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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.

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May 21, 2015Notice of Effective Date - Technical Amendments to CDS Procedures – CNS Enhancement Initiatives – CNS Collateral Deadlines
May 21, 2015Notice of Housekeeping Rule Amendments - Housekeeping Amendments to the TSX Company Manual - Requirements Respecting Share Certificates - Toronto Stock Exchange
May 21, 2015Request for Comments: Public Consultation on Requirements Respecting Customized Share Certificates – Toronto Stock Exchange
May 21, 2015Notice of Proposed Amendments and Request for Comments – Long Life Orders - TSX Inc.
May 14, 2015Notice of Commission Approval: MFDA Investor Protection Corporation – Variation and Restatement of Approval Order