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 24, 2020Request for Comments on Proposed Significant Change to the Treatment of Weighted Closing Price Eligible Securities – Trading Notice – NEO Exchange
September 3, 2020Notice of Commission Order - Application for Exemptive Relief
August 27, 2020Notice of Commission Approval – Amendments to Notes and Instructions to Schedules 1 and 7 of Form 1 Regarding Agency Tri-Party Arrangements – Investment Industry Regulatory Organization of Canada (IIROC)
August 27, 2020Notice of Commission Order – IIROC IP – Investment Industry Regulatory Organization of Canada (IIROC)
August 20, 2020Notice and Request for Comment - Amendments to Trading System Functionality & Features – Canadian Securities Exchange