Marketplaces, SROs & Clearing Agencies

Self Regulatory Organizations

• Investment Industry Regulatory Organization of Canada: recognition, variation, and approval orders
• Mutual Fund Dealers Association: recognition orders, audit reports, and rule review
• Canadian Public Accountability Board: recognition order
• Investment Dealers Association: recognition and approval orders, oversight agreements, and audit reports
• Market Regulation Services: recognition and approval orders

Exchanges

TSX Venture Exchange Inc.

• Current documents and rule review

Other Exchanges

• TSX Inc. Exemption from Recognition     Effective August 10, 2012, see BCN 2012/19
• Alpha Exchange Inc. and Alpha Trading Systems L.P. Exemption Order    March 3, 2012
• Canadian Trading and Quotation System Inc. (CNQ) Exemption Order  July 5, 2005
• NASDAQ Exemption Order  November 12, 2003
• TSX Inc. Exemption Order  September 3, 2002

Clearing Agencies

• CDS Clearing and Depository Services Inc. Recognition Order    Effective August 10, 2012, see BCN 2012/19
• CDCC Recognition Order    Effective August 10, 2012, see BCN 2012/19