INDUSTRY PROFILE :

DEALERS


(All statistics are as at March 31, 2017)

Investment dealers regulated by the Investment Industry Regulatory Organization of Canada 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.


A pie chart showing the number of categories of investment dealers: 104 retail, 8 integrated, and 67 institutional.

A chart of individuals and firms regulated by IIROC by location listing number of approved persons, branch offices, and head offices.

A chart listing IIROC member firms by revenue from less than 5 million dollars to greater than 1 billion.

A chart listing IIROC member firms by number of approved persons from 10 or fewer to over 1,000.
INDUSTRY PROFILE :

MARKETS


Equity markets: IIROC regulates trading activity in real time on five stock exchanges (Toronto Stock Exchange (TSX), TSX Venture Exchange (TSXV), Alpha Exchange (Alpha), Canadian Securities Exchange (CSE) and Aequitas Neo Exchange Inc. (AQN)*), and on eight Equity Alternative Trading Systems (ATSs) that trade equities (Nasdaq CXC (CXC), Nasdaq CX2 (CX2), Nasdaq CXD (CXD), Omega ATS (Omega), Lynx ATS (Lynx), TriAct Canada Marketplace (MATCH Now), Liquidnet Canada Inc. (Liquidnet) and Instinet Canada Cross Limited (ICX)).

See debt statistics under Key Facts.

*   Aequitas Neo Exchange operates two distinct books – Aequitas Neo Book (NEO-N) and Aequitas Lit Book (NEO-L)




Canada’s Multiple Equity Marketplaces


Where Trading Took Place in 2016-2017 by Share Volume

A pie chart indicating where TSX-listed securities were traded in terms of the percentage of share volume.

A pie chart indicating where TSXV-listed securities were traded in terms of the percentage of share volume.

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


A bar graph showing number of stock trades since 2014. 431 million trades from 2014 to 2015, 432 million trades from 2015 to 2016, and 447 million trades from 2016 to 2017.
A bar graph showing volume of total shares traded since 2014. 197 billion shares from 2014 to 2015, 196 billion shares from 2015 to 2016, and 244 billion shares from 2016 to 2017.
A bar graph showing the value of shares traded since 2014. $2,348 billion of shares traded from 2014 to 2015, $2,277 billion of shares traded from 2015 to 2016, and $2,608 billion of shares traded from 2016 to 2017.
   Aequitas Neo Exchange (AQN): 100% of AQN-listed securities traded on an Aequitas NEO marketplace.
Canadian Securities Exchange (CSE): 97.50% of CSE-listed securities traded on the CSE. The remaining 2.49% of trading took place on Omega, Lynx and MATCH Now.