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.

April 16, 2015IIROC - OSC Staff Notice of Request for Comment - Proposed amendments to Dealer Member Rules 8.7 and corollary amendments to Dealer Member Rule 8.3A relating to the Requirement to Pay IIROC Membership Fees
April 2, 2015Variation of the Recognition Order of the Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
March 19, 2015OSC Staff Notice of Commission Approval – Mutual Fund Dealers Association of Canada – Housekeeping Amendments to Rule 2.4.2 (Referral Arrangements)
March 12, 2015Notice of Housekeeping Rule Amendments: Housekeeping Amendments to the TSX Company Manual
March 12, 2015Notice of Proposed Changes and Request for Comment - Omega Securities Inc.