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.

September 22, 2016Notice of Approval - Proposed Changes to Form 21-101F2 - TriAct Canada Marketplace LP
September 22, 2016Notice and Request for Comment - CSE Notice 2016-14 - Significant Change Subject to Public Comment – Amendments to Trading System Functionality and Features
September 8, 2016Notice of Approval - Amendments to TSX Rule Book to reflect enhancements to the Market on Close facility
September 8, 2016Notice of Approval - Use of Post Only on Dark Orders - TSX Inc.
September 1, 2016Notice of Approval - Amendments to Part VI of the TSX Company Manual