Industry

Marketplaces, SROs & Clearing Agencies


The OSC oversees the operation of marketplaces, self-regulatory organizations (SROs), clearing agencies, and investor protection funds in Ontario. It promotes compliance with the requirements of the Securities Act (Ontario), as well as with any related rules and policies.

This section of the OSC’s website provides information on how the OSC oversees marketplaces, SROs, clearing agencies, and investor protection funds including:

  • the recognition or approval of marketplaces, SROs, clearing agencies, and investor protection funds
  • marketplaces, SROs, clearing agencies, and investor protection funds operating in Ontario
  • regulatory and filing requirements, and
  • policy initiatives related to market structure and marketplace operation.

The information in this section should be taken as a guide. The content is not intended to provide investment, financial, accounting, legal, tax or other professional advice and should not be relied upon or regarded as a substitute for such advice. We recommend that you seek advice from a qualified professional advisor before acting on any information or other content appearing on this web site or any web site to which it may be linked.

June 23, 2016Notice of Request for Comments - Proposed Material Amendments to the Notes and Instructions to Schedule 12 of Form 1 - Margin on Futures Concentrations and Deposits
June 23, 2016Notice of Request for Comments - Proposed Non-Material Amendments to Schedule 12 of Form 1 - Margin on Futures Concentrations and Deposits and its Notes and Instructions
June 23, 2016Notice of Commission Order - Application for Exemptive Relief - 360 Trading Networks Inc., et al.
June 16, 2016Notice of Commission Approval - Amendments Requiring Disclosure of Membership in IIROC
June 16, 2016Notice of Approval- Special Settlement Instructions - Nasdaq CXC and Nasdaq CX2