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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).

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
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
PDFAston Hill Asset Management Inc.Dual Decision6/26/2013NI 31-103, s. 13.5 and 15.1
PDFNatcan Trust CompanyPassport Decision5/2/2013NI 31-103, s.4.1 and 15.1
PDFBarclays Capital Inc.Passport Decision4/29/2013s.75(1)(a) and s.144
PDFR.J. O’Brien & Associates LLCASC Order3/19/2013s.75(1)(a) and s.144
PDFHSBC Securities (USA) Inc.Passport Decision3/4/2013s.75(1)(a) and s.213
PDFCreditex Securities CorporationASC Order12/31/2012s.75(1)(a) and 144
PDFMerrill Lynch International and Merrill Lynch, Pierce, Fenner & Smith, IncorporatedASC Order12/31/2012s.75(1)(a) and 144
PDFNational Bank Financial Inc.Hybrid - Coordinated & Dual12/14/2012s.90(1), s.213, s.14.14 and 15.1 of NI 31-103
PDFAEGON Capital Management Inc.ASC Order12/5/2012s.213 and s.75(1)(b)
PDFMerrill Lynch Canada Inc.Coordinated Review Decision10/31/2012s. 90(1) and s. 213, and NI 31-103, s. 14.14 and s. 15.1
PDFMacquarie Capital Markets Ltd.Coordinated Review Decision10/3/2012s. 90(1) and s. 213, and NI 31-103, s. 14.14 and s. 15.1