Helpful Links
This page contains links to organizations that provide industry and regulatory information, investor education and more.
All links will open a new window, with CIBC Mellon’s website remaining open in the background. CIBC Mellon is not responsible for the content maintained on external sites.
Security Regulators
All Canadian provinces and territories have provincial or territorial security regulators.
Security regulators are responsible for maintenance and enforcement of securities regulation in their particular jurisdiction. Many sites also offer helpful information for investors.
Select the province or territory below to go their website.
(Note: Yukon and Nunavut do not have websites.)
The Canadian Securities Administrators (CSA) is a forum for the 13 securities regulators of Canada's provinces and territories.
Its goal is to coordinate and harmonize the regulation of Canadian capital markets.
Disclosure Documents
Security exchanges
TSX Group operates Canada's two national stock exchanges, Toronto Stock Exchange serving the senior equity market and TSX Venture Exchange serving the public venture equity market as well as Natural Gas Exchange (NGX), a leading North American exchange for the trading and clearing of natural gas and electricity contracts.
New York Stock Exchange (NYSE) provides a marketplace for the trading of financial instruments in the United States. Many Canadian securities issuers are interlisted on the NYSE.
NASDAQ is the largest electronic equity securities market in the United States. Many Canadian securities issuers are interlisted on NASDAQ.
The
American Stock Exchange (AMEX) provides a marketplace for the trading of equities, options and exchange traded funds in the United States. Many Canadian securities issuers are listed on AMEX.
Industry Associations
CIBC Mellon is a member of the
Securities Transfer Association of Canada (STAC), an organization comprised of representatives from Canadian stock transfer agents. This website contains information on industry initiatives being pursued by STAC on behalf of Canadian issuers.
The
Investment Industry Regulatory Organization of Canada (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.
