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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

Exemption Orders Relating to Registrants

Below you will find:

  • orders granting exemptions to particular applicants from specified requirements of securities laws; and
  • orders granting approval or recognition to various types of exchanges or self-regulatory organizations.


Filter list by:

Exemption Orders Type
Document TitleExemption Orders TypeDateExemption
PDFR.J. O’Brien & Associates LLCASC Order3/16/2017s. 75(1)(a) and s. 144
PDFHSBC Securities (USA) Inc.Passport Decision3/2/2017s. 75(1)(a) and s. 144(1)
PDFSun Life Assurance Company of CanadaPassport Decision2/28/2017s. 75(1)(a) and s. 144(1)
PDFInstinet Canada Cross LimitedCoordinated Review Decision2/1/2017NI 21-101, ss. 12.2 and 15.1
PDFMerrill Lynch International and Merrill Lynch, Pierce, Fenner & Smith, IncorporatedASC Order1/20/2017s. 75(1)(a) and s. 144
PDFMerrill Lynch International and Merrill Lynch, Pierce, Fenner & Smith, IncorporatedASC Order12/22/2016s. 75(1)(a) and s. 144
PDFCreditex Securities CorporationASC Order12/16/2016s. 144
PDFICBC Standard Bank PlcPassport Decision12/2/2016s.75(1)(a) and s.144
PDFSociété GénéraleASC Order11/17/2016s. 75(1)(a) and s. 144
PDFPalisade Capital Management Ltd.Dual Decision5/26/2016NI 31-103, s. 13.5(2)(b)(iii), 15.1
PDFPerimeter Markets Inc.Coordinated Review Decision2/16/2016NI 21-101, s. 12.2
PDFAndylan Capital Strategies Ltd.Dual Decision2/5/2016NI 31-103, s. 4.1
PDFSG Americas Securities, LLCASC Order2/5/2016s. 75(1)(a) and s. 144
PDFLeede Jones Gable Inc.Dual Decision12/14/2015NI 33-109, s. 2.2, 2.3, 2.5, 3.2 and 4.2
PDFNorrep Capital Management Ltd.Dual Decision9/24/2015NI 31-103, s. 13.5(2)(b)(iii), 15.1
PDFBNP Paribas Prime Brokerage, Inc.ASC Order7/24/2015s.75(1)(a) and s.144
PDFABN AMRO Clearing Chicago LLCASC Order3/11/2015s.75(1)(a) and s.144
PDFThe Investment Industry Regulatory Organization of CanadaASC Order1/15/2015ASC Rule 91-504
PDFChi-X Canada ATS LimitedCoordinated Review Decision11/26/2014s. 62(1)
PDFJefferies Bache, LLCASC Order8/28/2014s.75(1)(a) and s.144
PDFHesperian Capital Management Ltd.Dual Decision6/12/2014NI 31-103, s.13.5(2)(b)(iii), 15.1
PDFThe Investment Industry Regulatory Organization of CanadaCoordinated Review Decision6/4/2014ASC Rule 91-504
PDFRosenthal Collins Group, LLCASC Order10/2/2013s.75(1)(a) and s.144
PDFNewedge Canada Inc.Coordinated Review Decision7/30/2013s.90(1) and s.213
PDFCanoe Financial LPDual Decision7/24/2013NI 31-103, s.13.5(2)(b)(iii), 15.1