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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).

Decisions & Orders Relating to Registrants

Below you will find decisions and orders relating to exchanges, self-regulatory organizations, registrants and those seeking registration.

You can also find certain decisions and orders relating to enforcement matters and issuers by viewing their respective pages.

See more about Decisions & Orders Relating to Registrants

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Document Type
Document TitleDateDocument Type
PDFICAP SEF (US) LLC10/30/2018Order
PDFICE Futures Canada Inc.8/21/2018Order
PDFICE Clear Canada, Inc.8/13/2018Order
PDFTSX Venture Exchange Inc.11/22/2017Order
PDFEOX Holdings LLC9/27/2017Settlement Agreement/Undertaking
PDFPrivest Wealth Management Inc.6/6/2017Settlement Agreement/Undertaking
PDFAlberta Watt Exchange Limited3/30/2017Order
PDFNetThruPut Inc.12/12/2016Order
PDFMadison Peak Securities Ltd. 4/22/2015Order
PDFGold Investment Management Ltd.10/24/2014Settlement Agreement/Undertaking
PDFFrank Capital Partners Inc.3/8/2012Order
PDFFrank Capital Partners Inc.2/24/2012ASC Decision
PDFHarrington Capital Partners Inc. and Kennedy, Blaine Russell2/16/2012ASC Decision
PDFSustainable Wealth Management Ltd and Derek Gates2/15/2011ASC Decision
PDFAppellant: D'ADDARIO, Frank; Respondent: TSX Venture Exchange 11/10/2009ASC Decision
PDFLAMONTAGNE, Dustin Rene John 10/1/2009ASC Decision
PDFALBINATI, Denis M. 6/8/2009ASC Decision
PDFExtended Short Sales Temporary Order10/6/2008Order
PDFAmended Temporary Order Regarding Short Sales9/23/2008Order
PDFAlberta Securities Commission Temporary Order Regarding Short Sales of Certain Inter-Listed Securities9/19/2008Order
PDFSentinel Financial Management Corp7/31/2008ASC Decision
PDFPHOOL, Sunil Kumar6/24/2008ASC Decision
PDFROBERT, Michael6/27/2007ASC Decision
PDFDOE, Jane5/14/2007ASC Decision
PDFLysalta Capital Development Corporation4/27/2004ASC Decision