Skip Ribbon Commands
Skip to main content
Navigate Up
Sign In
Check registration (?)

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).

Certain Capital Market Participants [21-101 - 25-401]

21-101 Marketplace Operation [NI]
21-312 Update on Consultation Paper 21-401 [CSA Notice]
21-317 Next Steps in Implementation of a Plan to Enhance Regulation of the Fixed Income Market [CSA Notice]
21-319 Data Fees Methodology [CSA Notice]
21-320 Update: NI 21-101 Marketplace Operation and Related Companion Policy - Dealing with Government Debt Transparency [CSA Notice]
21-401 Real-Time Market Data Fees [Consultation Paper]
21-501 Confidentiality for Forms That Marketplaces and Information Processors are Required to File Under NI 21-101 [Blanket Order]
21-502 Exemption from Filing Time Requirement for Changes to Form 21-101F1 [Blanket Order]
21-704 Recognition of Exchanges for Specific Purposes [ASC Notice]
23-101 Trading Rules [NI]
23-102 Use Of Client Brokerage Commissions [NI]
23-103 Electronic Trading and Direct Electronic Access to Marketplaces [NI]
23-308 Update on Forum to Discuss CSA/IIROC Joint Consultation Paper 23-404 "Dark Pools, Dark Orders and Other Developments in Market Structure in Canada" and Next Steps [CSA Notice]
23-311 Regulatory Approach to Dark Liquidity in the Canadian Market [CSA Notice]
23-312 Transparency of Short Selling and Failed Trades [CSA Notice]
23-314 Frequently Asked Questions About National Instrument 23-103 Electronic Trading [CSA Notice]
23-315 Summary of Comments on CSA/IIROC Notice 23-312 Request for Comments – Transparency of Short Selling and Failed Trades [CSA Notice]
23-317 Order Protection Rule: Market Share Threshold for the Period April 1, 2017 to March 31, 2018 [CSA Notice]
23-318 Withdrawal of Proposed Amendments Regarding Best Execution Disclosure Under National Instrument 23-101 Trading Rules [CSA Notice]
23-319 Joint CSA / IIROC Staff Notice 23-319 Internalization in the Canadian Market [CSA Notice]
23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada [CSA Notice]
23-403 Market Structure Developments and Trade-Through Obligations [Consultation Paper]
23-404 Dark Pools, Dark Orders, and Other Developments in Market Structures in Canada [Consultation Paper]
23-405 Dark Liquidity in the Canadian Market [Consultation Paper]
23-701 Research on High Frequency Trading in the Canadian Venture Market [ASC Notice]
24-101 Institutional Trade Matching and Settlement [NI]
24-102 National Instrument 24-102 Clearing Agency Requirements [NI]
24-303 CSA SRO Oversight Project Report [CSA Notice]
24-309 Publication of Clearing Agency Requirements in Ontario, Quebec and Manitoba [CSA Notice]
24-310 Status Update on Proposed Local Rules 24-503 Clearing Agency Requirements [CSA Notice]
24-311 Qualifying Central Counterparties [CSA Notice]
24-312 Preparing for the Implementation of T+2 Settlement [CSA Notice]
24-315 Update on Enhanced Segregation and Portability Initiatives for Clearing Agencies Serving the Domestic Futures Markets [CSA Notice]
24-316 Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [CSA Notice]
24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment [Consultation Paper]
24-504 Exemption from Clearing Agency Recognition [Blanket Order]
24-701 Regulation of Clearing Agencies Carrying on Business in Alberta [ASC Notice]
25-101 Designated Rating Organizations [NI]
25-201 Guidance for Proxy Advisory Firms [National Policy]