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.

March 25, 2020Request for Comment – Proposed Amendments to MFDA Policy No. 9 Continuing Education (CE) Requirements
March 12, 2020Notice of Housekeeping Rule Amendment - Housekeeping Amendment to Form 1A - Canadian Securities Exchange
March 12, 2020Introduction of Broker Preferencing for Anonymous Orders on the CXD Trading Book - NASDAQ CXC Limited
March 5, 2020Notice of Commission Deemed Approval - Housekeeping Amendments to the Universal Market Integrity Rules (UMIR) Following Implementation of IIROC Rules - Investment Industry Regulatory Organization of Canada (IIROC)
March 5, 2020Notice and Request for Comment – Application by Trumid Financial LLC for Exemption from the Marketplace Rules