Regulatory Resources

Canadian Securities Administrators (CSA)

Securities regulators from each of the 10 provinces and 3 territories in Canada have teamed up to form the Canadian Securities Administrators (CSA). The CSA protects Canadian investors from unfair, improper, or fraudulent practices and fosters fair and efficient capital markets.

Below are the links to the Provincial and Territorial (except Nunavut) securities regulators: 

Investment Industry Regulatory Organization of Canada (IIROC)

IIROC is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.  Created in 2008 through the consolidation of the Investment Dealers Association of Canada and Market Regulation Services Inc.  IIROC sets high quality regulatory and investment industry standards, protects investors, and strengthens market integrity while maintaining efficient and competitive capital markets.  IIROC carries out its regulatory responsibilities through setting and enforcing rules regarding the proficiency, business and financial conduct of dealer firms and their registered employees and through setting and enforcing market integrity rules regarding trading activity on Canadian equity marketplaces.

Toronto Stock Exchange & TSX Venture Exchange

TMX Group is an integrated, multi-asset class exchange group. TMX Group's businesses operate cash and derivative markets for multiple asset classes including equities, fixed income and energy. It also provide clearing facilities, data products and other services to the international financial community.

Canadian National Stock Exchange

CNSX is an innovative new stock exchange for trading the securities of public companies. CNSX’s unique market model matches enhanced disclosure and streamlined issuer regulation with leading edge technology and comprehensive regulatory oversight to meet the needs and characteristics of public companies, their investors and investment dealers.

The New York Stock Exchange NYSE Euronext

The New York Stock Exchange NYSE Euronext, the holding company created by the combination of NYSE Group, Inc. and Euronext N.V., was launched on April 4, 2007.  As the world's leading and most liquid equities exchange group, NYSE Euronext powers the exchanging world and is comprised of equities and derivatives exchanges across the United States and Europe which trade cash equities, futures, options, fixed-income and exchange-traded products.

NYSE Euronext completed its acquisition of The American Stock Exchange (Amex®), becoming the third-largest U.S. options marketplace and enhancing the company's leadership in ETFs, cash equities, closed-end funds and structured products.

NASDAQ

The NASDAQ is the largest electronic screen-based equity securities trading market in the United States and second-largest by market capitalization in the world. The NASDAQ has more trading volume than any other electronic stock exchange in the world.

SEDAR

SEDAR is the official site that provides access to most public securities documents and information filed by public companies and investment funds with the Canadian Securities Administrators (CSA) in the SEDAR filing system. The statutory objective in making public this filed information is to enhance investor awareness of the business and affairs of public companies and investment funds and to promote confidence in the transparent operation of capital markets in Canada. Achieving this objective relies heavily on the provision of accurate information on market participants.

SEDI

The System for Electronic Disclosure by Insiders (SEDI) is Canada's on-line, browser-based service for the filing and viewing of insider reports as required by various provincial securities rules and regulations. SEDI replaces paper-based reporting and provides for an efficient disclosure process.

U.S. Securities and Exchange Commission

The mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.  The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. The SEC is concerned primarily with promoting the disclosure of important market-related information, maintaining fair dealing, and protecting against fraud.

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