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 21, 2019Request for Comment - Proposed Amendments to MFDA By-law No. 1 (Investigatory Powers)
March 14, 2019Request for Comment – Proposed Amendments to MFDA By-law No. 1 (Governance)
March 14, 2019Notice of Proposed Amendments and Request for Comments - Enhancement of Seek Dark Liquidity Functionality - TSX Inc.
March 8, 2019Notice of Proposed Changes and Request for Comments - Alpha Exchange Inc.
March 7, 2019Notice of Commission Approval - Amendments to CIPF By-Law No. 1 - CIPF