED


International Investment Fund Manager - Exemption

INTERMEDIATE CAPITAL MANAGERS LIMITED


International Investment Fund Manager - Exemption

INTERNATIONAL CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Mutual Fund Dealer

INTERWARD ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INTRODUCTION CAPITAL INC.


Exempt Market Dealer

INTRYNSYC CAPITAL CORPORATION


Exempt Market Dealer

INUKSHUK CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INVERLOCHY CAPITAL LTD.


Portfolio Manager

INVESCAP SARL


Exempt Market Dealer

INVESCO CANADA LTD./INVESCO CANADA LTEE


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

INVESTAR INVESTMENT LTD.


Exempt Market Dealer

INVESTCORP INVESTMENT ADVISERS LIMITED


International Investment Fund Manager - Exemption

INVESTIA FINANCIAL SERVICES INC. / INVESTIA SERVICES FINANCIERS INC.


Exempt Market Dealer

Mutual Fund Dealer

INVESTISSEMENTS EXCEL INC.


Mutual Fund Dealer

INVESTMENT MANAGEMENT OF VIRGINIA, LLC


International Investment Fund Manager - Exemption

INVESTMENT STRATEGIES INC.


Exempt Market Dealer

Portfolio Manager

INVESTORS GROUP FINANCIAL SERVICES INC./ SERVICES FINANCIERS GROUPE INVESTORS INC.


Mutual Fund Dealer

INVESTORS GROUP SECURITIES INC./VALEURS MOBILIERES GROUPE INVESTORS INC.


Investment Dealer

INVICO CAPITAL CORPORATION


Investment Fund Manager

Portfolio Manager

INVISOR INVESTMENT MANAGEMENT INC.


Portfolio Manager

IPC INVESTMENT CORPORATION


Exempt Market Dealer

Mutual Fund Dealer

IPC SECURITIES CORPORATION / IPC VALEURS MOBILIERES


Investment Dealer

IPSOL CAPITAL INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IRIS ASSET MANAGEMENT LTD.


Portfolio Manager

ISAM (USA) LLC


International Investment Fund Manager - Exemption

ITG CANADA CORP.


Futures Commission Merchant

Investment Dealer

IVORY INVESTMENT MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

J ROTHSCHILD CAPITAL MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

J. PRIEST INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

J. ZECHNER ASSOCIATES INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

J.C. HOOD INVESTMENT COUNSEL INC.


Portfolio Manager

J.P. MORGAN CLEARING CORP.


Restricted Dealer

J.P. MORGAN INVESTMENT MANAGEMENT INC.


International Investment Fund Manager - Exemption

J.P. MORGAN SECURITIES CANADA INC. / J.P. MORGAN VALEURS MOBILIERES CANADA INC.


Investment Dealer

J.P. MORGAN SECURITIES LLC.


Restricted Dealer

JACOB SECURITIES INC.


Investment Dealer

JANUS CAPITAL MANAGEMENT LLC


Exempt Market Dealer

Portfolio Manager

JAPA INTERNATIONAL LIMITED


Portfolio Manager

JARISLOWSKY, FRASER LIMITEE / JARISLOWSKY, FRASER LIMITED


Investment Fund Manager

Portfolio Manager

JC CLARK INC.


Portfolio Manager

JC CLARK LTD. / JC CLARK LTEE


Investment Dealer

Investment Fund Manager

JCM VENTURE CAPITAL LTD.


Exempt Market Dealer

JDM INVESTMENT PARTNERS LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JGP GLOBAL GESTÃO DE RECURSOS LTDA.


International Investment Fund Manager - Exemption

JITNEYTRADE INC.


Futures Commission Merchant

Investment Dealer

JM FUND MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JOG CAPITAL CORP.


Exempt Market Dealer

Investment Fund Manager

JOMISC INVESTMENTS INC.


Portfolio Manager

JONES COLLOMBIN INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS JONES COLLOMBIN INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JONES, GABLE & COMPANY LIMITED / JONES GABLE & COMPAGNIE LTEE


Investment Dealer

JONESTRADING CANADA INC./COURTAGE JONES CANADA INC.


Investment Dealer

JPMORGAN ALTERNATIVE ASSET MANAGEMENT, INC.


International Investment Fund Manager - Exemption

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


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JPMORGAN ASSET MANAGEMENT (EUROPE) S.A.R.L.


International Investment Fund Manager - Exemption

JVAR CAPITAL LIMITED


Exempt Market Dealer

Portfolio Manager

JVK LIFE & WEALTH ADVISORY GROUP INC./JVK LIFE & WEALTH ADVISORY GROUP


Exempt Market Dealer

Mutual Fund Dealer

JW GP, LLC


International Investment Fund Manager - Exemption

K.J. HARRISON & PARTNERS INC


Investment Dealer

Investment Fund Manager

K2 & ASSOCIATES INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KAIOG CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KASSIRER ASSET MANAGEMENT CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KEATSCONNELLY ULC


Portfolio Manager

KEIRA CAPITAL PARTNERS INC.


Exempt Market Dealer

KENSINGTON CAPITAL ADVISORS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KEPOS CAPITAL LP


International Investment Fund Manager - Exemption

KERNAGHAN & PARTNERS LTD.


Futures Commission Merchant

Investment Dealer

KERRISDALE ADVISERS, LLC


International Investment Fund Manager - Exemption

KES 7 CAPITAL INC.


Exempt Market Dealer

KEYBASE FINANCIAL GROUP INC.


Exempt Market Dealer

Mutual Fund Dealer

KFL CAPITAL MANAGEMENT LTD.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KILBURN OGILVIE WAYMANN INVESTMENT MANAGEMENT LTD.


Portfolio Manager

KILGOUR WILLIAMS CAPITAL INCORPORATED


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

KIMELMAN & BAIRD, LLC


Portfolio Manager

KINDLE CAPITAL MANAGEMENT INC.


Exempt Market Dealer

KING STREET CAPITAL MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

KINGSDALE CAPITAL MARKETS INC. / MARCHES KINGSDALE CAPITAL INC.


Investment Dealer

KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE


Investment Dealer

Investment Fund Manager

KKR CREDIT ADVISORS (US) LLC


International Investment Fund Manager - Exemption

KNIGHTHEAD CAPITAL MANAGEMENT, L.L.C.


International Investment Fund Manager - Exemption

KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC.


Investment Fund Manager

Scholarship Plan Dealer

KOHLBERG KRAVIS ROBERTS & CO. L.P.


International Investment Fund Manager - Exemption

KPMG CORPORATE FINANCE INC./FINANCEMENT CORPORATIF KPMG INC.


Exempt Market Dealer

KV CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

KW INVESTMENT MANAGEMENT LTD.


International Investment Fund Manager - Exemption

KYKLOPES CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

L&G UK PROPERTY INCOME FUND TWO JERSEY LIMITED


International Investment Fund Manager - Exemption

LAKESHORE SECURITIES INC.


Investment Dealer

LANDMARK EQUITY ADVISORS LLC


International Investment Fund Manager - Exemption

LANDMARK REALTY ADVISORS LLC


International Investment Fund Manager - Exemption

LANGMAIDS ASSET MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

LAURIER CAPITAL FUNDING INC.


Exempt Market Dealer

LAURUS INVESTMENT COUNSEL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAWRENCE PARK CAPITAL PARTNERS LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAWTON PARTNERS FINANCIAL PLANNING SERVICES LIMITED


Mutual Fund Dealer

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


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAZARD ASSET MANAGEMENT LLC


International Investment Fund Manager - Exemption

LBC FINANCIAL SERVICES INC./BLC SERVICES FINANCIERS INC.


Mutual Fund Dealer

LDIC INC.


Investment Fund Manager

Portfolio Manager

LEE, TURNER & ASSOCIATES INC.


Portfolio Manager

LEEDE FINANCIAL MARKETS INC.


Investment Dealer

LEGACY PARTNERS WEALTH STRATEGIES INC.


Exempt Market Dealer

LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA, INC.


Portfolio Manager

LEGG MASON GLOBAL FUNDS PLC


International Investment Fund Manager - Exemption

LEGG MASON PARTNERS FUND ADVISOR, LLC


International Investment Fund Manager - Exemption

LEITH WHEELER INVESTMENT COUNSEL LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LEITH WHEELER INVESTMENT FUNDS LTD.


Mutual Fund Dealer

LEON FRAZER & ASSOCIATES INC.


Investment Fund Manager

Portfolio Manager

LES CONSEILLERS EN PLACEMENTS KERR INC. / KERR FINANCIAL ADVISORS INC.


Investment Fund Manager

Portfolio Manager

LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LES INVESTISSEMENTS RIVEMONT INC. / RIVEMONT INVESTMENTS INC.


Portfolio Manager

LETKO, BROSSEAU & ASSOCIES INC. / LETKO, BROSSEAU & ASSOCIATES INC.


Investment Fund Manager

Portfolio Manager

LEWIN CAPITAL MANAGEMENT LTD.


Portfolio Manager

LEX CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

LEXINGTON PARTNERS L.P.


International Investment Fund Manager - Exemption

LGK ADVISORS, L.P.


International Investment Fund Manager - Exemption

LGT CAPITAL PARTNERS (IRELAND) LIMITED


International Investment Fund Manager - Exemption

LIBERTY INTERNATIONAL INVESTMENT MANAGEMENT INC.


Portfolio Manager

LIBERTY NORTH CAPITAL CORP.


Exempt Market Dealer

LIGHTHOUSE INVESTMENT PARTNERS, LLC


International Investment Fund Manager - Exemption

LIGHTWATER PARTNERS LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIGHTYEAR CAPITAL INC.


Investment Dealer

LIME BROKERAGE LLC


Exempt Market Dealer

LINCLUDEN INVESTMENT MANAGEMENT LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LINCLUDEN MUTUAL FUND DEALER INC.


Mutual Fund Dealer

LINDE EQUITY INC.


Portfolio Manager

LINDEN ADVISORS LP


International Investment Fund Manager - Exemption

LINDEN MILLS INVESTMENTS INC.


Exempt Market Dealer

LINGOHR & PARTNER NORTH AMERICA, INC.


Portfolio Manager

LIONGUARD CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIONRIDGE CAPITAL MANAGEMENT INC.


Portfolio Manager

LIQUIDNET CANADA INC. / LIQUIDENET CANADA INC.


Investment Dealer

LISSOM INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LITCHFIELD CAPITAL ADVISORS LTD.


Exempt Market Dealer

LOEWEN, ONDAATJE, MCCUTCHEON LIMITED / LOEWEN, ONDAATJE, MCCUTCHEON LIMITEE


Exempt Market Dealer

LOEWEN, ONDAATJE, MCCUTCHEON USA LIMITED


US Dealer with US Clients - Exemption

LOGAN CIRCLE PARTNERS I LLC


Exempt Market Dealer

Portfolio Manager

LOGAN CIRCLE PARTNERS, L.P.


International Investment Fund Manager - Exemption

LOGAN WEALTH MANAGEMENT INC.


Portfolio Manager

LOMBARD ODIER & CIE (CANADA), SOCIETE EN COMMMANDITE


Investment Fund Manager

Portfolio Manager

LOMBARD ODIER SECURITIES (CANADA) INC.


Investment Dealer

LONG INVESTMENT MANAGEMENT (CAYMAN) LIMITED


International Investment Fund Manager - Exemption

LONG INVESTMENT MANAGEMENT INTERNATIONAL LIMITED


International Investment Fund Manager - Exemption

LONGBOW CAPITAL INC


Exempt Market Dealer

Investment Fund Manager

LONGVIEW ASSET MANAGEMENT LTD.


Portfolio Manager

LOOMIS, SAYLES & COMPANY, L.P.


Portfolio Manager

LORICA INVESTMENT COUNSEL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOUBANI CAPITAL MANAGEMENT (CANADA) INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOWENBERG INVESTMENT COUNSEL, INC.


Exempt Market Dealer

Portfolio Manager

LR MANAGEMENT COMPANY LLC


International Investment Fund Manager - Exemption

LSV ASSET MANAGEMENT


Exempt Market Dealer

International Investment Fund Manager - Exemption

Portfolio Manager

LUXOR CAPITAL GROUP, LP


International Investment Fund Manager - Exemption

LYCOS ASSET MANAGEMENT INC.


Portfolio Manager

LYONS ASSET MANAGEMENT INC.


Portfolio Manager

LYSANDER FUNDS LIMITED


Exempt Market Dealer

Investment Fund Manager

LYTTON FINANCIAL INC.


Exempt Market Dealer

LYXOR ASSET MANAGEMENT


International Investment Fund Manager - Exemption

M & G INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

M PARTNERS INC.


Investment Dealer

M.S. LAMONT AND ASSOCIATES LIMITED


Portfolio Manager

M.Y. CAPITAL MANAGEMENT CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

M&G ALTERNATIVES INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

M&G REAL ESTATE (LUXEMBOURG) S.A.


International Investment Fund Manager - Exemption

M5V ADVISORS INC.


Exempt Market Dealer

Portfolio Manager

MACDONALD, SHYMKO & COMPANY LTD.


Portfolio Manager

MACDOUGALL INVESTMENT COUNSEL INC. / LES CONSEILLERS EN PLACEMENTS MACDOUGALL INC.


Investment Fund Manager

Portfolio Manager

MACDOUGALL, MACDOUGALL & MACTIER INC.


Investment Dealer

MACKAY SHIELDS LLC


International Investment Fund Manager - Exemption

MACKAY SHIELDS UK LLP


International Investment Fund Manager - Exemption

MACKENZIE FINANCIAL CORPORATION


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MACKIE RESEARCH CAPITAL CORPORATION / CORPORATION MACKIE RECHERCHE CAPITAL


Investment Dealer

Investment Fund Manager

MACKINNON, BENNETT & COMPANY INC. / MACKINNON, BENNETT & COMPAGNIE INC.


Exempt Market Dealer

MACNICOL & ASSOCIATES ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MACQUARIE CAPITAL MARKETS CANADA LTD./MARCHES FINANCIERS MACQUARIE CANADA LTEE.


Futures Commission Merchant

Investment Dealer

MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED


International Investment Fund Manager - Exemption

MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD.


Exempt Market Dealer

MACQUARIE INVESTMENT MANAGEMENT (BERMUDA) LIMITED


International Investment Fund Manager - Exemption

MAGELLAN ASSET MANAGEMENT LTD


International Investment Fund Manager - Exemption

MAGENTA CAPITAL CORPORATION


Exempt Market Dealer

MAGNETAR FINANCIAL LLC


International Investment Fund Manager - Exemption

MAGNITUDE CAPITAL, LLC


International Investment Fund Manager - Exemption

MAHOGANY ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAISON PLACEMENTS CANADA INC.


Investment Dealer

MAJESTIC ASSET MANAGEMENT LLC


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MALTESE CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

MANDEVILLE PRIVATE CLIENT INC./GESTION PRIVEE MANDEVILLE INC.


Investment Dealer

MANDEVILLE WEALTH SERVICES INC./GESTION DE PATRIMOINE MANDEVILLE INC.


Exempt Market Dealer

Mutual Fund Dealer

MANITOU INVESTMENT MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MANNING & NAPIER ADVISORS, LLC


Exempt Market Dealer

International Investment Fund Manager - Exemption

Portfolio Manager

MANULIFE ASSET MANAGEMENT (US) LLC


International Investment Fund Manager - Exemption

MANULIFE ASSET MANAGEMENT INVESTMENTS INC./INVESTISSEMENTS GESTION D'ACTIFS MANUVIE INC.


Exempt Market Dealer

MANULIFE ASSET MANAGEMENT LIMITED/GESTION D'ACTIFS MANUVIE LIMITEE


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

MANULIFE SECURITIES INCORPORATED/PLACEMENTS MANUVIE INCORPOREE


Investment Dealer

MANULIFE SECURITIES INVESTMENT SERVICES INC.


Exempt Market Dealer

Mutual Fund Dealer

MAPLE FUTURES CORP.


Futures Commission Merchant

MAPLE LEAF ANGELS CORPORATION


Exempt Market Dealer

MAPLE ROCK CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAPLE SECURITIES CANADA LIMITED / VALEURS MOBILIERES MAPLE CANADA LTEE


Investment Dealer

MAPLEHILL CAPITAL MANAGEMENT CORPORATION


Exempt Market Dealer

Portfolio Manager

MAPLEWEST CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARATHON ASSET MANAGEMENT LLP


International Investment Fund Manager - Exemption

MARATHON ASSET MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

MARATHON CAPITAL MARKETS, LLC


Exempt Market Dealer

MARCHES DES CAPITAUX AVENUE BNB INC. / AVENUE CAPITAL MARKETS BNB INC.


Exempt Market Dealer

MARINER INVESTMENT GROUP, LLC


International Investment Fund Manager - Exemption

MARKETAXESS CANADA LIMITED/ACCES AU MARCHE (CANADA) LIMITEE


Investment Dealer

MARQUEST ASSET MANAGEMENT INC. / INVESTISSEMENT CONSEIL MARQUEST


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARRET ASSET MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARS VX


Restricted Dealer

MARSHALL WACE ASIA LIMITED


International Investment Fund Manager - Exemption

MARSHALL WACE LLP


International Investment Fund Manager - Exemption

MARSHALL WACE NORTH AMERICA L.P.


International Investment Fund Manager - Exemption

MARTIN, LUCAS & SEAGRAM LTD.


Portfolio Manager

MARVIN & PALMER ASSOCIATES, INC.


Exempt Market Dealer

Portfolio Manager

MATCO FINANCIAL INC.


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

MATNOR HOLDINGS INC.


Exempt Market Dealer

MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

MAWER INVESTMENT MANAGEMENT LTD.


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

MAXAM CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAXIT CAPITAL LP


Exempt Market Dealer

MCELVAINE INVESTMENT MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MCF CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

MCF SECURITIES INC.


Exempt Market Dealer

MCKINLEY CAPITAL MANAGEMENT, LLC


Portfolio Manager

MCLEAN & PARTNERS WEALTH MANAGEMENT LTD.


Investment Dealer

Investment Fund Manager

MCLEAN ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MD MANAGEMENT LIMITED/GESTION MD LIMITEE


Investment Dealer

MEADOWBANK ASSET MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

MECKELBORG FINANCIAL GROUP LTD.


Portfolio Manager

MEDALIST CAPITAL LTD.


Exempt Market Dealer

MELLON CAPITAL MANAGEMENT CORPORATION


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

MERCATOR ASSOCIATES, LLC


US Dealer with US Clients - Exemption

MERCER GLOBAL INVESTMENTS CANADA LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MERCER INVESTMENT MANAGEMENT, INC.


International Investment Fund Manager - Exemption

MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC


International Investment Fund Manager - Exemption

MERRILL LYNCH CANADA INC.


Futures Commission Merchant

Investment Dealer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED


Exempt Market Dealer

Portfolio Manager

MESIROW ADVANCED STRATEGIES, INC.


International Investment Fund Manager - Exemption

MESIROW FINANCIAL PRIVATE EQUITY ADVSIORS, INC.


International Investment Fund Manager - Exemption

METAFORM INVESTMENTS INC.


Exempt Market Dealer

Portfolio Manager

MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MHR FUND MANAGEMENT LLC


International Investment Fund Manager - Exemption

MICHAEL GRAHAM INVESTMENT SERVICES INC.


Portfolio Manager

MIDDLEFIELD CAPITAL CORPORATION


Investment Dealer

MIDDLEFIELD LIMITED


Investment Fund Manager

MIKALACHKI INVESTMENT MANAGEMENT LTD.


Portfolio Manager

MILES SANTO AND ASSOCIATES INC.


Mutual Fund Dealer

MILESTONE INVESTMENT COUNSEL INC.


Portfolio Manager

MILLAR PRIVATE WEALTH MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

MILLENNIUM INTERNATIONAL MANAGEMENT LP


International Investment Fund Manager - Exemption

MINVESTEC CAPITAL CORP.


Exempt Market Dealer

MIRABAUD CANADA INC.


Investment Dealer

MIRABAUD GESTION INC.


Portfolio Manager

MKP CAPITAL MANAGEMENT, L.L.C.


International Investment Fund Manager - Exemption

MM ASSET MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

MMCAP MANAGEMENT INC.


Investment Fund Manager

MNP CORPORATE FINANCE INC.


Exempt Market Dealer

MONARCH ALTERNATIVE CAPITAL LP


International Investment Fund Manager - Exemption

MONARCH WEALTH CORPORATION


Exempt Market Dealer

Mutual Fund Dealer

MONDIALE ASSET MANAGEMENT LTD.


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

MONEGY, INC.


Exempt Market Dealer

Portfolio Manager

MONEYSTRAT SECURITIES INC.


Exempt Market Dealer

Mutual Fund Dealer

MONTAG PRIVATE WEALTH INC. / MONTAG GESTION PRIVEE INC.


Portfolio Manager

MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORBANK FUND MANAGEMENT INC.


Exempt Market Dealer

MORGAN MEIGHEN & ASSOCIATES LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORGAN STANLEY AI GP LLC


International Investment Fund Manager - Exemption

MORGAN STANLEY AIP (CAYMAN) GP LTD.


International Investment Fund Manager - Exemption

MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP


International Investment Fund Manager - Exemption

MORGAN STANLEY CANADA LIMITED/MORGAN STANLEY CANADA LIMITEE


Investment Dealer

MORGAN STANLEY GSOF II GP LP


International Investment Fund Manager - Exemption

MORGAN STANLEY HEDGE FUND PARTNERS CAYMAN LTD.


International Investment Fund Manager - Exemption

MORGAN STANLEY INVESTMENT MANAGEMENT INC.


International Investment Fund Manager - Exemption

MORGAN STANLEY REAL ESTATE ADVISOR, INC


International Investment Fund Manager - Exemption

MORGAN STANLEY REAL ESTATE SECURITIES GLOBAL BEST IDEAS GP INC.


International Investment Fund Manager - Exemption

MORGAN STANLEY SMITH BARNEY LLC


Exempt Market Dealer

MORGUARD FINANCIAL CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORNEAU SHEPELL ASSET & RISK MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORNINGSTAR ASSOCIATES INC.


Portfolio Manager

MOUNT LUCAS MANAGEMENT LP


Commodity Trading Manager

MOUNTAIN FOWLER ASSET MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MPA MORRISON PARK ADVISORS INC.


Exempt Market Dealer

MTP ENERGY MANAGEMENT LLC


International Investment Fund Manager - Exemption

MUDRICK CAPITAL MANAGEMENT, L.P


International Investment Fund Manager - Exemption

MYRIAD ASSET MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

NAPG EQUITIES INC.


Exempt Market Dealer

NATIONAL BANK FINANCIAL INC./FINANCIERE BANQUE NATIONALE INC.


Futures Commission Merchant

Investment Dealer

NATIONAL BANK FINANCIAL LTD./FINANCIERE BANQUE NATIONALE LTEE


Futures Commission Merchant

Investment Dealer

NATIONAL BANK OF CANADA FINANCIAL INC.


US Dealer with US Clients - Exemption

NATIONAL BANK TRUST INC./TRUST BANQUE NATIONALE INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NAVROC INVESTMENT MANAGEMENT INC.


Portfolio Manager

NB ALTERNATIVES ADVISERS LLC


International Investment Fund Manager - Exemption

NBC ALTERNATIVE INVESTMENTS INC./BNC GESTION ALTERNATIVE INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NBCN INC.


Investment Dealer

NCP INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NDB GROUP SYNDICATIONS INC.


Exempt Market Dealer

NELSON PORTFOLIO MANAGEMENT CORP.


Investment Fund Manager

Portfolio Manager

NEPHILA CAPITAL LTD.


International Investment Fund Manager - Exemption

NEST WEALTH ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NETWORK CAPITAL MANAGEMENT INC.


Exempt Market Dealer

NETWORTH FINANCIAL CORP


Mutual Fund Dealer

NEUBERGER BERMAN EUROPE LIMITED


International Investment Fund Manager - Exemption

NEUBERGER BERMAN FIXED INCOME LLC


International Investment Fund Manager - Exemption

NEUBERGER BERMAN LLC


International Investment Fund Manager - Exemption

NEW WORLD CAPITAL LTD.


Exempt Market Dealer

NEWBURY ASSOCIATES LLC


International Investment Fund Manager - Exemption

NEWGEN ASSET MANAGEMENT LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEWHAVEN ASSET MANAGEMENT INC.


Portfolio Manager

NEWPOINT CAPITAL PARTNERS INC.


Exempt Market Dealer

NEWPORT PRIVATE WEALTH INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEXGEN FINANCIAL LIMITED PARTNERSHIP


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

NEXT EDGE CAPITAL CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEXUS INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE NEXUS INC.


Investment Fund Manager

Portfolio Manager

NIAGARA CAPITAL PARTNERS LTD.


Exempt Market Dealer

Investment Fund Manager

NICOLA WEALTH MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NIPUN CAPITAL L.P.


International Investment Fund Manager - Exemption

NISA INVESTMENT ADVISORS, L.L.C.


Commodity Trading Manager

Portfolio Manager

NOBLE BAY ASSET MANAGEMENT INC.


Portfolio Manager

NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC.


International Investment Fund Manager - Exemption

NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. / GESTION DES PLACEMENTS NORDEA, AMERIQUE DU NORD


Portfolio Manager

NORREP CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTH GROWTH MANAGEMENT LTD


Exempt Market Dealer

Investment Fund Manager

NORTHCREST PARTNERS INC.


Exempt Market Dealer

NORTHERN PRECIOUS METALS MANAGEMENT INC./GESTION METAUX PRECIEUX NORTHERN INC.


Portfolio Manager

NORTHERN TRUST INVESTMENTS, INC.


International Investment Fund Manager - Exemption

NORTHLAND WEALTH MANAGEMENT INC.


Portfolio Manager

NORTHLEAF CAPITAL PARTNERS (CANADA) LTD


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWEST & ETHICAL INVESTMENTS L.P.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWOOD FAMILY OFFICE LTD.


Exempt Market Dealer

Portfolio Manager

NS PARTNERS CANADA LTD.


Investment Fund Manager

Portfolio Manager

NS PARTNERS LTD


Portfolio Manager

NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NULEAF VENTURES INC.


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

NUMERIC INVESTORS LLC


International Investment Fund Manager - Exemption

NUWAVE INVESTMENT MANAGEMENT, LLC


International Investment Fund Manager - Exemption

NYLIFE DISTRIBUTORS LLC


Exempt Market Dealer

O'SHAUGHNESSY ASSET MANAGEMENT, LLC


Portfolio Manager

OAKPOINT ASSET MANAGEMENT INC.


Portfolio Manager

OAKTREE CAPITAL MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

OANDA (CANADA) CORPORATION ULC


Investment Dealer

OBERON CAPITAL CORPORATION


Exempt Market Dealer

OBSERVATORY CAPITAL MANAGEMENT LLP


International Investment Fund Manager - Exemption

OCEANROCK INVESTMENTS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

OCTAGON CAPITAL CORPORATION


Investment Dealer

OCTAGON CREDIT INVESTORS, LLC


International Investment Fund Manager - Exemption

ODLUM BROWN LIMITED


Investment Dealer

OECHSLE INTERNATIONAL ADVISORS, LLC


Portfolio Manager

OFI GLOBAL INSTITUTIONAL, INC.


International Investment Fund Manager - Exemption

OGAM LTD.


Exempt Market Dealer

Portfolio Manager

OLDFIELD PARTNERS LLP


International Investment Fund Manager - Exemption

Portfolio Manager

OLOS CAPITAL, INC./CAPITAL OLOS, INC.


Exempt Market Dealer

Portfolio Manager

OLYMPIAN FINANCIAL INC.


Exempt Market Dealer

Mutual Fund Dealer

OMEGA SECURITIES INC.


Investment Dealer

OMERS INVESTMENT MANAGEMENT INC. / GESTION DE PLACEMENTS OMERS INC.


Exempt Market Dealer

OMG WEALTH MANAGEMENT INC.


Investment Dealer

OMNUS INVESTMENTS LTD.


Exempt Market Dealer

ONE CAPITAL MANAGEMENT, LLC


Portfolio Manager

ONEX CREDIT PARTNERS, LLC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ONTARIO FINANCIAL SERVICES INC.


Mutual Fund Dealer

ONTARIO WEALTH MANAGEMENT CORPORATION


Exempt Market Dealer

OPEN ACCESS LIMITED


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

OPEN AVENUE INC.


Exempt Market Dealer

OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP


International Investment Fund Manager - Exemption

OPTIMA FUND MANAGEMENT LLC


International Investment Fund Manager - Exemption

OPTIMIZE INC.


Investment Fund Manager

Portfolio Manager

OPTIMUM GESTION DE PLACEMENTS INC. / OPTIMUM ASSET MANAGEMENT INC.


Portfolio Manager

OPUS POINT PARTNERS MANAGEMENT, LLC


International Investment Fund Manager - Exemption

ORBIS INVESTMENT ADVISORY (CANADA) LIMITED


Exempt Market Dealer

ORBIS INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

ORIGIN MERCHANT SECURITIES INC.


Exempt Market Dealer

OSPREY CAPITAL PARTNERS INC.


Exempt Market Dealer

OTT CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

OTTERWOOD CAPITAL MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

OWL CREEK ASSET MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

OZ MANAGEMENT LP


International Investment Fund Manager - Exemption

P2P FINANCIAL INC.


Exempt Market Dealer

PACE SECURITIES CORP.


Investment Dealer

PACIFIC ALLIANCE INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

PACIFIC ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC


International Investment Fund Manager - Exemption

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC


International Investment Fund Manager - Exemption

PACIFIC SPIRIT INVESTMENT MANAGEMENT INC.


Portfolio Manager

PACIFICA PARTNERS INC.


Investment Fund Manager

Portfolio Manager

PADLOCK INVESTMENT MANAGEMENT INC.


Portfolio Manager

PALETTE INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PALISADE CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

PAN ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PANAGORA ASSET MANAGEMENT, INC.


Commodity Trading Manager

Exempt Market Dealer

International Investment Fund Manager - Exemption

Portfolio Manager

PANGAEA ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PANOPLY CAPITAL ASSET MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

PANTHEON VENTURES (UK) LLP


International Investment Fund Manager - Exemption

PANTHEON VENTURES (US) LP


International Investment Fund Manager - Exemption

PANVEST CAPITAL CORPORATION


Exempt Market Dealer

PARADIGM CAPITAL INC. / PARADIGME CAPITAL INC.


Investment Dealer

PARAGON PRIVATE WEALTH, INC./CLIENT PRIVE PARAGON


Portfolio Manager

PARETO INVESTMENT MANAGEMENT LIMITED


Portfolio Manager

PARK PRIVATE WEALTH INC.


Portfolio Manager

PARK SQUARE CAPITAL CREDIT OPPORTUNITIES II (USD) GENERAL PARTNER LIMITED


International Investment Fund Manager - Exemption

PARK SQUARE CAPITAL MANAGING GENERAL PARTNER LIMITED


International Investment Fund Manager - Exemption

PARK SQUARE CAPITAL PARTNERS II GENERAL PARTNER LIMITED


International Investment Fund Manager - Exemption

PARK SQUARE CAPITAL PARTNERS III GENERAL PARTNER LIMITED


International Investment Fund Manager - Exemption

PARTNERS GROUP (GUERNSEY) LIMITED


International Investment Fund Manager - Exemption

PARTNERS GROUP (USA) INC.


Exempt Market Dealer

Portfolio Manager

PATHWAY CAPITAL MANAGEMENT, LP


Exempt Market Dealer

Portfolio Manager

PATIENT CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

PATRIMONICA GESTION D'ACTIFS INC. / PATRIMONICA ASSET MANAGEMENTS INC.


Portfolio Manager

PAULSON & CO. INC.


International Investment Fund Manager - Exemption

PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PAVILION GLOBAL MARKETS LTD


Futures Commission Merchant

Investment Dealer

PCJ INVESTMENT COUNSEL LTD.


Investment Fund Manager

Portfolio Manager

PEAK SECURITIES INC./VALEURS MOBILIERES PEAK INC.


Investment Dealer

PEARTREE SECURITIES INC.


Exempt Market Dealer

Restricted Portfolio Manager

PEMBROKE HERITAGE FUND LIMITED


International Investment Fund Manager - Exemption

PENDERFUND CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

PENNANT CAPITAL PARTNERS INC.


Exempt Market Dealer

PENTA INVESTMENT ADVISERS LIMITED


International Investment Fund Manager - Exemption

PEREGRINE INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERENNIAL ASSET MANAGEMENT CORP.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERFORMANCE CAPITAL LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERFORMANCE EQUITY MANAGEMENT, LLC


International Investment Fund Manager - Exemption

Portfolio Manager

PERIMETER MARKETS INC.


Futures Commission Merchant

Investment Dealer

PERISCOPE CAPITAL INC.


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERRON & PARTNERS WEALTH MANAGEMENT CORP.


Investment Dealer

PERSHING SECURITIES CANADA LIMITED


Investment Dealer

PERSHING SQUARE CAPITAL MANAGEMENT, L.P.


Exempt Market Dealer

International Investment Fund Manager - Exemption

PETERS & CO. LIMITED


Investment Dealer

PFSL FUND MANAGEMENT LTD./GESTION DES FONDS PFSL LTEE


Investment Fund Manager

PFSL INVESTMENTS CANADA LTD.


Mutual Fund Dealer

PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD.


Mutual Fund Dealer

PHOENIX INVESTMENT ADVISER LLC


International Investment Fund Manager - Exemption

PI FINANCIAL CORP./CORPORATION FINANCIERE PI


Futures Commission Merchant

Investment Dealer

PICTET ASSET MANAGEMENT INC. / PICTET GESTION D'ACTIFS INC.


Portfolio Manager

PICTET CANADA L.P./PICTET CANADA S.E.C.


Investment Dealer

PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIER 21 ASSET MANAGEMENT INC. / GESTION D'ACTIFS PIER 21 INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIMCO CANADA CORP.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIMCO GLOBAL ADVISORS (IRELAND) LIMITED


International Investment Fund Manager - Exemption

PINEBRIDGE INVESTMENTS CANADA INC./INVESTISSEMENTS PINEBRIDGE CANADA INC.


Exempt Market Dealer

Portfolio Manager

PINNACLE WEALTH BROKERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PLACEMENTS IA CLARINGTON INC. / IA CLARINGTON INVESTMENTS INC.


Investment Fund Manager

Portfolio Manager

PLANMAR FINANCIAL CORP.


Mutual Fund Dealer

PLANNING CIRCLE FINANCIAL GROUP INC.


Mutual Fund Dealer

POINT HARBOR CAPITAL, LLC


International Investment Fund Manager - Exemption

POLAR SECURITIES INC.


Futures Commission Merchant

Investment Dealer

Investment Fund Manager

POLARIS FINANCIAL INC.


Portfolio Manager

POLLITT & CO. INC.


Investment Dealer

POLLITT INVESTMENT COUNSEL INC.


Investment Fund Manager

Portfolio Manager

POLYFUNDS INVESTMENT INC.


Mutual Fund Dealer

POPE & COMPANY LIMITED


Investment Dealer

PORTFOLIO ADVISORS, LLC


International Investment Fund Manager - Exemption

PORTFOLIO MANAGEMENT CORPORATION


Portfolio Manager

PORTFOLIO STEWARDS INC.


Portfolio Manager

PORTFOLIO STRATEGIES CORPORATION


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

PORTFOLIO STRATEGIES SECURITIES INC.


Investment Dealer

Investment Fund Manager

PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC.


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

POWERONE CAPITAL MARKETS LIMITED


Exempt Market Dealer

PRECIPICE CAPITAL CORPORATION INC.


Exempt Market Dealer

PRESIMA INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PRICEWATERHOUSECOOPERS CORPORATE FINANCE INC.


Exempt Market Dealer

PRIMARY CAPITAL INC./GROUPE FINANCIER PRIMARY CAPITAL


Exempt Market Dealer

PRIME QUADRANT


Exempt Market Dealer

PRIMEVEST CAPITAL CORP.


Exempt Market Dealer

Investment Fund Manager

PRIVATE ADVISORS, LLC


International Investment Fund Manager - Exemption

PRIVATE CAPITAL MARKETS CORP.


Exempt Market Dealer

PRIVEST WEALTH MANAGEMENT INC.


Exempt Market Dealer

PRIVITI CAPITAL CORPORATION


Investment Fund Manager

PROFESSIONAL INVESTMENTS (KINGSTON) INC.


Exempt Market Dealer

Mutual Fund Dealer

PROGRESSIVE FINANCIAL STRATEGY CAPITAL GROUP CORP.


Mutual Fund Dealer

PROSIRIS CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

PROVIDENCE DEBT III PRIVATE INVESTORS GP, LTD.


International Investment Fund Manager - Exemption

PROVISUS WEALTH MANAGEMENT LIMITED


Investment Fund Manager

Portfolio Manager

PUGSLEY CAPITAL INC.


Portfolio Manager

PULSE CAPITAL PARTNERS, LLC


International Investment Fund Manager - Exemption

PUR INVESTING INC.


Portfolio Manager

PURPOSE INVESTMENTS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PURSUIT FINANCIAL MANAGEMENT CORPORATION


Investment Fund Manager

PURSUIT FINANCIAL SERVICES CORP.


Exempt Market Dealer

PUTNAM INVESTMENTS CANADA ULC


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PWL CAPITAL INC.


Investment Dealer

PYRAMIS GLOBAL ADVISORS (CANADA) ULC


Commodity Trading Manager

Portfolio Manager

PYRAMIS GLOBAL ADVISORS, LLC


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

PYRFORD INTERNATIONAL LIMITED


Portfolio Manager

PZENA INVESTMENT MANAGEMENT, LLC


Exempt Market Dealer

Q1 CAPITAL PARTNERS INC..


Exempt Market Dealer

QS INVESTORS, LLC


Portfolio Manager

QTRADE ASSET MANAGEMENT INC./GESTION D'ACTIFS QTRADE INC.


Exempt Market Dealer

Mutual Fund Dealer

QTRADE SECURITIES INC. / VALEURS MOBILIERES QTRADE INC.


Investment Dealer

QUADRANT ASSET MANAGEMENT


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUADRAVEST CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUADRUS INVESTMENT SERVICES LTD./SERVICES D'INVESTISSEMENT QUADRUS LTEE.


Mutual Fund Dealer

QUANTUS INVESTMENT CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUARTZ CAPITAL GROUP LTD.


Exempt Market Dealer

QUEEN FINANCIAL GROUP INC.


Exempt Market Dealer

Mutual Fund Dealer

QUEENSBURY SECURITIES INC.


Investment Dealer

QUEENSBURY STRATEGIES INC.


Exempt Market Dealer

Mutual Fund Dealer

QUESTRADE WEALTH MANAGEMENT INC


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

QUESTRADE, INC.


Futures Commission Merchant

Investment Dealer

QV INVESTORS INC. / INVESTISSEURS QV


Investment Fund Manager

Portfolio Manager

QVO VADIS INVESTMENT MANAGEMENT INC.


Portfolio Manager

QWEST INVESTMENT FUND MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

R.E.G.A.R. GESTION PRIVEE INC.


Investment Fund Manager

Portfolio Manager

R.J. O'BRIEN & ASSOCIATES CANADA INC.


Futures Commission Merchant

Investment Dealer

R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC.


Investment Fund Manager

Portfolio Manager

RADIN CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RAE & LIPSKIE INVESTMENT COUNSEL INC.


Investment Fund Manager

Portfolio Manager

RAINTREE FINANCIAL SOLUTIONS


Exempt Market Dealer

RARE INFRASTRUCTURE (NORTH AMERICA) PTY. LTD.


Portfolio Manager

RATAN CAPITAL MANAGEMENT, LP


International Investment Fund Manager - Exemption

RAYMOND JAMES LTD.


Investment Dealer

RAYNE CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

RBC ALTERNATIVE ASSET MANAGEMENT INC.


International Investment Fund Manager - Exemption

RBC DIRECT INVESTING INC./RBC PLACEMENTS EN DIRECT INC.


Investment Dealer

RBC DOMINION SECURITIES INC./RBC DOMINION VALEURS MOBILIERES INC.


Futures Commission Merchant

Investment Dealer

RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC.


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.


Portfolio Manager

RBC PRIVATE COUNSEL (USA) INC.


US Adviser with US Clients - Exemption

RBS CAPITAL MARKETS (CANADA) LIMITED


Investment Dealer

RCI INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RCM PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REALCAP HOLDINGS LIMITED


Portfolio Manager

REALTY FINANCIAL ADVISORS INC.


Exempt Market Dealer

RED SKY CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REDWOOD ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REEL CAPITAL CORPORATION


Exempt Market Dealer

REMPART ASSET MANAGEMENT INC./GESTION DE PLACEMENTS REMPART INC.


Portfolio Manager

RENAISSANCE TECHNOLOGIES LLC


International Investment Fund Manager - Exemption

RENVEST MERCANTILE BANCORP. INC.


Exempt Market Dealer

RESOLUTE FUNDS LIMITED


Investment Fund Manager

Portfolio Manager

RETIRE FIRST LTD.


Investment Dealer

RETURN ON INNOVATION ADVISORS LTD.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RICHARDSON GMP (USA) CORP


US Dealer with US Clients - Exemption

RICHARDSON GMP (USA) LIMITED


US Adviser with US Clients - Exemption

RICHARDSON GMP LIMITED / RICHARDSON GMP LIMITEE


Investment Dealer

RICHMOND EQUITY MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

RICHTER FAMILY OFFICE./ BUREAU FAMILIAL RICHTER INC.


Portfolio Manager

RIDGEWOOD CAPITAL ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

RIMCON INC.


Portfolio Manager

RIVAL CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RIVER BIRCH CAPITAL, LLC


International Investment Fund Manager - Exemption

RIVER PLATE HOUSE CAPITAL MANAGEMENT CORP.


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

RIVER ROAD ASSET MANAGEMENT, LLC


Portfolio Manager

RIVERSTONE HOLDINGS LLC


International Investment Fund Manager - Exemption

RM & ASSOCIATES LIMITED


Exempt Market Dealer

ROADMAP CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROBERT EVANS INVESTMENT COUNSEL LIMITED


Investment Fund Manager

Portfolio Manager

ROBSON CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROBSON CAPITAL PARTNERS CORP.


Exempt Market Dealer

ROCKLINC INVESTMENT PARTNERS INC.


Portfolio Manager

ROCKVALE CAPITAL MANAGEMENT INC.


Portfolio Manager

ROGAN INVESTMENT MANAGEMENT LIMITED


Portfolio Manager

ROGERS GROUP INVESTMENT ADVISORS LTD.


Investment Dealer

ROGERSCASEY CANADA, INC.


Portfolio Manager

ROGGE ALTERNATIVE INVESTMENT COMPANY LIMTIED


International Investment Fund Manager - Exemption

ROMSPEN INVESTMENT CORPORATION


Exempt Market Dealer

RONDEAU CAPITAL INC.


Portfolio Manager

ROSALIND ADVISORS, INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROSS SMITH ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROSSEAU ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROTHSCHILD (CANADA) SECURITIES INC. / VALEURS MOBILIERES ROTHSCHILD (CANADA) INC.


Exempt Market Dealer

ROUNDTABLE CAPITAL PARTNERS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROYAL MUTUAL FUNDS INC./FONDS D'INVESTISSEMENT ROYAL INC.


Mutual Fund Dealer

RP INVESTMENT ADVISORS


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RP MANAGEMENT, LLC


International Investment Fund Manager - Exemption

RREEF AMERICA LLC


International Investment Fund Manager - Exemption

RS VI PARTNERS INVESTORS GP, LTD.


International Investment Fund Manager - Exemption

RT MOSAIC WEALTH MANAGEMENT LTD.


Portfolio Manager

RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

RWS CAPITAL SERVICES INC.


Exempt Market Dealer

SAGUENAY STRATHMORE CAPITAL INC.


Exempt Market Dealer

Portfolio Manager

SAGUENAY STRATHMORE CAPITAL LLP


Portfolio Manager

SAGUENAY STRATHMORE CAPITAL, LLC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SALMAN PARTNERS (USA) INC.


US Dealer with US Clients - Exemption

SALMAN PARTNERS INC.


Investment Dealer

SAMARA CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SANDELL ASSET MANAGEMENT CORP.


International Investment Fund Manager - Exemption

SANDELL INVESTMENT SERVICES, L.L.C.


International Investment Fund Manager - Exemption

SANDSTONE ASSET MANAGEMENT INC.


Investment Dealer

SANFORD C. BERNSTEIN & CO., LLC


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SANTA FE PARTNERS LLC


International Investment Fund Manager - Exemption

Restricted Portfolio Manager

SARBIT ADVISORY SERVICES INC. / SERVICES DE CONSULTATION SARBIT


Portfolio Manager

SCARTHINGMOOR ASSET MANAGEMENT INC.


Portfolio Manager

SCHEER, ROWLETT & ASSOCIATES INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS SCHEER, ROWLETT & ASSOCIES LTEE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SCHRODER FUND ADVISORS LLC


Exempt Market Dealer

SCHRODER INVESTMENT MANAGEMENT (LUXEMBOURG) S.A


International Investment Fund Manager - Exemption

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


International Investment Fund Manager - Exemption

Portfolio Manager

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


Portfolio Manager

SCHWABEN CAPITAL GROUP LIMITED


Exempt Market Dealer

Portfolio Manager

SCIVEST CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

SCM SECURITIES LP


Investment Dealer

SCOTIA CAPITAL INC. / SCOTIA CAPITAUX INC.


Futures Commission Merchant

Investment Dealer

SCOTIA MANAGED COMPANIES ADMINISTRATION INC.


Investment Fund Manager

SCOTIA SECURITIES INC./PLACEMENTS SCOTIA INC.


Mutual Fund Dealer

SEAMARK ASSET MANAGEMENT (2013) LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SECURITY FINANCIAL SERVICES & INVESTMENT CORP.


Mutual Fund Dealer

SECUTOR CAPITAL MANAGEMENT CORPORATION


Investment Dealer

Investment Fund Manager

SEGALL BRYANT & HAMILL


Portfolio Manager

SEGANTII CAPITAL MANAGEMENT (CAYMAN) LIMITED


International Investment Fund Manager - Exemption

SEI INVESTMENTS CANADA COMPANY / SOCIETE DE PLACEMENTS SEI CANADA


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SEI INVESTMENTS MANAGEMENT CORPORATION


International Investment Fund Manager - Exemption

SELECT EQUITY GROUP, L.P.


International Investment Fund Manager - Exemption

SELEXIA INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE SELEXIA INC.


Portfolio Manager

SENTRY INVESTMENTS INC./SENTRY INVESTISSEMENTS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

SERENGETI ASSET MANAGEMENT LP


International Investment Fund Manager - Exemption

SERVICES EN PLACEMENTS PEAK INC.


Mutual Fund Dealer

SERVICES FINANCIERS QUINTAL & CO. INC. / QUINTAL & CO. FINANCIAL SERVICES INC.


Exempt Market Dealer

SETTER CAPITAL INC.


Exempt Market Dealer

SEVEN HILLS CAPITAL CORP.


Portfolio Manager

SEVENOAKS CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SEYMOUR INVESTMENT MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SHAH FINANCIAL PLANNING INC.


Mutual Fund Dealer

SHARP ASSET MANAGEMENT INC.


Portfolio Manager

SHAUNESSY INVESTMENT COUNSEL INC.


Portfolio Manager

SHENKMAN CAPITAL MANAGEMENT, INC.


International Investment Fund Manager - Exemption

SHERBROOKE STREET CAPITAL (SSC) INC. / CAPITAL SHERBROOKE STREET (SSC) INC.


Investment Dealer

SHERPA ASSET MANAGEMENT INC


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SHORCAN BROKERS LIMITED


Exempt Market Dealer

SHORELINE WEST ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SIA WEALTH MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SIGMA ANALYSIS & MANAGEMENT LTD.


Commodity Trading Counsel

Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

SIGULER GUFF ADVISERS, LLC


International Investment Fund Manager - Exemption

SILVER HEIGHTS CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

SILVER MAPLE VENTURES INC.


Exempt Market Dealer

SILVER POINT CAPITAL, LP


International Investment Fund Manager - Exemption

SILVERCOVE FUND MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SILVERCREEK MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SILVERTHORN CAPITAL INCORPORATED


Exempt Market Dealer

SINCERUS EXEMPT MARKET DEALER LTD.


Exempt Market Dealer

SINCLAIR-COCKBURN FINANCIAL SERVICES INC.


Exempt Market Dealer

Mutual Fund Dealer

SIONNA INVESTMENT MANAGERS INC./GESTIONNAIRES DE PLACEMENTS SIONNA INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SKY HARBOR CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

SKYLINE WEALTH MANAGEMENT INC.


Exempt Market Dealer

SL CAPITAL PARTNERS LLP


International Investment Fund Manager - Exemption

SLABE INC.


Portfolio Manager

SLOANE CAPITAL CORP.


Exempt Market Dealer

SLOANE ROBINSON LLP


International Investment Fund Manager - Exemption

SMART INVESTMENTS LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SMART MONEY CAPITAL MANAGEMENT INC.


Portfolio Manager

SOCIETE DE GESTION D'INVESTISSEMENT HEWARD INC./ HEWARD INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SOCIETE DE GESTION PRIVEE DES FONDS FMOQ INC


Exempt Market Dealer

SOCIETE EN COMMANDITE FIERA QUANTUM / FIERA QUANTUM LIMITED PARTNERSHIP


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SOCIETE GENERALE CAPITAL CANADA INC.


Futures Commission Merchant

Investment Dealer

SODHI ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SOF X PRIVATE INVESTORS GP LTD


International Investment Fund Manager - Exemption

SOLIUM FINANCIAL INC.


Investment Dealer

SOLUS ALTERNATIVE ASSET MANAGEMENT LP


International Investment Fund Manager - Exemption

SOMERSET CAPITAL MANAGEMENT LLP


International Investment Fund Manager - Exemption

Portfolio Manager

SOPHOS CAPITAL CORP.


Exempt Market Dealer

SOROBAN CAPITAL PARTNERS LP


International Investment Fund Manager - Exemption

SOUTHEASTERN ASSET MANAGEMENT, INC.


International Investment Fund Manager - Exemption

SOUTTERHAM BANK CORPORATION


Investment Fund Manager

Portfolio Manager

SOUTTERHAM INVESTMENTS LIMITED


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPARTAN FUND MANAGEMENT INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPINNAKER CAPITAL LIMITED


International Investment Fund Manager - Exemption

SPROTT ASSET MANAGEMENT LP


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SPROTT PRIVATE WEALTH LP


Investment Dealer

SPRUCEGROVE INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS SPRUCEGROVE


Investment Fund Manager

Portfolio Manager

SPRUCEVIEW CAPITAL PARTNERS LLC.


International Investment Fund Manager - Exemption

SPRUNG INVESTMENT MANAGEMENT INC.


Portfolio Manager

SQUADRA INVESTMENTS - GESTAO DE RECURSOS LTDA.


International Investment Fund Manager - Exemption

SSARIS ADVISORS, LLC


International Investment Fund Manager - Exemption

SSGA FUNDS MANAGEMENT INC.


International Investment Fund Manager - Exemption

STABLE CAPITAL ADVISORS INC.


Exempt Market Dealer

STABLEVIEW ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STACEY MUIRHEAD CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STANDARD LIFE INVESTMENTS (GENERAL PARTNER EUROPEAN REAL ESTATE CLUB) LIMITED


International Investment Fund Manager - Exemption

STANDARD LIFE INVESTMENTS (USA) LTD


Exempt Market Dealer

STANDARD LIFE INVESTMENTS GLOBAL ABSOLUTE RETURN STRATEGIES MASTER FUND LTD.


International Investment Fund Manager - Exemption

STANDARD LIFE INVESTMENTS GLOBAL SICAV


International Investment Fund Manager - Exemption

STANTON ASSET MANAGEMENT INC./GESTION D'ACTIFS STANTON INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STANWICH ADVISORS, LLC


Exempt Market Dealer

STARBOARD CAPITAL INC.


Exempt Market Dealer

STARBRIDGE CAPITAL LTD.


Exempt Market Dealer

Portfolio Manager

STARK & ROTH LLC


US Adviser with US Clients - Exemption

STARK INVESTMENTS (CANADA) CORP.


Portfolio Manager

STARVINE CAPITAL CORPORATION


Portfolio Manager

STATE FARM INVESTOR SERVICES (CANADA) CO.


Mutual Fund Dealer

STATE STREET GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX STATE STREET CANADA INC.


Investment Dealer

STEADYHAND INVESTMENT FUNDS INC.


Mutual Fund Dealer

STEADYHAND INVESTMENT MANAGEMENT LTD.


Investment Fund Manager

Portfolio Manager

STEEPE & CO. LTD.


Exempt Market Dealer

STEPHENAVENUE SECURITIES INC.


Investment Dealer

STEPHENSON & COMPANY CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STERLING BRIDGE MORTGAGE CORP.


Exempt Market Dealer

STERLING MUTUALS INC.


Exempt Market Dealer

Mutual Fund Dealer

STEVLOC MANAGEMENT INC.


Exempt Market Dealer

STODGELL INVESTMENT MANAGEMENT LIMITED


Portfolio Manager

STONE ASSET MANAGEMENT LIMITED


Investment Fund Manager

Portfolio Manager

Restricted Dealer

STONE HARBOR INVESTMENT PARTNERS LP.


International Investment Fund Manager - Exemption

STONE LION CAPITAL PARTNERS L.P.


International Investment Fund Manager - Exemption

STONE MILLINER ASSET MANAGEMENT LLP


International Investment Fund Manager - Exemption

STONEBRIDGE FINANCIAL CORPORATION/CORPORATION FINANCIERE STONEBRIDGE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STONEBROOKE ASSET MANAGEMENT LTD.


Portfolio Manager

STONECASTLE INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

STONEHOUSE CAPITAL MANAGEMENT INC.


Portfolio Manager

STOREYWORKS CAPITAL INC.


Exempt Market Dealer

STORMCROW CAPITAL LIMITED


Exempt Market Dealer

STORNOWAY PORTFOLIO MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STRAND SECURITIES CORPORATION


Exempt Market Dealer

STRATEGIC INVESTMENT MANAGEMENT, LLC


International Investment Fund Manager - Exemption

STRATEGIC PARTNERS FUND SOLUTIONS ADVISORS, L.P.


International Investment Fund Manager - Exemption

STRATEGIC VALUE PARTNERS, LLC


International Investment Fund Manager - Exemption

STRATHBRIDGE ASSET MANAGEMENT INC./ GESTION D'ACTIFS STRATHBRIDGE INC.


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

STRATHY INVESTMENT MANAGEMENT LIMITED


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STRATIGIS CAPITAL ADVISORS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

STUART INVESTMENT MANAGEMENT LIMITED


Investment Dealer

STYLUS ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUCCESSFUL INVESTOR WEALTH MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUMMERHILL CAPITAL MANAGEMENT INC.


Portfolio Manager

SUMMERWOOD CAPITAL CORP.


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.


Mutual Fund Dealer

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


Commodity Trading Manager

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

SUN LIFE INVESTMENT MANAGEMENT INC./GESTION PLACEMENTS SUN LIFE INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SUNEL SECURITIES INC.


Exempt Market Dealer

SUPERSTAR INVESTMENT CORP.


Mutual Fund Dealer

T. ROWE PRICE (CANADA), INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

T. ROWE PRICE INTERNATIONAL LTD.


International Investment Fund Manager - Exemption

T.E. INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS T.E.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

T.I.P. WEALTH MANAGER INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TACITA CAPITAL INC.


Portfolio Manager

TACONIC CAPITAL ADVISORS L.P.


International Investment Fund Manager - Exemption

TACTEX GESTION D'ACTIFS INC. / TACTEX ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAHO CAPITAL MANAGEMENT, INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAILWIND CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAKOTA ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TANGERINE INVESTMENT FUNDS LIMITED/FONDS D'INVESTISSEMENT TANGERINE LIMITEE


Mutual Fund Dealer

TANGERINE INVESTMENT MANAGEMENT INC./GESTION D'INVESTISSEMENTS TANGERINE INC.


Investment Fund Manager

Portfolio Manager

TAO SECURITIES INC.


Exempt Market Dealer

TAYLOR ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TAYLOR WOODS CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

TCI FUND MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

TCW INVESTMENT MANAGEMENT COMPANY


International Investment Fund Manager - Exemption

TD ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS TD INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TD INVESTMENT SERVICES INC. / SERVICES D'INVESTISSEMENT TD INC.


Mutual Fund Dealer

TD SECURITIES INC. / VALEURS MOBILIERES TD INC.


Futures Commission Merchant

Investment Dealer

TD WATERHOUSE CANADA INC.


Investment Dealer

TD WATERHOUSE PRIVATE INVESTMENT COUNSEL INC. / GESTION PRIVEE TD WATERHOUSE INC.


Exempt Market Dealer

Portfolio Manager

TEAMMAX INVESTMENT CORP.


Mutual Fund Dealer

TEMPERED INVESTMENT MANAGEMENT LTD.


Portfolio Manager

TEMPEST FUNDS GENERAL PARTNERSHIP


Investment Fund Manager

Portfolio Manager

TERA CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TERRA FUND MANAGEMENT LTD.


Investment Fund Manager

TETREM CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX TETREM


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TEZA CAPITAL MANAGEMENT LLC


International Investment Fund Manager - Exemption

TFP INVESTMENT COUNSEL CORP.


Portfolio Manager

THE CATALYST CAPITAL GROUP INC.


Portfolio Manager

THE COMMERCIAL CAPITAL SECURITIES INC.


Exempt Market Dealer

THE FUNDING PORTAL INC.


Exempt Market Dealer

THE MURRAY WEALTH GROUP INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

THE NORTHERN TRUST COMPANY


International Investment Fund Manager - Exemption

THE PALLAS ATHENA CORPORATION / CORPORATION PALLAS ATHENA


Portfolio Manager

THE VANGUARD GROUP, INC


International Investment Fund Manager - Exemption

THIRD EYE CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

THOMAS WHITE INTERNATIONAL, LTD.


International Investment Fund Manager - Exemption

THORNBURG INVESTMENT MANAGEMENT, INC.


International Investment Fund Manager - Exemption

THORNMARK ASSET MANAGEMENT INC. / GESTION D'ACTIFS THORNMARK


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

THREE BAYS CAPITAL LP


International Investment Fund Manager - Exemption

TILLY DIRECTORS LIMITED


International Investment Fund Manager - Exemption

TIMBERCREEK ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TIMELO INVESTMENT MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TMS/TAX MANAGEMENT SOLUTIONS INC.


Exempt Market Dealer

TMX SELECT INC.


Investment Dealer

TOBAM S.A.S.


International Investment Fund Manager - Exemption

Restricted Portfolio Manager

TOCQUEVILLE ASSET MANAGEMENT, L.P.


Portfolio Manager

TONUS CAPITAL INC.


Portfolio Manager

TOPLEFT SECURITIES LTD.


Exempt Market Dealer

TORON CAPITAL MARKETS INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TORONTO RESEARCH & TRADING LTD.


Commodity Trading Manager

TORONTO TRUST MANAGEMENT LTD.


Investment Fund Manager

TOTEM POINT MANAGEMENT, LLC


International Investment Fund Manager - Exemption

TOWER ASSET MANAGEMENT INC.


Portfolio Manager

TOWERS WATSON INVESTMENT MANAGEMENT (IRELAND) LIMITED


International Investment Fund Manager - Exemption

TOWNSEND HOLDINGS LLC


International Investment Fund Manager - Exemption

TRADEX MANAGEMENT INC. / GESTION TRADEX INC.


Investment Fund Manager

Mutual Fund Dealer

TRAFALGAR ASSOCIATES LIMITED


Exempt Market Dealer

TRALUCENT ASSET MANAGEMENT INC.


Exempt Market Dealer

Portfolio Manager

TRAPEZE ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TRAPEZE CAPITAL CORP.


Investment Dealer

TREND CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

TREZ CAPITAL FUND MANAGEMENT LIMITED PARTNERSHIP/FOND DE GESTION TREZ CAPITAL SOCIETE EN COMMANDITE


Exempt Market Dealer

Investment Fund Manager

TRI VIEW CAPITAL LTD.


Exempt Market Dealer

TRIACT CANADA MARKETPLACE LP


Investment Dealer

TRICADIA CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

TRIDELTA INVESTMENT COUNSEL INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TRIUMPH ASSET MANAGEMENT INC./ GESTION D'ACTIFS TRIUMPH


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TROON NORTH CAPITAL INC.


Portfolio Manager

TUDOR INVESTMENT CORPORATION


International Investment Fund Manager - Exemption

TULETT, MATTHEWS & ASSOC. INC.


Portfolio Manager

TULLETT PREBON CANADA LIMITED


Exempt Market Dealer

TURN8 PARTNERS INC. / TURN8 ASSOCIES INC.


Portfolio Manager

TURNPOINTE WEALTH MANAGEMENT INC.


Portfolio Manager

TURTLE CREEK ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TUSCARORA CAPITAL INC.


Investment Dealer

TUTUILA ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

TWEEDY, BROWNE COMPANY LLC


International Investment Fund Manager - Exemption

TWO SIGMA ADVISERS, LLC


International Investment Fund Manager - Exemption

TWO SIGMA INVESTMENTS, LLC


International Investment Fund Manager - Exemption

TYRUS CAPITAL EVENT FUND LIMITED


International Investment Fund Manager - Exemption

TYRUS CAPITAL OPPORTUNITIES FUND LIMITED


International Investment Fund Manager - Exemption

UBS FUND MANAGEMENT (LUXEMBOURG) S.A.


International Investment Fund Manager - Exemption

UBS GLOBAL ASSET MANAGEMENT (CANADA) INC. / UBS GESTION GLOBALE D'ACTIFS


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

UBS GLOBAL ASSET MANAGEMENT (UK) LIMITED


International Investment Fund Manager - Exemption

UBS GLOBAL ASSET MANAGEMENT FUNDS LTD.


International Investment Fund Manager - Exemption

UBS INVESTMENT MANAGEMENT CANADA INC. / GESTION DES PLACEMENTS UBS CANADA INC.


Exempt Market Dealer

Portfolio Manager

UBS MANAGEMENT COMPANY SERVICES (JERSEY) LIMITED


International Investment Fund Manager - Exemption

UBS O'CONNOR LLC


International Investment Fund Manager - Exemption

UBS SECURITIES CANADA INC./UBS VALEURS MOBILIERES CANADA INC.


Investment Dealer

UMC FINANCIAL MANAGEMENT INC.


Exempt Market Dealer

Restricted Portfolio Manager

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


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

UNIGESTION SA


International Investment Fund Manager - Exemption

UNIVERSITY OF TORONTO ASSET MANAGEMENT CORPORATION


Investment Fund Manager

Portfolio Manager

VALEURS MOBILIERES BANQUE LAURENTIENNE INC. / LAURENTIAN BANK SECURITIES INC.


Investment Dealer

VALEURS MOBILIERES DESJARDINS INTERNATIONAL INC. / DESJARDINS SECURITIES INTERNATIONAL INC.


US Dealer with US Clients - Exemption

VALUE PARTNERS INVESTMENTS INC.


Investment Fund Manager

Portfolio Manager

VALUE-CONTRARIAN ASSET MANAGEMENT INC. / VALUE-CONTRARIAN, CONSEILLERS EN PLACEMENTS


Exempt Market Dealer

Investment Fund Manager

VALUE-SCIENCES INC.


Portfolio Manager

VALUEACT CAPITAL MANAGEMENT, L.P.


International Investment Fund Manager - Exemption

VAN BERKOM AND ASSOCIATES INC.


Portfolio Manager

VAN ECK ABSOLUTE RETURN ADVISERS CORPORATION


Commodity Trading Manager

VANCITY INVESTMENT MANAGEMENT LIMITED / GESTION D'INVESTISSEMENTS VANCITY


Portfolio Manager

VANGUARD INVESTMENTS CANADA INC.


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VANTAGE ASSET MANAGEMENT INC. / GESTION D'ACTIFS VANTAGE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VELOCITY TRADE CAPITAL LTD.


Investment Dealer

VENABLE PARK INVESTMENT COUNSEL INC.


Portfolio Manager

VENATOR CAPITAL MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VENN PARTNERS LLP


International Investment Fund Manager - Exemption

VERACAP M&A INTERNATIONAL INC.


Exempt Market Dealer

VERITAS INVESTMENT RESEARCH CORPORATION


Exempt Market Dealer

Portfolio Manager

VERITION ADVISORS (CANADA) ULC


Portfolio Manager

VERITION FUND MANAGEMENT LLC


International Investment Fund Manager - Exemption

VERITY INVESTMENT COUNSEL INC.


Portfolio Manager

VERTEX ONE ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VESTCAP INVESTMENT MANAGEMENT INC.


Portfolio Manager

VGO CAPITAL MANAGEMENT LP


International Investment Fund Manager - Exemption

VIKING CAPITAL CORP.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VIKING GLOBAL INVESTORS LP


International Investment Fund Manager - Exemption

VINTAGE INVESTMENT ADVISORS 2014 LTD.


International Investment Fund Manager - Exemption

VINTAGE INVESTMENT ADVISORS LTD.


International Investment Fund Manager - Exemption

VINTAGE INVESTMENT PARTNERS VI (CAYMAN) LP


International Investment Fund Manager - Exemption

VINTAGE INVESTMENT PARTNERS VIII (CAYMAN) L.P.


International Investment Fund Manager - Exemption

VIRAGE CAPITAL PARTNERS (NON-US) SPC


International Investment Fund Manager - Exemption

VIRGO INVESTMENT GROUP LLC


International Investment Fund Manager - Exemption

VISION CAPITAL CORPORATION


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

VISION WEALTH MANAGEMENT LTD


Portfolio Manager

VISIUM ASSET MANAGEMENT, LP


International Investment Fund Manager - Exemption

VISIUM FUND MANAGEMENT, LP


International Investment Fund Manager - Exemption

VL ADVISORS INC.


Investment Fund Manager

Portfolio Manager

VOLEON FUNDS LP


International Investment Fund Manager - Exemption

VOYA ALTERNATIVE ASSET MANAGEMENT LLC


International Investment Fund Manager - Exemption

VULCAN ASSET MANAGEMENT CORPORATION


Portfolio Manager

VWK CAPITAL MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

W.A. ROBINSON ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

W.D. LATIMER CO. LIMITED


Investment Dealer

WALTER SCOTT & PARTNERS LIMITED


Exempt Market Dealer

International Investment Fund Manager - Exemption

WALTON CAPITAL MANAGEMENT INC.


Exempt Market Dealer

WARATAH CAPITAL ADVISORS LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WASATCH ADVISORS, INC.


International Investment Fund Manager - Exemption

WATERFRONT STRATEGIC CAPITAL CORP.


Exempt Market Dealer

WATSON DI PRIMIO STEEL (WDS) INVESTMENT MANAGEMENT LTD.


Portfolio Manager

WATT CARMICHAEL INC.


Investment Dealer

WATT CARMICHAEL PRIVATE COUNSEL INC.


Portfolio Manager

WAVE CYCLE MUTUAL FUNDS LTD.


Investment Fund Manager

WAVERLEY CORPORATE FINANCIAL SERVICES LTD.


Exempt Market Dealer

WEALHOUSE CAPITAL LIMITED PARTNERSHIP / GESTION DE CAPITAL WEALHOUSE


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WEALTH CREATION PRESERVATION & DONATION INC.


Exempt Market Dealer

WEALTHBAR FINANCIAL SERVICES INC./SERVICES FINANCIERS WEALTHBAR


Portfolio Manager

WEALTHBRIDGE INVESTMENT COUNSEL INC.


Portfolio Manager

WEALTHCO ASSET MANAGEMENT INC.


Exempt Market Dealer

WEALTHSIMPLE FINANCIAL INC.


Portfolio Manager

WELLINGTON HEDGE MANAGEMENT, LLC


International Investment Fund Manager - Exemption

WELLINGTON LUXEMBOURG SARL


International Investment Fund Manager - Exemption

WELLINGTON MANAGEMENT CANADA LLC


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

WELLS FARGO SECURITIES CANADA, LTD./VALEURS MOBILIERES WELLS FARGO CANADA, LTEE


Investment Dealer

WEST FACE CAPITAL INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WESTBORO MANAGEMENT LTD.


Exempt Market Dealer

WESTCOURT CAPITAL CORPORATION


Exempt Market Dealer

Portfolio Manager

WESTWOOD INTERNATIONAL ADVISORS INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WESTWOOD INVESTMENT FUNDS PLC


International Investment Fund Manager - Exemption

WFG SECURITIES INC.


Mutual Fund Dealer

Scholarship Plan Dealer

WHITE ELM CAPITAL, LLC


International Investment Fund Manager - Exemption

WHITE OAK GLOBAL ADVISORS, LLC


International Investment Fund Manager - Exemption

WHITEHAVEN SECURITIES INC. / VALEURS MOBILIERES WHITEHAVEN INC.


Exempt Market Dealer

WHITETOOTH CAPITAL CORP.


Exempt Market Dealer

WHV INVESTMENTS, INC.


Portfolio Manager

WICKHAM INVESTMENT COUNSEL INC.


Portfolio Manager

WILDLAW CAPITAL MARKETS INC.


Exempt Market Dealer

WILLIAM BLAIR & COMPANY, L.L.C.


International Investment Fund Manager - Exemption

WILLIAM BLAIR ADVANCED STRATEGIES, LLC


International Investment Fund Manager - Exemption

WILLOUGHBY ASSET MANAGEMENT INC.


Investment Fund Manager

WINDCROFT FINANCIAL COUNSEL LIMITED


Portfolio Manager

WINDERMERE CAPITAL (CANADA) INC.


Exempt Market Dealer

Portfolio Manager

WINDERMERE CAPITAL (CAYMAN) LTD.


International Investment Fund Manager - Exemption

WINDHORSE CAPITAL MANAGEMENT, LLC


International Investment Fund Manager - Exemption

WINDSTAR EQUITIES LTD.


Exempt Market Dealer

WINGATE INVESTMENT MANAGEMENT LTD


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

WINTON CAPITAL MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

WINTON FUND MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

WISDOM TREE ASSET MANAGEMENT, INC.


International Investment Fund Manager - Exemption

WISE CAPITAL MANAGEMENT INC.


Investment Fund Manager

Portfolio Manager

WITAN INVESTMENT SERVICES LIMITED


International Investment Fund Manager - Exemption

WMP MANAGEMENT, LLC


International Investment Fund Manager - Exemption

WOLVERINE ASSET MANAGEMENT, LLC


International Investment Fund Manager - Exemption

WOLVERTON SECURITIES LTD


Investment Dealer

WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP


Portfolio Manager

WORLDSOURCE FINANCIAL MANAGEMENT INC./GESTION FINANCIERE WORLDSOURCE INC.


Exempt Market Dealer

Mutual Fund Dealer

WORLDSOURCE SECURITIES INC./ VALEURS MOBILIERES WORLDSOURCE INC.


Investment Dealer

Investment Fund Manager

WUTHERICH & COMPANY INVESTMENT COUNSEL INC./ CONSEILLERS EN VALEURS WUTHERICH & COMPAGNIE INC.


Portfolio Manager

Y.I.S. FINANCIAL INC.


Mutual Fund Dealer

YG PARTNERS, LLC


International Investment Fund Manager - Exemption

YORK ASIAN OPPORTUNITIES DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK CREDIT OPPORTUNITIES DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK EUROPEAN DISTRESSED CREDIT HOLDINGS II, LLC


International Investment Fund Manager - Exemption

YORK EUROPEAN DISTRESSED CREDIT HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK EUROPEAN FOCUS DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK EUROPEAN OPPORTUNITIES DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK MANAGED HOLDINGS II, LLC


International Investment Fund Manager - Exemption

YORK SELECT DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK SELECT INVESTORS DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORK TOTAL RETURN DOMESTIC HOLDINGS, LLC


International Investment Fund Manager - Exemption

YORKVILLE ASSET MANAGEMENT INC.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

YOUFIRST FINANCIAL INC.


Portfolio Manager

YOURCFO ADVISORY GROUP INC.


Investment Dealer

YTM CAPITAL ASSET MANAGEMENT LTD.


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ZED FINANCIAL PARTNERS


Exempt Market Dealer

ZENTIFIC INVESTMENT MANAGEMENT LIMITED


International Investment Fund Manager - Exemption

ZLC WEALTH INC.


Exempt Market Dealer

Portfolio Manager