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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
PDFChicago Mercantile Exchange Inc.Coordinated Review Decision12/21/2017NI 94-102
PDFRichardson GMP LimitedPassport Decision10/5/2017s. 75(1)(b) and s. 144
PDFEOX Holdings LLCPassport Decision9/15/2017s. 75(1)(a) and s. 144
PDFTJM Institutional Services LLCASC Order8/17/2017s.75(1)(a) and s.144
PDFRBS Securities Inc.Passport Decision6/2/2017s. 75(1)(a) and s. 144
PDFMacquarie Futures USA LLCASC Order5/23/2017s. 75(1)(a) and s. 144
PDFBarclays Bank PLCPassport Decision5/23/2017s. 75(1)(a) and s. 144
PDFNasdaq CXC LimitedCoordinated Review Decision5/3/2017s. 15.1 of Nl 21-101
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