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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories

Exchanges

The ASC has the statutory power to recognize exchanges. This recognition allows the exchanges to operate and sets out the terms and conditions under which the exchanges are regulated. The ASC has recognized the TSX Venture Exchange Inc. and the Natural Gas Exchange Inc. (NGX) as exchanges. The ASC has also recognized ICE Futures U.S., Inc., New Y​ork Mercantile Exchange, Inc., Chicago Mercantile Exchange, Inc., Chicago Board of Trade and Commodity Exchange, Inc. as exchanges. The ASC has granted Toronto Stock Exchange, and ICE Futures Europe exemptions from recognition as exchanges.

The ASC has also recognised additional entities, including exchanges and quotation and trade reporting systems, for the application of various sections of Alberta securities laws. This recognition is limited to the specific section of the regulatory instrument to which it relates and is outlined in an order entitled ‘Recognition of Various Exchanges for Specific Purposes’, which can be found here.

Click on a title to see the documents associated with each organization.

  1. Aequitas Neo Exchange Inc.
  2. Alpha Exchange Inc.
  3. Bloomberg SEF LLC
  4. Canadian Depository for Securities Limited and CDS Clearing and Depository Services Inc.
  5. Canadian National Stock Exchange (CNSX)
  6. CBOE Futures Exchange, LLC
  7. Chicago Board of Trade (CBOT)
  8. Chicago Mercantile Exchange, Inc. (CME)
  9. Commodity Exchange, Inc. (COMEX)
  10. Eurex Deutschland
  11. ICAP Global Derivatives Limited
  12. ICAP SEF (US) LLC
  13. ICE Clear Canada Inc.
  14. ICE Futures Canada, Inc.
  15. ICE Futures Europe
  16. ICE Futures U.S., Inc.
  17. ICE Swap Trade, LLC
  18. Natural Gas Exchange Inc. (NGX)
  19. Net Energy Inc.
  20. New York Mercantile Exchange, Inc. (NYMEX)
  21. Nodal Exchange, LLC
  22. Toronto Stock Exchange (TSX)
  23. TSX Venture Exchange Inc (TSXV)
  24. TW SEF LLC
  25. Memoranda Of Understanding (MOUs)
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    Alternative Trading Systems (ATSs)

    The Canadian Securities Administrators (CSA) have developed a framework for regulating ATSs. National Instrument 21-101 Marketplace Operation, and National Instrument 23-101 Trading Rules, with their Companion Policies make up the “ATS Rules”.


    Clearing Agencies

    The ASC has recognized NGX as a Clearing Agency. Please see its tab above for the recognition order.


    Trade Repositories

    The ASC has the statutory power to recognize trade repositories. The ASC has recognized ICE Trade Vault, LLC, Chicago Mercantile Exchange Inc. and DTCC Data Repository (U.S.) LLC as trade repositories.

    Click on a title to see the documents associated with each organization.

    1. ICE Trade Vault, LLC
    2. Chicago Mercantile Exchange Inc.
    3. DTCC Data Repository (U.S.) LLC
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