list of securities eligible for reduced margin...iiroc notice 20-0167 rules notice – technical –...
Post on 15-Sep-2020
11 Views
Preview:
TRANSCRIPT
Attachment #1
Compiled by the Investment Industry Regulatory Page 1 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin [effective from November 24, 2020 until replaced by a subsequent list]
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 2 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ABSOLUTE SOFTWARE J ABT
BARRICK GOLD CORP ABX
AIR CANADA VOTE & VV AC
ATCO LTD. CL I NV ACO.X
ATCO LTD. CL II ACO.Y
AUTOCANADA INC. ACQ
ANDREW PELLER A NV ADW.A
ANDREW PELLER LTD. B ADW.B
AGNICO EAGLE MINES AEM
AG GROWTH INT'L INC. AFN
AGF MANAGEMENT B NV AGF.B
ALAMOS GOLD INC. J AGI
ATRIUM MTG INVEST AI
ALTUS GROUP LIMITED AIF
AIMIA INC. AIM
AIMIA INC. SER 1 PR AIM.PR.A
AIMIA INC. SER 3 PR AIM.PR.C
ALTAGAS LTD. ALA
ALTAGAS LTD SR A PR ALA.PR.A
ALTAGAS LTD SR B PR ALA.PR.B
ALTAGAS LTD SR E PR ALA.PR.E
ALTAGAS LTD SR G PR ALA.PR.G
ALTAGAS LTD SR H PR ALA.PR.H
ALTAGAS LTD SR I PR ALA.PR.I
ALTAGAS LTD SR K PR ALA.PR.K
ALTAGAS LTD C PR USF ALA.PR.U
ALTIUS MINERALS CORP ALS
ALTIUS MINERALS PR ALS.PR.A
ALITHYA GROUP J A SV ALYA
AMEX EXPL IN AMX
ANDLAUERHLTHCR GRPSV AND
ALLIED PROP. REIT UN AP.UN
APHRIA INC. J APHA
Description Symbol
AUTOMOTIVE PPTY UN APR.UN
APTOSE BIOSCIENCES APS
ALGONQUIN PWR & UTIL AQN
ALGONQUIN PWR A PR AQN.PR.A
ALGONQUIN PWR D PR AQN.PR.D
ARGONAUT GOLD INC. J AR
AECON GROUP INC. ARE
ARC RESOURCES LTD. ARX
ACUITYADS HLDGS J AT
ATS AUTOMATION TOOL ATA
ALIMENTATION CL A MV ATD.A
ALIMENTATION CL B SV ATD.B
ATLANTIC POWER ATP
ARITZIA INC. SV ATZ
AURYN RESOURCES J AUG
A&W REVENUE RYLTY UN AW.UN
ARTIS REIT UN AX.UN
ARTIS REIT SER A PR AX.PR.A
ARTIS REIT SER E PR AX.PR.E
ARTIS REIT SER I PR AX.PR.I
ALEXCO RESOURCE J AXU
BADGER DAYLIGHTING BAD
BROOKFLD ASSET A LV BAM.A
BROOKFLD ASSET PR 32 BAM.PF.A
BROOKFLD ASSET PR 34 BAM.PF.B
BROOKFLD ASSET PR 36 BAM.PF.C
BROOKFLD ASSET PR 37 BAM.PF.D
BROOKFLD ASSET PR 38 BAM.PF.E
BROOKFLD ASSET PR 40 BAM.PF.F
BROOKFLD ASSET PR 42 BAM.PF.G
BROOKFLD ASSET PR 44 BAM.PF.H
BROOKFLD ASSET PR 46 BAM.PF.I
BROOKFLD ASSET PR 48 BAM.PF.J
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 3 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
BROOKFLD ASSET PR 2 BAM.PR.B
BROOKFLD ASSET PR 4 BAM.PR.C
BROOKFLD ASSET PR 8 BAM.PR.E
BROOKFLD ASSET PR 9 BAM.PR.G
BROOKFLD ASSET PR 13 BAM.PR.K
BROOKFLD ASSET PR 17 BAM.PR.M
BROOKFLD ASSET PR 18 BAM.PR.N
BROOKFLD ASSET PR 24 BAM.PR.R
BROOKFLD ASSET PR 25 BAM.PR.S
BROOKFLD ASSET PR 26 BAM.PR.T
BROOKFLD ASSET PR 28 BAM.PR.X
BROOKFLD ASSET PR 30 BAM.PR.Z
BLACKBERRY LIMITED BB
BROOKFIELD BUS LP UN BBU.UN
BESPOKECAPACQA RV US BC.U
BCE INC. BCE
BCE INC. PR SER AA BCE.PR.A
BCE INC. PR SER AB BCE.PR.B
BCE INC. PR SER AC BCE.PR.C
BCE INC. PR SER AD BCE.PR.D
BCE INC. PR SER AE BCE.PR.E
BCE INC. PR SER AF BCE.PR.F
BCE INC. PR SER AG BCE.PR.G
BCE INC. PR SER AH BCE.PR.H
BCE INC. PR SER AI BCE.PR.I
BCE INC. PR SER AJ BCE.PR.J
BCE INC. PR SER AK BCE.PR.K
BCE INC. PR SER AL BCE.PR.L
BCE INC. PR SER AM BCE.PR.M
BCE INC. PR SER AN BCE.PR.N
BCE INC. PR SER AO BCE.PR.O
BCE INC. PR SER AQ BCE.PR.Q
BCE INC. PR SER R BCE.PR.R
Description Symbol
BCE INC. PR SER S BCE.PR.S
BCE INC. PR SER T BCE.PR.T
BCE INC. PR SERIES Y BCE.PR.Y
BCE INC. PR SERIES Z BCE.PR.Z
BIRD CONSTRUCTION BDT
BOARDWALK REIT UN BEI.UN
BROOKFLD RENEW LP UN BEP.UN
BROOKFIELD RENEW PR5 BEP.PR.E
BROOKFIELD RENEW PR7 BEP.PR.G
BROOKFIELD RENEW PR9 BEP.PR.I
BROOKFIELD RENEWPR11 BEP.PR.K
BROOKFIELD RENEWPR13 BEP.PR.M
BROOKFIELD RENEWPR15 BEP.PR.O
BROOKFLD RENEWA EXSV BEPC
BAUSCH HEALTH CO BHC
BROOKFIELD INFRAS UN BIP.UN
BROOKFIELD INFRASPR1 BIP.PR.A
BROOKFIELD INFRASPR3 BIP.PR.B
BROOKFIELD INFRASPR5 BIP.PR.C
BROOKFIELD INFRASPR7 BIP.PR.D
BROOKFIELD INFRASPR9 BIP.PR.E
BROOKFIELD INFRAPR11 BIP.PR.F
BROOKFLD INFRAS A SV BIPC
BALLARD POWER SYS BLDP
BORALEX INC. CL A BLX
BANK OF MONTREAL BMO
BK OF MON PR SER 26 BMO.PR.A
BK OF MON PR SER 38 BMO.PR.B
BK OF MON PR SER 40 BMO.PR.C
BK OF MON PR SER 42 BMO.PR.D
BK OF MON PR SER 44 BMO.PR.E
BK OF MON PR SER 46 BMO.PR.F
BK OF MON PR SER 25 BMO.PR.Q
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 4 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
BK OF MON PR SER 27 BMO.PR.S
BK OF MON PR SER 29 BMO.PR.T
BK OF MON PR SER 31 BMO.PR.W
BK OF MON PR SER 33 BMO.PR.Y
BK OF MON PR SER 35 BMO.PR.Z
BANK OF NOVA SCOTIA BNS
BANK OF N S SR 34 PR BNS.PR.E
BANK OF N S SR 33 PR BNS.PR.F
BANK OF N S SR 36 PR BNS.PR.G
BANK OF N S SR 38 PR BNS.PR.H
BANK OF N S SR 40 PR BNS.PR.I
BANK OF N S SR 32 PR BNS.PR.Z
AIRBOSS OF AMERICA J BOS
BOSTON PIZZA FND UN BPF.UN
BROOKFLD PPTY LP UN BPY.UN
BTB REIT UN BTB.UN
B2GOLD CORP. BTO
CI 1STAST1-5GVTBNDUN BXF
BOYD GROUP SERVICES BYD
CIBC ACTVINVCORPBOND CACB
CAE INC. CAE
CDN APARTMENT TR UN CAR.UN
CASCADES INC. CAS
ISHRE 1-10CORPBND UN CBH
ISHRE 1-5 CORPBND UN CBO
COGECO COMMUN INC SV CCA
COLUMBIA CARE INC. CCHW
CCL INDUSTRIES CL A CCL.A
CCL INDUSTRIES CL B CCL.B
CAMECO CORPORATION CCO
CERIDIAN HCM HLDG J CDAY
ISHR CDNDIVARISTO UN CDZ
SPROTT PHYGLD&SIL TR CEF
Description Symbol
SPROTT PHYGLD&SIL US CEF.U
ISHARES EQWEIGHT UN CEW
CANACCORD GENUITY CF
CANACCORD GEN A PR CF.PR.A
CANACCORD GEN C PR CF.PR.C
CANFOR CORPORATION CFP
CANFOR PULP PRODUCTS CFX
CENTERRA GOLD INC. CG
ISHARE GLDBULHDGD UN CGL
ISHARE GLDBUL NN-HDG CGL.C
COGECO INC. SV CGO
CI 1STAST GLD+GIANTS CGXF
CHEMTRADE LOGISTC UN CHE.UN
CHOICE PPTY REIT UN CHP.UN
CHORUS AVIATION V&VV CHR
CHAMPION IRON ORD J CIA
COLLIERS INTL GRP SV CIGI
CI FINANCIAL CORP. CIX
CORUS ENTERTNMNT B CJR.B
CARGOJET INC. COM&VV CJT
ISHRE 1-5 GOVTBND UN CLF
ISHRE 1-10GOVTBND UN CLG
ALCANNA INC. CLIQ
CLEARWATER SEAFOODS CLR
CELESTICA INC SV CLS
CDN IMPERIAL BANK CM
CDN IMP BK SER 39 PR CM.PR.O
CDN IMP BK SER 41 PR CM.PR.P
CDN IMP BK SER 43 PR CM.PR.Q
CDN IMP BK SER 45 PR CM.PR.R
CDN IMP BK SER 47 PR CM.PR.S
CDN IMP BK SER 49 PR CM.PR.T
CDN IMP BK SER 51 PR CM.PR.Y
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 5 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
CI MUNROALTGLBGROWUN CMAG
CI MARRETALT RETBOND CMAR
CI MARRETALTRETBNDUS CMAR.U
COMPUTER MODELLING J CMG
C-COM SATELL CMI
ISHARES MONEYMKT UN CMR
CANACOL ENERGY J CNE
CANADIAN NATURAL RES CNQ
CDN NAT'L RAILWAY CNR
CDN PACIFIC RAILWAY CP
ISHARES CDNPREF UN CPD
CAPITAL POWER CORP. CPX
CAPITAL PWR SER 1 PR CPX.PR.A
CAPITAL PWR SER 3 PR CPX.PR.C
CAPITAL PWR SER 5 PR CPX.PR.E
CAPITAL PWR SER 7 PR CPX.PR.G
CAPITAL PWR SER 9 PR CPX.PR.I
CAPITAL PWR SR 11 PR CPX.PR.K
CRH MEDICAL CORP. J CRH
CRONOS GROUP INC. J CRON
CROMBIE REAL EST UN CRR.UN
CT RL EST INVEST UN CRT.UN
CI 1STAST INTERSTSVG CSAV
CHARTWELL RETIRE UN CSH.UN
CONSTELLATION SOFTWR CSU
CANADIAN TIRE CORP CTC
CANADIAN TIRE A NV CTC.A
CONVERGE TEC CTS
CDN UTILITIES A NV CU
CDN UTIL 2ND PR Y CU.PR.C
CDN UTIL 2ND PR AA CU.PR.D
CDN UTIL 2ND PR BB CU.PR.E
CDN UTIL 2ND PR CC CU.PR.F
Description Symbol
CDN UTIL 2ND PR DD CU.PR.G
CDN UTIL 2ND PR EE CU.PR.H
CDN UTIL 2ND PR FF CU.PR.I
CDN UTILITIES CL B CU.X
COMINAR REAL EST UN CUF.UN
CENOVUS ENERGY INC. CVE
CDN WSTRN BANK CWB
CDN WSTRN BK SR 5 PR CWB.PR.B
CDN WSTRN BK SR 7 PR CWB.PR.C
CDN WSTRN BK SR 9 PR CWB.PR.D
CHARLOTTE'S WEB HLDG CWEB
CANWEL BUILDING GRP CWX
DREAM OFFICE REIT UN D.UN
DESJARDN ALTLN/SH EQ DANC
DOCEBO INC. J DCBO
DIVIDEND 15 SPLT A DFN
DIVIDEND 15 SPLT PR DFN.PR.A
DIV GROWTH SPLIT PR DGS.PR.A
DREAM INDUSTRL REIT DIR.UN
HORIZON US$ CUR A UN DLR
HORIZON US$CUR A USF DLR.U
DOLLARAMA INC. DOL
BRP INC. SV DOO
DUNDEE PRECIOUS MTL DPM
DREAM HRD ASETALT UN DRA.UN
DREAM UNLTD CL A SV DRM
DESCARTES SYSTEMS DSG
DYNAMIC ACTVTACT BND DXB
DYNAMIC ACTV GLBLDIV DXG
DYNAMIC ACTV PREF UN DXP
ECN CAPITAL CORP. ECN
ECN CAPITAL 6.50% PR ECN.PR.A
ECN CAPITAL 6.25% PR ECN.PR.C
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 6 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ECOSYNTHETIX INC. J ECO
ENDEAVOUR SILVER J EDR
ENDEAVOUR MINING ORD EDV
ELEMENT FLEET MGT EFN
ELEMENT FLEET PR A EFN.PR.A
ELEMENT FLEET PR C EFN.PR.C
ELEMENT FLEET PR E EFN.PR.E
ELEMENT FLEET PR I EFN.PR.I
ENERGY FUELS INC. J EFR
ENERFLEX LTD. EFX
EXCHANGE INCOME CORP EIF
CANOE EIT INCOME UN EIT.UN
CANOE EIT SER 1 PR EIT.PR.A
CANOE EIT SER 2 PR EIT.PR.B
ELDORADO GOLD CORP. ELD
EMERA INCORPORATED EMA
EMERA INC. SER A PR EMA.PR.A
EMERA INC. SER B PR EMA.PR.B
EMERA INC. SER C PR EMA.PR.C
EMERA INC. SER E PR EMA.PR.E
EMERA INC. SER F PR EMA.PR.F
EMERA INC. SER H PR EMA.PR.H
EMPIRE CO CL A NV EMP.A
EMX RYLTY CO EMX
ENBRIDGE INC. ENB
ENBRIDGE SER 9 PR ENB.PF.A
ENBRIDGE SER 11 PR ENB.PF.C
ENBRIDGE SER 13 PR ENB.PF.E
ENBRIDGE SER 15 PR ENB.PF.G
ENBRIDGE SER 17 PR ENB.PF.I
ENBRIDGE SER 19 PR ENB.PF.K
ENBRIDGE SER L US PR ENB.PF.U
ENBRIDGE SER 5 US PR ENB.PF.V
Description Symbol
ENBRIDGE 5.50% PR ENB.PR.A
ENBRIDGE INC SR B PR ENB.PR.B
ENBRIDGE INC SR C PR ENB.PR.C
ENBRIDGE INC SR D PR ENB.PR.D
ENBRIDGE INC SR F PR ENB.PR.F
ENBRIDGE INC SR H PR ENB.PR.H
ENBRIDGE SER 7 PR ENB.PR.J
ENBRIDGE INC SR N PR ENB.PR.N
ENBRIDGE INC SR P PR ENB.PR.P
ENBRIDGE INC SR R PR ENB.PR.T
ENBRIDGE SR J US PR ENB.PR.U
ENBRIDGE SER 1 US PR ENB.PR.V
ENBRIDGE SER 3 PR ENB.PR.Y
ENGHOUSE SYSTEMS LTD ENGH
EQUITABLE GROUP INC. EQB
EQUITABLE GRP PR 3 EQB.PR.C
EQUINOX GOLD CORP. J EQX
EUROPEAN RES REIT UN ERE.UN
ENERPLUS CORPORATION ERF
ERO COPPER CORP. J ERO
EVERTZ TECHNOLOGIES ET
EXTENDICARE INC. EXE
EXFO INC. SV EXF
ABERDEEN ASIA-PACIFC FAP
FIRM CAP MTG INVEST FC
FIDELITY GLBCORE+BND FCGB
FIDELITY INTLHIQUAL FCIQ
FIRST CAP REIT UN FCR.UN
FIDELITYCDNST CRPBND FCSB
FAIRFAX FINANCIAL SV FFH
FAIRFAX FIN SER C PR FFH.PR.C
FAIRFAX FIN SER D PR FFH.PR.D
FAIRFAX FIN SER E PR FFH.PR.E
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 7 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
FAIRFAX FIN SER F PR FFH.PR.F
FAIRFAX FIN SER G PR FFH.PR.G
FAIRFAX FIN SER H PR FFH.PR.H
FAIRFAX FIN SER I PR FFH.PR.I
FAIRFAX FIN SER J PR FFH.PR.J
FAIRFAX FIN SER K PR FFH.PR.K
FAIRFAX FIN SER M PR FFH.PR.M
FAIRFAX FIN SV USF FFH.U
CI 1STAST ENHGOVBOND FGO
CI1STAST ENHGVTBNDUS FGO.U
ISHARES CDNFINMO UN FIE
CI 1ST ASST INVBNDUN FIG
CI 1ST ASSTINVBND US FIG.U
FAIRFAX INDIA SV USF FIH.U
FRANKLIN LIB GLB BND FLGA
FIRST QUANTUM MNRL J FM
FIRST NAT'L FIN CORP FN
1ST NATL FIN SR 1 PR FN.PR.A
1ST NATL FIN SR 2 PR FN.PR.B
FRANCO-NEVADA CORP. FNV
GOODFOOD MARKET J FOOD
FIRST MAJESTIC J FR
FREEHOLD ROYALTIES FRU
FENNEC PHARMACEUT J FRX
CI 1STASTENHNCSH BND FSB
CI1STASTENHNCSHBNDUS FSB.U
FIRSTSERVICE CORP. FSV
FIERA CAPITAL A SV FSZ
FINANCIAL 15 SPLT A FTN
FINANCIAL 15 SPLT PR FTN.PR.A
FORTIS INC. FTS
FORTIS INC. 1ST PR F FTS.PR.F
FORTIS INC. 1ST PR G FTS.PR.G
Description Symbol
FORTIS INC. 1ST PR H FTS.PR.H
FORTIS INC.1ST PR I FTS.PR.I
FORTIS INC. 1ST PR J FTS.PR.J
FORTIS INC. 1ST PR K FTS.PR.K
FORTIS INC. 1ST PR M FTS.PR.M
FINNING INT'L INC. FTT
FORTUNA SILVER MINES FVI
GREAT CDN GAMING GC
GRAN COLOMBIA GOLD GCM
GIBSON ENERGY INC GEI
GFL ENVIRONMENT SV GFL
CGI INC. CL A SV GIB.A
GILDAN ACTIVEWEAR GIL
GOLDMINING INC. J GOLD
CDA GOOSE HLDGS SV GOOS
GRANITE RL EST TR UN GRT.UN
GOLDEN STAR RESOURCE GSC
GOEASY LTD. GSY
KNIGHT THERAPEUTICS GUD
GREAT-WEST LIFECO GWO
GT-WEST LIFECO PR F GWO.PR.F
GT-WEST LIFECO PR G GWO.PR.G
GT-WEST LIFECO PR H GWO.PR.H
GT-WEST LIFECO PR I GWO.PR.I
GT-WEST LIFECO PR L GWO.PR.L
GT-WEST LIFECO PR M GWO.PR.M
GT-WEST LIFECO PR N GWO.PR.N
GT-WEST LIFECO PR O GWO.PR.O
GT-WEST LIFECO PR P GWO.PR.P
GT-WEST LIFECO PR Q GWO.PR.Q
GT-WEST LIFECO PR R GWO.PR.R
GT-WEST LIFECO PR S GWO.PR.S
GT-WEST LIFECO PR T GWO.PR.T
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 8 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
HYDRO ONE LIMITED H
HORIZON CORPBND E UN HAB
HORIZON CDN SLCTUNIV HBB
HARVESTBRNDLDR+ A UN HBF
HARVESTBRNDLDR+B U-H HBF.B
HARVESTBRNDLDR+US UN HBF.U
HUDBAY MINERALS INC. HBM
HOME CAPITAL GROUP HCG
HARDWOODS DIST INC. HDI
HORIZONS GOLD PROD E HEP
HORIZON ACTULTST BND HFR
HARVEST HLTHCRLDR UN HHL
HARVESTHEALTHCRB U-H HHL.B
HARVESTHEALTHCARE US HHL.U
HIGH LINER FOODS INC HLF
HLS THERAPEUTICS J HLS
HORIZONS MARIJ LFE A HMMJ
HORIZONS MARIJ US HMMJ.U
HORIZON NTH LOGSTC J HNL
AMERICAN HOTL UN USF HOT.U
AMERICAN HOTL LP UN HOT.UN
HORIZON PREF CL E UN HPR
BETAPRONASDQ100 2XBL HQU
H&R REAL ESTATE UN HR.UN
HEROUX-DEVTEK INC. HRX
HORIZONS CSHMAXSHARE HSAV
HUSKY ENERGY INC. HSE
HUSKY ENERGY SR 1 PR HSE.PR.A
HUSKY ENERGY SR 2 PR HSE.PR.B
HUSKY ENERGY SR 3 PR HSE.PR.C
HUSKY ENERGY SR 5 PR HSE.PR.E
HUSKY ENERGY SR 7 PR HSE.PR.G
HARVESTTECHACHVGRW A HTA
Description Symbol
HARVESTTECACHGROB UH HTA.B
HARVESTTECHACHGROWUS HTA.U
HORIZONSS&PTSXCAPIDX HXCN
HORIZON NASDAQ100SHR HXQ
HORIZON NASDAQ100 US HXQ.U
HORIZONS S&P500 SHR HXS
HORIZON S&P500 US SH HXS.U
HORIZON S&P/TSX60 HXT
HORIZON S&P/TSX60 US HXT.U
IA FINANCIAL CORP. IAG
IBI GROUP INC. IBG
INTACT FIN CORP. IFC
INTACT FIN A SER 1 IFC.PR.A
INTACT FIN A SER 3 IFC.PR.C
INTACT FIN A SER 4 IFC.PR.D
INTACT FIN A SER 5 IFC.PR.E
INTACT FIN A SR 6 PR IFC.PR.F
INTACT FIN A SR 7 PR IFC.PR.G
INTACT FIN A SER 9 IFC.PR.I
INTERFOR CORPORATION IFP
IGM FINANCIAL INC. IGM
IMPERIAL METALS CORP III
INTERRENT REIT UN J IIP.UN
IAMGOLD CORPORATION IMG
IMPERIAL OIL LTD. IMO
IMV INC. J IMV
INNERGEX RENEW ENGY INE
INNERGEX RENEW PR A INE.PR.A
INNERGEX RENEW PR C INE.PR.C
INOVALIS REIT UN INO.UN
INTER PIPELINE LTD. IPL
INTERTAPE POLYMER ITP
IVANHOE MINES CL A J IVN
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 9 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
JAGUAR MINING INC. J JAG
JAMIESON WELLNESS JWEL
KINROSS GOLD CORP. K
KEYERA CORP. KEY
KIRKLAND LAKE GOLD J KL
KILLAM APT REIT UN J KMP.UN
K92 MNG INC. KNT
CORVUS GOLD INC. J KOR
KARORA RES INC. J KRR
KNEAT.COM IN KSI
KINAXIS INC. J KXS
LOBLAW COMPANIES LTD L
LOBLAW CO. SER B PR L.PR.B
LAURENTIAN BK OF CAN LB
LAURENTIAN BK PR 13 LB.PR.H
LAURENTIAN BK PR 15 LB.PR.J
LIBERTY GOLD CORP. J LGD
LABRADOR IRON ORE LIF
LINAMAR CORPORATION LNR
LUNDIN GOLD INC. J LUG
LUNDIN MINING CORP LUN
MAG SILVER CORP. J MAG
MAGELLAN AEROSPACE MAL
MARIMACA COPPER J MARI
MAJOR DRILLING GROUP MDI
MANULIFE FINANCIAL MFC
MANULIFE FIN SR 2 PR MFC.PR.B
MANULIFE FIN A PR 3 MFC.PR.C
MANULIFE FIN SR 3 PR MFC.PR.F
MANULIFE FIN SR 5 PR MFC.PR.G
MANULIFE FIN SR 7 PR MFC.PR.H
MANULIFE FIN SR 9 PR MFC.PR.I
MANULIFE FIN SR11 PR MFC.PR.J
Description Symbol
MANULIFE FIN SR13 PR MFC.PR.K
MANULIFE FIN SR15 PR MFC.PR.L
MANULIFE FIN SR17 PR MFC.PR.M
MANULIFE FIN SR19 PR MFC.PR.N
MANULIFE FIN SR21 PR MFC.PR.O
MANULIFE FIN SR 4 PR MFC.PR.P
MANULIFE FIN SR25 PR MFC.PR.Q
MANULIFE FIN SR23 PR MFC.PR.R
MAPLE LEAF FOODS INC MFI
MACKENZIE FLTGRATE E MFT
MAGNA INT'L INC. MG
MINTO APART REIT UN MI.UN
GENWORTH MI CANADA MIC
MACKENZIE CAFXINCM E MKB
MAVERIX METALS INC. MMX
RY CDN MINT-GOLD ETR MNT
RY CDN MINT-GOLD USF MNT.U
MARATHON GOLD CORP J MOZ
MARTINREA INT'L INC. MRE
MORGUARD NA REIT UN MRG.UN
MORGUARD REAL EST UN MRT.UN
METRO INC. MRU
MORNEAU SHEPELL INC. MSI
MTLLA RYLTY MTA
MULLEN GROUP LTD. MTL
MTY FOOD GROUP INC. MTY
MACKENZIE UNCNSTRN E MUB
METHANEX CORPORATION MX
NAT'L BANK OF CANADA NA
NAT'L BANK SER 36 PR NA.PR.A
NAT'L BANK SER 38 PR NA.PR.C
NAT'L BANK SER 40 PR NA.PR.E
NAT'L BANK SER 42 PR NA.PR.G
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 10 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
NAT'L BANK SER 30 PR NA.PR.S
NAT'L BANK SER 32 PR NA.PR.W
NAT'L BANK SER 34 PR NA.PR.X
NEXA RESOURCES S.A. NEXA
NFI GROUP INC. NFI
NOVAGOLD RESOURCES J NG
NEW GOLD INC. NGD
NEWMONT CORPORATION NGT
NBI HIGHYLD BOND UN NHYB
N.A. CONSTRUCTION NOA
NORTHLAND POWER INC. NPI
NORTHLAND PWR PR 1 NPI.PR.A
NORTHLAND PWR PR 2 NPI.PR.B
NORTHLAND PWR PR 3 NPI.PR.C
NUTRIEN LTD. NTR
NEW PACIFIC METALS J NUAG
NOVO RES COR NVO
NTHVIEW APT REIT UN NVU.UN
NW COMPANY VARV&COMV NWC
NW HEALTHCARE UN NWH.UN
NEXGEN ENERGY LTD. J NXE
OCEANAGOLD CORP. OGC
O3 MNG INC. OIII
ORLA MINING LTD. J OLA
ONEX CORPORATION SV ONEX
OSISKO GLD ROYALTY OR
OROCOBRE LTD. ORD J ORL
NORBORD INC. OSB
OSISKO MINING INC. J OSK
OPEN TEXT CORP OTEX
PAN AMERICAN SILVER PAAS
PREMIUM BRANDS HLDGS PBH
INVESCO CDN DIV UN PDC
Description Symbol
PEOPLE CORP PEO
PEYTO EXPL & DEV PEY
PICTON MAHONEYINCOME PFIA
PREMIER GOLD MINES J PG
PIMCO GBL INCMOPP UN PGI.UN INVESCO LONG TERM GOVERNMENT BOND INDEX ETF PGL
PURE GLD MNG PGM
SPROTT PHYGOLD CA UN PHYS
SPROTT PHY GLD UN US PHYS.U
POLARIS INFRAS J PIF
PARKLAND CORP. PKI
PINNACLE RENEWBLENGY PL
PARK LAWN CORP. PLC
PLAZA RETAIL REIT UN PLZ.UN
PIMCO MTHLYINCMETFUN PMIF
PIMCO MTHLY INCM US PMIF.U
POWER CORP OF CDA SV POW
POWER CORP 5.6% PR A POW.PR.A
POWER CORP 5.35% PR POW.PR.B
POWER CORP 5.80% PR POW.PR.C
POWER CORP 5.00% PR POW.PR.D
POWER CORP PART. PR POW.PR.E
POWER CORP SR861STPR POW.PR.F
POWER CORP 5.6% PR G POW.PR.G
PEMBINA PIPELINE PPL
PEMBINA PIPE PR 21 PPL.PF.A
PEMBINA PIPE PR 23 PPL.PF.C
PEMBINA PIPE PR 25 PPL.PF.E
PEMBINA PIPE SR 1 PR PPL.PR.A
PEMBINA PIPE SR 3 PR PPL.PR.C
PEMBINA PIPE SR 5 PR PPL.PR.E
PEMBINA PIPE SR 7 PR PPL.PR.G
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 11 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
PEMBINA PIPE SR 9 PR PPL.PR.I
PEMBINA PIPE PR 11 PPL.PR.K
PEMBINA PIPE PR 13 PPL.PR.M
PEMBINA PIPE PR 15 PPL.PR.O
PEMBINA PIPE PR 17 PPL.PR.Q
PEMBINA PIPE PR 19 PPL.PR.S
PRIMO WATER CORP. PRMW
PROFOUND MEDICAL PRN
PRO REAL EST TR UN PRV.UN
PURPOSE HIGH INTSVGS PSA
INVESCO1-5CORPBND UN PSB
PASON SYSTEMS INC. PSI
PRAIRIESKY ROYALTY PSK
SPROTT PHY SIL CDN PSLV
SPROTT PHY SILVER US PSLV.U
POINTS INT'L LTD. J PTS
PRETIUM RESOURCES J PVG
PAREX RESOURCES J PXT
PIZZA PIZZA ROYALTY PZA
QUEBECOR INC CL A MV QBR.A
QUEBECOR INC CL B SV QBR.B
AGFIQ US ANTIBETCAHG QBTL
MACKENZIE CDN EQTYUN QCN
INVESCO QQQ CA$HG QQC.F
RESTAURANT BRND INTL QSR MACKENZIE US TIPS INDEX ETF (CAD-HEDGED) QTIP
STINGRAY GROUP SV RAY.A
STINGRAY VARY SV RAY.B
RITCHIE BROS AUCTION RBA
RICHELIEU HARDWARE RCH
ROGERS COMM CL A RCI.A
ROGERS COMM CL B NV RCI.B
Description Symbol
REAL MATTERS INC. REAL
RECIPE UNLIMITED SV RECP
RIOCAN RL EST TR UN REI.UN
CI 1ST ASSET CDNREIT RIT
TRANSALTA RENEWABLE RNW
RBC CDN PREF CA UN RPF
ROGERS SUGAR INC. RSI
RUSSEL METALS INC. RUS
RBC ST US CORPBNDCAD RUSB
RBC ST US CORPBNDUSF RUSB.U
ROYAL BANK OF CANADA RY
ROYAL BANK PR SER BB RY.PR.H
ROYAL BANK PR SER BD RY.PR.J
ROYAL BANK PR SER BF RY.PR.M
ROYAL BANK PR SER BH RY.PR.N
ROYAL BANK PR SER BI RY.PR.O
ROYAL BANK PR SER BJ RY.PR.P
ROYAL BANK PR SER BK RY.PR.Q
ROYAL BANK PR SER BM RY.PR.R
ROYAL BANK PR SER BO RY.PR.S
ROYAL BANK PR SER AZ RY.PR.Z
SAPUTO INC. SAP
SABINA GLD & SLVR J SBB
BROMPTON SPLT BANC A SBC
BROMPTON SPLT BNC PR SBC.PR.A
SEABRIDGE GOLD INC J SEA
SLATE GROCERYREIT US SGR.U
SLATE GROCERYREIT UN SGR.UN
SHOPIFY INC A SV SHOP
SIENNA SENIOR LIVING SIA
SPROTT INC. SII
SILVERCREST METALS J SIL
SAVARIA CORP. J SIS
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 12 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
STELLA-JONES INC. SJ
SHAW COMMS A SJR.A
SHAW COMM CL B NV SJR.B
SHAW COMM CL 2 PR A SJR.PR.A
SHAW COMM CL 2 PR B SJR.PR.B
SKEENA RES LTD. J SKE
SUN LIFE FIN INC. SLF
SUN LIFE FIN PR A SLF.PR.A
SUN LIFE FIN SER2 PR SLF.PR.B
SUN LIFE FIN SER3 PR SLF.PR.C
SUN LIFE FIN SER4 PR SLF.PR.D
SUN LIFE FIN SER5 PR SLF.PR.E
SUN LIFE FIN SR8R PR SLF.PR.G
SUN LIFE FIN 10R PR SLF.PR.H
SUN LIFE FIN 12R PR SLF.PR.I
SUN LIFE FIN 9QR PR SLF.PR.J
SUN LIFE FIN 11QR PR SLF.PR.K
SUMMIT IND REIT UN J SMU.UN
SNC - LAVALIN GROUP SNC
SLATE OFFICE REIT UN SOT.UN
SUNOPTA, INC. SOY
SUPERIOR PLUS CORP. SPB
SMARTCTR REIT VV UN SRU.UN
STORM RES LTD. J SRX
SANDSTORM GOLD LTD. SSL
SSR MINING INC. SSRM
SANGOMA TECH STC
STEPPE GOLD LTD. J STGO
STELCO HOLDINGS J STLC
STANTEC INC. STN
SUNCOR ENERGY INC. SU
STORAGEVAULT SVI
SILVERCORP METALS J SVM
Description Symbol
SIERRA WIRELESS SW
TELUS CORPORATION T
TRANSALTA CORP. TA
TRANSALTA SER A PR TA.PR.D
TRANSALTA SER B PR TA.PR.E
TRANSALTA SER C PR TA.PR.F
TRANSALTA SER E PR TA.PR.H
TRANSALTA SER G PR TA.PR.J
TUCOWS INC. TC
TRANSCONTINENTL A SV TCL.A
TRANSCONTINENTL B MV TCL.B
TRICON RESIDENTIAL TCN
T.D. BANK TD
T.D. BANK SER 1 PR TD.PF.A
T.D. BANK SER 3 PR TD.PF.B
T.D. BANK SER 5 PR TD.PF.C
T.D. BANK SER 7 PR TD.PF.D
T.D. BANK SER 9 PR TD.PF.E
T.D. BANK SER 12 PR TD.PF.G
T.D. BANK SER 14 PR TD.PF.H
T.D. BANK SER 16 PR TD.PF.I
T.D. BANK SER 18 PR TD.PF.J
T.D. BANK SER 20 PR TD.PF.K
T.D. BANK SER 22 PR TD.PF.L
T.D. BANK SER 24 PR TD.PF.M
TD GLBL TECHLEADRS TEC
TECK RES CL A MV TECK.A
TECK RES CL B SV TECK.B
TIMBERCREEK FIN CORP TF
TFI INTERNATIONAL TFII
TERANGA GOLD CORP. J TGZ
THERATECHNOLOGIES TH
TOROMONT INDUSTRIES TIH
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 13 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
INVESCOCOMPVLTLTY UN TLV
TRILOGY METALS INC J TMQ
TRUE NTHCOMMRCL J UN TNT.UN
TOTAL ENGY SERV INC. TOT
TOURMALINE OIL CORP. TOU
SPIN MASTER CORP SV TOY
TD US EQUITY INDX UN TPU
THOMSON REUTERS CORP TRI
THOMSON REUTER PR II TRI.PR.B
TC ENERGY CORP TRP
TC ENERGY CORP PR 1 TRP.PR.A
TC ENERGY CORP PR 3 TRP.PR.B
TC ENERGY CORP PR 5 TRP.PR.C
TC ENERGY CORP PR 7 TRP.PR.D
TC ENERGY CORP PR 9 TRP.PR.E
TC ENERGY CORP PR 2 TRP.PR.F
TC ENERGY CORP PR 11 TRP.PR.G
TC ENERGY CORP PR 4 TRP.PR.H
TC ENERGY CORP PR 6 TRP.PR.I
TC ENERGY CORP PR 13 TRP.PR.J
TC ENERGY CORP PR 15 TRP.PR.K
TRANSAT A.T. V & VV TRZ
TRISURA GROUP J TSU
CI 1STASTTECH GIANTS TXF
CI1STASTTECGIANTUNHG TXF.B
TOREX GOLD RES J TXG
URANIUM PARTICIPATE U
DOMTAR CORPORATION UFS
UNI-SELECT INC. UNS
AMERICAS GOLD SLVR J USA
VANGUARD CDN AGR BND VAB
VANGUARD BALETF PORT VBAL
VANGUARD GLBXUS AGGR VBG
Description Symbol
VANGUARD USAGGRE BND VBU
VANGUARD FTSE CDAIDX VCE
VANGUARD CONSRV INCM VCIP
VANGUARD CDAALLCAPUN VCN
VANGUARD CONSERVPORT VCNS
VANGRD FTSE DEV EXUS VDU
VANGUARD FTSE DIVYLD VDY
VANGUARD FTSEEMRGMKT VEE
VANGRD DEV US CA-HEG VEF
VANGUARD ALLEQPORTFL VEQT
VILLAGE FARMS INT'L VFF
VANGUARD S&P500 INDX VFV
VICTORIA GLD CORP J VGCX
VANGUARD US DIVAPPR VGG
VANGUARD GROETF PORT VGRO
SEVEN GENERATIONS A VII
VANGUARD EXNA IDX UN VIU
VIEMED HEALTHCARE VMD
VANGUARD FTSECDNREIT VRE
VANGUARD CDN S-T BND VSB
VANGUARD S-T CRPBOND VSC
VANGUARD S&P500 C-HG VSP
VANGUARD US MKTIDXUN VUN
VANGUARD US TOTMKTUN VUS
VANGUARD FTSEGLOBECA VXC
WASTE CONNECTIONS WCN
WESDOME GOLD MINES WDO
THE WAIM WED
THE WAIM PR WED.PR.A
CANOPY GRWTH CORP J WEED
WELL HEALTH TECH J WELL
WEST FRASER TIMBER WFT
WPT INDUSTRL REIT US WIR.U
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 14 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
WPT INDUSTRIAL REIT WIR.UN
WAJAX CORPORATION WJX
WESTON GEORGE WN
WESTON GEORGE 1 PR WN.PR.A
WESTON GEORGE III PR WN.PR.C
WESTON GEORGE IV PR WN.PR.D
WESTON GEORGE V PR WN.PR.E
WINPAK LIMITED WPK
WHEATON PRECIOUS MTL WPM
WSP GLOBAL INC. WSP
WESTSHORE TERMINALS WTE
CI1STASST MRNMOMNTUN WXM
TMX GROUP LIMITED X
GOLDMONEY INC. XAU
ISHR COREMSCI AC WEX XAW
ISHR COREMSCI ACWXUS XAW.U
ISHARES COREBAL UN XBAL
ISHR CDN UNIVERS BND XBB
XEBEC ADSORP XBC
ISHARES CDN CORP BND XCB
ISHARE CORMSCICDNDIV XDIV
ISHR CORE EMRGMKTIMI XEC
ISHRCORMSCI EMRMKTUS XEC.U
ISHR CORMSCIEAFE IMI XEF
ISHR COREMSCI IMI US XEF.U
ISHR S&P/TSX HIDIVUN XEI
ISHRS COREEQPORTF UN XEQT
ISHRCRMSCI EAFEIMIHG XFH
ISHARES FLTG RATE UN XFR
ISHARES CDN GOVT BND XGB
ISHARES CORE GROW UN XGRO
ISHARE CDN HYBRD BND XHB
ISHARES US HIYLD BND XHY
Description Symbol
ISHARE MSCI EAFE IDX XIN
ISHARES S&P/TSX TECH XIT
ISHR CORECDNLT BNDUN XLB
ISHARE HIGHCDNBND UN XQB
ISHARE NASDAQ 100 UN XQQ
ISHARE CDN RLRET BND XRB
ISHRE CDN SH TRM BND XSB
ISHRCORECDNSTCORPBND XSH
ISHARES CORE S&P 500 XSP
ISHARES US SMALL CAP XSU
EXCO TECHNOLOGIES XTC
ISHARE DIVRS MO INCM XTR
ISHARES CORESP500IDX XUS
ISHR CORES&P500IDXUS XUS.U
ISHR CORS&P US MKTUN XUU
ISHR CORS&P USMKT US XUU.U
ISHARE MSCI WORLD UN XWD
YAMANA GOLD INC. YRI
BMO AGGREGATEBND ETF ZAG
BMO EQLWGHT US BKCAD ZBK
BMO MID CRP BOND ETF ZCM
BMO S&P/TSX COMPINDX ZCN
BMO CORE+BOND ETF SR ZCPB
BMO SHRT CRP BND ETF ZCS
BMO SH CORP BNDACCUM ZCS.L
BMO DISCOUNT BND UN ZDB
BMO INT'L DIV CAD UN ZDI
BMO DJ INDAV HEG ETF ZDJ
BMO MSCI EAFE HEGCAD ZDM
BMO CDN DIVIDEND UN ZDV
BMO MSCI EAFE IDX UN ZEA
BMO EQL WGT BANK ETF ZEB
BMO MSCI EMRGMKTS UN ZEM
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 15 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
BMO LNG FEDERAL BOND ZFL
BMO MID FED BND INDX ZFM
BMO SHRT FED BND ETF ZFS
BMO SHFEDRLBND ACCUM ZFS.L
BMO GOV'T BOND UN ZGB
BMO EQWGHT GLB GOLD ZGD
BMO HY US CRPHDG ETF ZHY
BMO JUNIOR GOLD ETF ZJG
BMO VOLATLTY CAD UN ZLB
BMO LONG CRP BND ETF ZLC
BMO LOWVOLINTL EQ UN ZLI
BMO LWVLTYUSEQ CADUN ZLU
BMO LWVLTYUSEQ US UN ZLU.U
BMO MIDPROVBND CADUN ZMP
BMO MIDUS IG HEGBND ZMU
BMO LNGPROVBNDCAD UN ZPL
BMO LADDERED PR INDX ZPR
BMO SHRT PRV BND ETF ZPS
BMO SHPROV BND ACCUM ZPS.L
BMO NASDAQ EQHED ETF ZQQ
BMO EQL WGT REITS UN ZRE
BMO S&P500 IDXCAD UN ZSP
BMO S&P500 IDX US UN ZSP.U
BMO ULTRA SHRTBND UN ZST
BMO ULTRASH BNDACCUM ZST.L
BMO EQ WGT US BANKS ZUB
BMO S&P 500 HEDG-CAD ZUE
BMO EQWGT US HEALTH ZUH
BMO MSCI US HIQLTYUN ZUQ
BMO MSCIUSHIQLTYH-CA ZUQ.F
BMO MSCI USHIQLTY US ZUQ.U
BMO EQL WGT UTIL ETF ZUT
BMO COVERD CALLCDNBK ZWB
Description Symbol
BMO CDN HIDIVCOVCALL ZWC
BMO EU DIVCOVCAL C-H ZWE
BMO US HIGHDIVCOV UN ZWH
BMO US HIGHDIVCOV US ZWH.U
BMO COVERDUTILITY UN ZWU
SLEEP CNTRY CDA HLDG ZZZ
ONLY ON LSERM BECAUSE OCC OPTIONS
TRADE AGAINST SECURITY
AURORA CANNABIS J ACB
AETERNA ZENTARIS INC AEZS
ALMADEN MINERALS AMM
GOLDEN MINERALS J AUMN
AURINIA PHARMA INC J AUP
BAYTEX ENERGY CORP. BTE
CNOOC LIMITED ADRS CNU
CRESCENT POINT CORP. CPG
DENISON MINES CORP DML
GALIANO GOLD INC. J GAU
GT PANTHER MINING J GPR
GRAN TIERRA ENERGY J GTE
HEXO CORP. HEXO
JUST ENERGY GROUP JE
LITHIUM AMERICAS J LAC
MAXAR TECHNOLOGIES MAXR
MCEWEN MINING INC. J MUX
NTHRN DYNASTY MIN J NDM
NEPTUNE WELLSOLUTN J NEPT
ORGANIGRAM HLDGS J OGI
OVINTIV INC. OVV
PRECISION DRILL CORP PD
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 16 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
RESOLUTE FOREST PROD RFP
TASEKO MINES LTD. TKO
TANZANIAN GOLD J TNX
TRILLIUM THERPEUTC J TRIL
TURQUOISE HILL RES TRQ
VERMILION ENERGY INC VET
VISTA GOLD CORP VGZ
WESTPORT FUEL SYS WPRT
List of Securities Eligible for Reduced Margin Attachment #1
Schedule of Additions1
1. Additions are securities that appear on this quarter's list but did not appear on the previous quarter's list.
Compiled by the Investment Industry Regulatory Page 17 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ADDITIONS
AIR CANADA VOTE & VV AC
AUTOCANADA INC. ACQ
AG GROWTH INT'L INC. AFN
AGF MANAGEMENT B NV AGF.B
ALTAGAS LTD. ALA
ALTAGAS LTD SR A PR ALA.PR.A
ALTAGAS LTD SR B PR ALA.PR.B
ALTAGAS LTD SR E PR ALA.PR.E
ALTAGAS LTD SR G PR ALA.PR.G
ALTAGAS LTD SR H PR ALA.PR.H
ALTAGAS LTD SR I PR ALA.PR.I
ALTAGAS LTD SR K PR ALA.PR.K
ALTAGAS LTD C PR USF ALA.PR.U
ALITHYA GROUP J A SV ALYA
AMEX EXPL IN AMX
ARC RESOURCES LTD. ARX
ACUITYADS HLDGS J AT
BESPOKECAPACQA RV US BC.U
BOARDWALK REIT UN BEI.UN
BROOKFLD RENEWA EXSV BEPC
AIRBOSS OF AMERICA J BOS
BOSTON PIZZA FND UN BPF.UN
CI 1STAST1-5GVTBNDUN BXF
CIBC ACTVINVCORPBOND CACB
CANFOR CORPORATION CFP
CHEMTRADE LOGISTC UN CHE.UN
CHORUS AVIATION V&VV CHR
COLLIERS INTL GRP SV CIGI
Description Symbol
ADDITIONS
CORUS ENTERTNMNT B CJR.B
ALCANNA INC. CLIQ
CLEARWATER SEAFOODS CLR
CI MUNROALTGLBGROWUN CMAG
CI MARRETALT RETBOND CMAR
CI MARRETALTRETBNDUS CMAR.U
C-COM SATELL CMI
CRH MEDICAL CORP. J CRH
CONVERGE TEC CTS
CHARLOTTE'S WEB HLDG CWEB
DOCEBO INC. J DCBO
DIVIDEND 15 SPLT A DFN
BRP INC. SV DOO
DYNAMIC ACTVTACT BND DXB
ENERFLEX LTD. EFX
EXCHANGE INCOME CORP EIF
ERO COPPER CORP. J ERO
EXFO INC. SV EXF
FIDELITY INTLHIQUAL FCIQ
FIDELITYCDNST CRPBND FCSB
FAIRFAX INDIA SV USF FIH.U
FIRST QUANTUM MNRL J FM
FREEHOLD ROYALTIES FRU
FIERA CAPITAL A SV FSZ
FINANCIAL 15 SPLT A FTN
GIBSON ENERGY INC GEI
GOEASY LTD. GSY
HARDWOODS DIST INC. HDI
List of Securities Eligible for Reduced Margin Attachment #1
Schedule of Additions1
1. Additions are securities that appear on this quarter's list but did not appear on the previous quarter's list.
Compiled by the Investment Industry Regulatory Page 18 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ADDITIONS
HORIZON NTH LOGSTC J HNL
AMERICAN HOTL UN USF HOT.U
AMERICAN HOTL LP UN HOT.UN
BETAPRONASDQ100 2XBL HQU
HORIZONS CSHMAXSHARE HSAV
HUSKY ENERGY INC. HSE
HUSKY ENERGY SR 1 PR HSE.PR.A
HUSKY ENERGY SR 2 PR HSE.PR.B
HUSKY ENERGY SR 3 PR HSE.PR.C
HUSKY ENERGY SR 5 PR HSE.PR.E
HUSKY ENERGY SR 7 PR HSE.PR.G
HARVESTTECHACHVGRW A HTA
HARVESTTECACHGROB UH HTA.B
HARVESTTECHACHGROWUS HTA.U
HORIZON NASDAQ100SHR HXQ
HORIZON NASDAQ100 US HXQ.U
INTERFOR CORPORATION IFP
IMPERIAL METALS CORP III
IMV INC. J IMV
INOVALIS REIT UN INO.UN
INTER PIPELINE LTD. IPL
INTERTAPE POLYMER ITP
JAGUAR MINING INC. J JAG
KEYERA CORP. KEY
CORVUS GOLD INC. J KOR
KARORA RES INC. J KRR
KNEAT.COM IN KSI
LIBERTY GOLD CORP. J LGD
Description Symbol
ADDITIONS
MAGELLAN AEROSPACE MAL
MARIMACA COPPER J MARI
MARATHON GOLD CORP J MOZ
MORGUARD REAL EST UN MRT.UN
MTY FOOD GROUP INC. MTY
NEXA RESOURCES S.A. NEXA
NFI GROUP INC. NFI
NEW PACIFIC METALS J NUAG
NOVO RES COR NVO
NEXGEN ENERGY LTD. J NXE
OCEANAGOLD CORP. OGC
O3 MNG INC. OIII
OROCOBRE LTD. ORD J ORL
NORBORD INC. OSB
OSISKO MINING INC. J OSK
PEYTO EXPL & DEV PEY
PURE GLD MNG PGM
PINNACLE RENEWBLENGY PL
PROFOUND MEDICAL PRN
PRO REAL EST TR UN PRV.UN
MACKENZIE CDN EQTYUN QCN
REAL MATTERS INC. REAL
RBC ST US CORPBNDCAD RUSB
RBC ST US CORPBNDUSF RUSB.U
SABINA GLD & SLVR J SBB
BROMPTON SPLT BANC A SBC
SLATE GROCERYREIT US SGR.U
SLATE GROCERYREIT UN SGR.UN
List of Securities Eligible for Reduced Margin Attachment #1
Schedule of Additions1
1. Additions are securities that appear on this quarter's list but did not appear on the previous quarter's list.
Compiled by the Investment Industry Regulatory Page 19 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ADDITIONS
SKEENA RES LTD. J SKE
STORM RES LTD. J SRX
SANGOMA TECH STC
STEPPE GOLD LTD. J STGO
STELCO HOLDINGS J STLC
SILVERCORP METALS J SVM
THERATECHNOLOGIES TH
TOTAL ENGY SERV INC. TOT
SPIN MASTER CORP SV TOY
TD US EQUITY INDX UN TPU
TRANSAT A.T. V & VV TRZ
UNI-SELECT INC. UNS
VANGUARD CONSRV INCM VCIP
VICTORIA GLD CORP J VGCX
SEVEN GENERATIONS A VII
VIEMED HEALTHCARE VMD
WELL HEALTH TECH J WELL
WEST FRASER TIMBER WFT
WAJAX CORPORATION WJX
XEBEC ADSORP XBC
ISHRS COREEQPORTF UN XEQT
ISHARE CDN HYBRD BND XHB
BMO CORE+BOND ETF SR ZCPB
BMO GOV'T BOND UN ZGB
BMO EQWGHT GLB GOLD ZGD
BMO JUNIOR GOLD ETF ZJG
BMO MSCIUSHIQLTYH-CA ZUQ.F
BMO MSCI USHIQLTY US ZUQ.U
Description Symbol
ADDITIONS
List of Securities Eligible for Reduced Margin Attachment #1
Schedule of Deletions2
2. Deletions are securities that do not appear on this quarter's list but did appear on the previous quarter's list.
Compiled by the Investment Industry Regulatory Page 20 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
DELETIONS
ALACER GOLD CORP. J ASR
PURPOSE GBL BND FUND BND MERCER PARK BRAND ACQUISITION CORP. CLASS A RESTRI BRND.A.U
CI 1STASTCANBANCINCM CIC
EVOLVE CA PREF UNHEG DIVS
ELEMENT FLEET PR G EFN.PR.G
GT GLD CORP. GTT
HORIZON SEASONL E UN HAC
HIGH INTEREST SAVINGS ACCOUNT FUND HISA
IPL PLASTICS INC. IPLP
JUST ENERGY 8.5PR US JE.PR.U
K-BRO LINEN INC. KBL
LEON'S FURNITURE LTD LNF
INVESCO CDN PR UN PPS
PURPOSE US CASH USF PSU.U
INVESCO FTSE RAFICDN PXC
INVESCOFTSE US CA-HG PXU.F
QUARTERHILL INC. QTRH
ROYAL BANK PR SER AA RY.PR.A
ROYAL BANK PR SER AC RY.PR.C
ROYAL BANK PR SER AE RY.PR.E
ROYAL BANK PR SER AF RY.PR.F
ROYAL BANK PR SER AG RY.PR.G
ROYAL BANK PR SER W RY.PR.W
SLATE RETAIL CL U UN SRT.U
SLATE RETAIL CAD UN SRT.UN
SUBVERSIVE CAPITAL ACQUISITION CORP. SVC.A.U
Description Symbol
DELETIONS
CLASS A RESTR
T.D. BANK SER 11 PR TD.PF.F
TD CDN EQUITY IDX UN TTP
TERRAVEST INDUSTRIES TVK
VANGUARD USDIVCAD-HG VGH
ISHARE SP/TSX SMLCAP XCS
ISHARE GLBL HLTHCARE XHC
ISHR MSCI MINVOL USA XMU
ISHR MSCI MINVOL USF XMU.U
ISHR MSCI MINVOLGLBL XMW
ISHR CONSV STGY INCM XSE
BMO USDIV ETF CAD UN ZDY
BMO USDIV ETF USD UN ZDY.U
BMO MSCI EU HIQLTYUN ZEQ
BMO FLTG RTHI YLD UN ZFH
BMO SIA NA EQ ETF UN ZFN
BMO MIDUSCRPBNDCA UN ZIC
BMO MIDUS CRPBND USF ZIC.U
BMO US HIDIVCOVHG-CA ZWS
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 21 of 21 September 30, 2020
Organization of Canada IIROC Notice 20-0225 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Eligibility Criteria
For the selection of securities eligible for a reduced margin rate, the securities must meet the following criteria.
General Inclusion Requirements
Price volatility measures Calculated price volatility margin interval <= 25%
Market value per share >= $2.00 per share
Liquidity measures Dollar value of public float greater than $100 million
Average daily trade volume for each month in the quarter ended >= 25,000 shares per day
OR
An equivalent average daily traded value amount for each month in the quarter ended >= $1,000,000 per day [to accommodate high price securities]
Listing requirements Listed on a Canadian exchange for six months
OR Listed on a Canadian exchange less than six months, with:
Market value per share >= $5.00 per share
Dollar value of public float greater than $500 million; and In the discretion of IIROC staff, the issuer company is in an industry sector known for low price volatility
Other Inclusion Requirements
A new security listing resulting from an issuer reorganization that:
is substantially the same as a previous security listing,
has a combined calculated price volatility margin interval for the old and the new listings of <= 25%; and meets all the other General Inclusion Requirements for ongoing listings.
For the purposes of this requirement, the term “substantially the same” means a new security listing that represents between 80% and 120% of the
public float of a previous security listing. A Canada/United States inter-listed security against which options issued by The Options Clearing Corporation are traded.
A security that is senior to a security that meets the General Inclusion Requirements or Other Inclusion Requirements above, or is a related common security from that same issuer.
top related