Authorizations & MOUs 

The ASC has the power to recognize an organization or individual to operate or act in a specific capacity.  For example, the ASC recognizes the TSX Venture Exchange as an exchange.  This Recognition allows the TSX Venture Exchange to operate as an exchange (a forum for trading securities).

The ASC has issued the following recognitions and authorizations:

4347833-v1 OMNIBUS ED AUTHORIZATION ORDER -OCT 31 2012.pdfED Authorization Order - under subsection 17(2) October 31, 2012Effective 31 Oct 2012Authorization
4265566-v1-FINRA-ASC_MOU_July_2012_Signature_Copy.pdfInternational Information Sharing Memorandum of UnderstandingEffective 25 Jul 2012MOU
4520759-v1-MOU_Concerning_Consultation__Cooperation_and_Exchange_(Cross-Border_Regulated_Entities).pdfMemorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Regulated EntitiesEffective 19 Sep 2011MOU
ASC_CFTC_MOU_MOU document_10Jun2010.pdfMemorandum of Understanding Concerning Cooperation and the Exchange of Information Related to the Supervision of Cross-Border Clearing OrganizationsEffective 10 Jun 2010MOU
1998511 v10 NOV 11 COMM AUTH.pdfAuthorization by the ASC under Subsection 22(4) of the Securities Act Effective 18 Dec 2009Authorization
3374993 v1 COMM AUTH ORDER re ASC_Rule 15-501.pdfAuthorization by the ASC under Subsection 22(1) of the Securities ActEffective 18 Dec 2009Authorization
_1054224_v1_-_SUPER_MOU_FOR_OVERSIGHT_OF_EXCHANGE_AND_QTR_SYSTEMS.pdfOversight of Exchanges and Quotation and Trade Reporting SystemsPublished 07 Nov 2002MOU
_917341_v1_-_COMPOSITE_VERSION_OF_RS_INC_-MOU.pdfMarket Regulation Services Inc. by the CommissionsAs at 01 May 2002MOU
_1353811 v1 - MOU- MRRS - in word.pdfMutual Reliance Review SystemEffective 01 Jan 2000MOU
_438665_v1_-_MRRS_MOU_NOTICE_-_FINAL.pdfNotice of Memorandum of Understanding relating to the Mutual Reliance Review SystemPublished 14 Oct 1999Notice