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.

October 12, 2017Notice and Request for Comment - Application for Recognition as Exchanges - Nasdaq CXC Limited and Ensoleillement Inc.
October 12, 2017Request for Comment - Application to Vary the Recognition Order - The Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
October 12, 2017Notice of Housekeeping Rule Amendments to the TSX Company Manual - Housekeeping Amendments to Form 5 - Dividend/Distribution Declaration
October 5, 2017Notice of Commission Order - Variation Orders - Nodal Exchange, LLC and Nodal Clear, LLC
September 27, 2017Notice of Commission Approval - Amendments to Dealer Member Rule 200.2(l)(x)(B) on Trade-Confirmation Suppression Requirements