INDUSTRY PROFILES

DEALERS AND MARKETS




INDUSTRY PROFILE

DEALERS


(All statistics are as at March 31, 2015)
Investment dealers regulated by the Investment Industry Regulatory Organization of Canada (IIROC) vary in size, ranging from the largest financial institutions in the country to small businesses with 10 or fewer staff registered with IIROC. They represent a variety of business models, including a focus on retail or institutional clients, and an integrated approach with both retail clients and investment banking operations.
Categories of Investment Dealers

Individuals and Firms Regulated by IIROC

Member Firms (by Revenue)

Member Firms (by Number of Approved Persons)

INDUSTRY PROFILE

MARKETS


(All statistics are as at March 31, 2015)
IIROC regulates trading activity on five stock exchanges (Toronto Stock Exchange (TSX), TSX Venture Exchange (TSXV), Alpha Exchange, Canadian Securities Exchange (CSE) and Aequitas Neo Exchange*); and performs real-time surveillance of nine Alternative Trading Systems (ATSs) that trade equities (Chi-X Canada (Chi-X), TMX Select, Omega ATS (Omega), Instinet Canada Cross Limited (ICX), TriAct Canada Marketplace (MATCH Now), Liquidnet Canada Inc. (Liquidnet), Lynx ATS (Lynx), CX2 Canada ATS (CX2) and Bloomberg Tradebook Canada).

Canada’s Multiple Marketplaces

(Where Trading Took Place in 2014-2015 by Share Volume)**
TSX-Listed Percentage

TSXV-Listed Percentage

CANADIAN SECURITIES EXCHANGE (CSE)

99.7% of CSE-listed securities traded on the CSE. The remaining 0.3% of trading took place on Omega ATS.

Activity on the equity marketplaces whose trading activity is regulated by IIROC

Trades - Number of Transactions (Millions)
Volume - Total Shares Trades (Billions)
Value - of Shares Traded ($ Billions)

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