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    • Innovation at the OSC
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        • Filing a prospectus in Ontario
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      • Mergers and acquisitions
        • Take-over bids and issuer bids
        • Conflict of interest transactions
        • Take-over bid defensive tactics
        • Early warning system and alternative monthly reporting system
      • Filing guidance
      • Information on IFRS
        • Guidelines for Requests for Consultations with the Office of the Chief Accountant
      • Issuer-related instruments, policies and notices
      • Reporting issuer and issuer forms
        • Filing due dates calendar for annual and interim filings by reporting issuers
        • Form 45-106F1 - Report of Exempt Distribution
      • Applying for discretionary relief
      • Designated benchmarks and benchmark administrators
    • Investment funds
      • Types of investment funds
      • Prospectus offerings for investment funds in Ontario
      • Operating an investment fund in Ontario
      • Ongoing disclosure requirements for investment funds in Ontario
      • Marketing and sales of investment funds
      • Investment Management Brief
      • Investment fund survey
        • Investment Fund Survey data
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      • Information processors
      • Trade repositories
      • Market structure initiatives
    • Derivatives
      • Data reporting requirements for derivatives in Ontario and trade repository designation
      • Legal entity identifiers
      • CORRA/Term CORRA-based OTC derivatives trend analysis
      • List of foreign derivatives firms exempt under sections 39 or 46 of NI 93-101
    • Artificial intelligence (AI)
    • SEDAR+
  • Securities law
    • Legislation
      • Legislative reviews
    • Instruments, rules and policies
      • 1 - Procedure and Related Matters
      • 2 - Certain Capital Market Participants
      • 3 - Registration Requirements and Related Matters
      • 4 - Distribution Requirements
      • 5 - Ongoing Requirements for Issuers and Insiders
      • 6 - Take-Over Bids and Special Transactions
      • 7 - Securities Transactions Outside the Jurisdiction
      • 8 - Investment Funds
      • 9 - Derivatives
      • Documents not numbered
      • Securities rule-making in Ontario
    • Proposed instruments, rules and policies
    • Orders, rulings and decisions
    • Blanket orders
    • Delegation orders
    • OSC Bulletin
    • Filing documents online
      • Registration forms and documents
      • Reporting issuer and issuer forms
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      • The OBSI Joint Regulators Committee
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      • Allocation and use of funds from sanctions and settlements
        • Current distributions of funds from sanctions and settlements
      • Individuals or companies with unpaid OSC sanctions
    • Cease trade and freeze orders
    • Mediation program
    • OSC Whistleblower Program
      • Award eligibility and process
      • Whistleblower protections
      • Submit a whistleblower report
        • Submission guide
        • Technical support for submitting a Whistleblower report
      • Update on the OSC Whistleblower Program 2016 to 2022
    • Investigation resources
    • Automatically reciprocated orders and settlement agreements
    • OSC QuadrigaCX report
      • QuadrigaCX investigative report
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        • OSC Dialogue 2025: Future Ready
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Main navigation mobile
    • Industry
      • Registration and compliance
        • Getting registered
          • How to register a firm
          • How to register an individual
        • Ongoing requirements
          • Business conduct requirements
          • Compliance system
          • Compliance-related reports, staff notices and email notifications
          • Financial requirements
          • OSC compliance reviews
          • Updating registration information
        • Changes to registration
          • Changing registration categories or jurisdictions
          • Registration terms and conditions
          • Surrendering registration
          • Suspending, reinstating and revoking registration
          • Transferring registration to another firm
        • Opportunity to be heard and Director’s decisions
        • Applying for relief
        • Registrant Outreach program
          • Topical Guide for Registrants
        • Registrant search
          • Registered Firms List
        • Registration forms and documents
          • Fees
            • Participation fees
            • Activity fees
            • Late fees
            • National Registration Database (NRD) fees
        • Working with older and vulnerable clients
        • Registered crypto asset trading platforms
      • Innovation at the OSC
      • Companies
        • Selling securities in Ontario
          • Pre-filing a prospectus with the OSC
          • Filing a prospectus in Ontario
          • Prospectus marketing rules
          • Acquisition disclosure when filing a prospectus
          • Other prospectus matters
          • The exempt market
            • Exempt Distributions Summary
            • Ontario Exempt Market Dashboard
        • Continuous disclosure
        • Resources for companies
        • Industry-specific disclosure requirements
          • Specific disclosure requirements for mining and oil and gas companies
          • Canadian cannabis industry disclosure requirements
        • Insider reporting
        • Mergers and acquisitions
          • Take-over bids and issuer bids
          • Conflict of interest transactions
          • Take-over bid defensive tactics
          • Early warning system and alternative monthly reporting system
        • Filing guidance
        • Information on IFRS
          • Guidelines for Requests for Consultations with the Office of the Chief Accountant
        • Issuer-related instruments, policies and notices
        • Reporting issuer and issuer forms
          • Filing due dates calendar for annual and interim filings by reporting issuers
          • Form 45-106F1 - Report of Exempt Distribution
        • Applying for discretionary relief
        • Designated benchmarks and benchmark administrators
      • Investment funds
        • Types of investment funds
        • Prospectus offerings for investment funds in Ontario
        • Operating an investment fund in Ontario
        • Ongoing disclosure requirements for investment funds in Ontario
        • Marketing and sales of investment funds
        • Investment Management Brief
        • Investment fund survey
          • Investment Fund Survey data
      • Market regulation
        • Self-regulatory organizations (SRO)
          • Canadian Investment Regulatory Organization (CIRO)
          • Predecessor self-regulatory organizations
            • Investment Industry Regulatory Organization of Canada (IIROC)
            • Mutual Fund Dealers Association of Canada (MFDA)
        • Marketplaces
          • Exchanges
            • Recognized exchanges
            • Exempt exchanges
            • Swap Execution Facilities and Multilateral Trading Facilities
          • Alternative trading systems (ATSs)
            • ATSs operating in Ontario
        • Clearing agencies and clearing houses
          • Recognized clearing agencies
          • Exempted clearing agencies
        • Investor protection funds
          • Canadian Investor Protection Fund (CIPF)
          • Predecessor investor protection funds
            • Former Canadian Investor Protection Fund (former CIPF)
            • MFDA Investor Protection Corporation (MFDA IPC)
        • Information processors
        • Trade repositories
        • Market structure initiatives
      • Derivatives
        • Data reporting requirements for derivatives in Ontario and trade repository designation
        • Legal entity identifiers
        • CORRA/Term CORRA-based OTC derivatives trend analysis
        • List of foreign derivatives firms exempt under sections 39 or 46 of NI 93-101
      • Artificial intelligence (AI)
      • SEDAR+
    • Securities law
      • Legislation
        • Legislative reviews
      • Instruments, rules and policies
        • 1 - Procedure and Related Matters
        • 2 - Certain Capital Market Participants
        • 3 - Registration Requirements and Related Matters
        • 4 - Distribution Requirements
        • 5 - Ongoing Requirements for Issuers and Insiders
        • 6 - Take-Over Bids and Special Transactions
        • 7 - Securities Transactions Outside the Jurisdiction
        • 8 - Investment Funds
        • 9 - Derivatives
        • Documents not numbered
        • Securities rule-making in Ontario
      • Proposed instruments, rules and policies
      • Orders, rulings and decisions
      • Blanket orders
      • Delegation orders
      • OSC Bulletin
      • Filing documents online
        • Registration forms and documents
        • Reporting issuer and issuer forms
    • Tribunal
    • Investors
      • Investor protection
        • The OBSI Joint Regulators Committee
      • Investor resources
      • Investor research and reports
      • Investor warnings and alerts
      • Check before you invest
      • OSC in the Community
      • Investor Advisory Panel
        • Members of the Investor Advisory Panel
        • Investor Advisory Panel meeting agendas
        • Investor Advisory Panel notices and information
        • Submissions by the Investor Advisory Panel
    • Enforcement
      • Court proceedings
      • Sanctions
        • Allocation and use of funds from sanctions and settlements
          • Current distributions of funds from sanctions and settlements
        • Individuals or companies with unpaid OSC sanctions
      • Cease trade and freeze orders
      • Mediation program
      • OSC Whistleblower Program
        • Award eligibility and process
        • Whistleblower protections
        • Submit a whistleblower report
          • Submission guide
          • Technical support for submitting a Whistleblower report
        • Update on the OSC Whistleblower Program 2016 to 2022
      • Investigation resources
      • Automatically reciprocated orders and settlement agreements
      • OSC QuadrigaCX report
        • QuadrigaCX investigative report
    • News & events
      • News releases
      • Events
        • Speeches and interviews
        • OSC Dialogue
          • OSC Dialogue 2025: Future Ready
          • OSC Dialogue 2024: Inviting, thriving and secure capital markets
          • OSC Dialogue 2023: Regulating with Purpose
        • OSC Dialogue 2025: Future Ready
      • Reports and publications
      • Media resources
      • Connect with us
      • Subscribe
        • OSC Guide
      • COVID-19 updates
    • About us
      • Role of the OSC
        • Our structure
        • OSC Strategic Plan
        • OSC organization and leadership
        • Advisory committees
      • Governance
        • Board Directors
          • Board Director opportunities
        • Board committees
      • Accountability
        • OSC Annual Report
        • OSC Statement of Priorities
        • OSC Business Plan
        • OSC Service Commitment
          • OSC Service Standards Reporting
        • Expense disclosure
      • Domestic and international engagement
        • Domestic engagement
          • Domestic Memoranda of Understanding (MOUs)
        • International engagement
          • International Memoranda of Understanding (MOUs)
          • Data privacy and the Administrative Arrangement
        • Visits from foreign delegations
      • Careers at the OSC
        • Working at the OSC
        • Student employment opportunities
        • Applying for a job with the OSC
      • Contact us
        • Accessing OSC records
      • Open Data
        • Open Data feedback form
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