Attachment #1
Compiled by the Investment Industry Regulatory Page 1 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin [effective from March 25, 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 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
TORONTO STOCK EXCHANGE (TSX)
ADVANTAGE OIL & GAS AAV
ABSOLUTE SOFTWARE J ABT
BARRICK GOLD CORP ABX
AIR CANADA VOTE & VV AC
AURORA CANNABIS J ACB
ALTAGAS CANADA INC. ACI
ATCO LTD. CL I NV ACO.X
ATCO LTD. CL II ACO.Y
AUTOCANADA INC. ACQ
ALARIS ROYALTY CORP. AD
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 2 PR AIM.PR.B
AIMIA INC. SER 3 PR AIM.PR.C
AKUMIN INC. J AKU
AKUMIN INC. J USF AKU.U
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
Description Symbol ALTAGAS LTD C PR USF ALA.PR.U
ALTIUS MINERALS CORP ALS
ALTIUS MINERALS PR ALS.PR.A
ALITHYA GROUP J A SV ALYA
ALLIED PROP. REIT UN AP.UN
APHRIA INC. J APHA
AUTOMOTIVE PPTY UN APR.UN
ALGONQUIN PWR & UTIL AQN
ALGONQUIN PWR A PR AQN.PR.A
ALGONQUIN PWR D PR AQN.PR.D
AECON GROUP INC. ARE
ARC RESOURCES LTD. ARX
ALACER GOLD CORP. J ASR
ATS AUTOMATION TOOL ATA
ALIMENTATION CL A MV ATD.A
ALIMENTATION CL B SV ATD.B
ATLANTIC POWER ATP
ARITZIA INC. SV ATZ
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
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 3 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol BROOKFLD ASSET PR 44 BAM.PF.H
BROOKFLD ASSET PR 46 BAM.PF.I
BROOKFLD ASSET PR 48 BAM.PF.J
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
COTT CORPORATION BCB
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
Description Symbol BCE INC. PR SER AO BCE.PR.O
BCE INC. PR SER AQ BCE.PR.Q
BCE INC. PR SER R BCE.PR.R
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
BLACK DIAMOND GROUP BDI
BIRD CONSTRUCTION BDT
BOARDWALK REIT UN BEI.UN
BROOKFIELD RENEW 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
BRKFLD GLBINFRAS SEC BGI.UN
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
BIRCHCLIFF ENERGY BIR
BIRCHCLIFF ENGY PR A BIR.PR.A
BIRCHCLIFF ENGY PR C BIR.PR.C
CDN BANC CORP CL 'A' BK
CDN BANC CORP. PR BK.PR.A
BALLARD POWER SYS BLDP
BELLUS HEALTH INC. BLU
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 4 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol 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
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
BONTERRA ENERGY CORP BNE
BANK OF NOVA SCOTIA BNS
BANK OF N S SR 31 PR BNS.PR.D
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 30 PR BNS.PR.Y
BANK OF N S SR 32 PR BNS.PR.Z
AIRBOSS OF AMERICA J BOS
BOSTON PIZZA FND UN BPF.UN
BROOKFLD OFFICE PRAA BPO.PR.A
BROOKFLD OFFICE PR T BPO.PR.T
BROOKFLD PPTY LP UN BPY.UN
BRIDGEMARQ RL EST RV BRE
BTB REIT UN BTB.UN
B2GOLD CORP. BTO
BOYD GROUP SERVICES BYD
Description Symbol BAYLIN TECH INC. J BYL
CAE INC. CAE
CALEDONIA MINING PLC CAL
CDN APARTMENT TR UN CAR.UN
CASCADES INC. CAS
ISHRE 1-5 CORPBND UN CBO
COGECO COMMUN INC SV CCA
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
SPROTT PHYGLD&SIL US CEF.U
CES ENERGY SOLUTN CEU
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
CHEMTRADE LOGISTC UN CHE.UN
CHOICE PPTY REIT UN CHP.UN
CHORUS AVIATION V&VV CHR
CHESSWOOD GROUP LTD. CHW
CHAMPION IRON ORD J CIA
COLLIERS INTL GRP SV CIGI
CI FINANCIAL CORP. CIX
CARDINAL ENERGY J CJ
CORUS ENTERTNMNT B CJR.B
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 5 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol CARGOJET INC. COM&VV CJT
ISHRE 1-5 GOVTBND UN CLF
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
COMPUTER MODELLING J CMG
ISHARES MONEYMKT UN CMR
CANACOL ENERGY J CNE
CONTINENTAL GOLD J CNL
CANADIAN NATURAL RES CNQ
CDN NAT'L RAILWAY CNR
CNOOC LIMITED ADRS CNU
CDN PACIFIC RAILWAY CP
ISHARES CDNPREF UN CPD
CRESCENT POINT CORP. CPG
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
Description Symbol CT RL EST INVEST UN CRT.UN
CI 1STAST INTERSTSVG CSAV
CHARTWELL RETIRE UN CSH.UN
CONSTELLATION SOFTWR CSU
CORBY SPIRIT&WINE A CSW.A
CORBY SPIRIT&WN B NV CSW.B
CANADIAN TIRE CORP CTC
CANADIAN TIRE A NV CTC.A
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
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
DIVIDEND 15SPLIT 2 A DF
DIVIDEND 15SPLT 2 PR DF.PR.A
DIVIDEND 15 SPLT A DFN
DIVIDEND 15 SPLT PR DFN.PR.A
DIV GROWTH SPLT CL A DGS
DIV GROWTH SPLIT PR DGS.PR.A
DREAM INDUSTRL REIT DIR.UN
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 6 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol DIVERS RYLTY CORP. DIV
EVOLVE CA PREF UNHEG DIVS
HORIZON US$ CUR A UN DLR
HORIZON US$CUR A USF DLR.U
DOLLARAMA INC. DOL
BRP INC. SV DOO
DUNDEE PRECIOUS MTL DPM
MEDICAL FACILITIES DR
DREAM HRD ASETALT UN DRA.UN
DREAM UNLTD CL A SV DRM
DIRTT ENV SOLUTION J DRT
DIVIDEND SELECT 15EQ DS
DESCARTES SYSTEMS DSG
DYNAMIC ISHR GLBLDIV DXG
DYNAMIC ISHR PREF UN DXP
ENCANA CORPORATION ECA
ECN CAPITAL CORP. ECN
ECN CAPITAL 6.50% PR ECN.PR.A
ECN CAPITAL 6.25% PR ECN.PR.C
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 G EFN.PR.G
ELEMENT FLEET PR I EFN.PR.I
ENERGY FUELS INC. J EFR
ENERFLEX LTD. EFX
EXCHANGE INCOME CORP EIF
CANOE EIT SER 1 PR EIT.PR.A
CANOE EIT SER 2 PR EIT.PR.B
Description Symbol CANOE EIT INCOME UN EIT.UN
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
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
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
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 7 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol EQUITABLE GROUP INC. EQB
EQUITABLE GRP PR 3 EQB.PR.C
ENERPLUS CORPORATION ERF
ERO COPPER CORP. J ERO
ENSIGN ENGY SERVICES ESI
EVERTZ TECHNOLOGIES ET
EXTENDICARE INC. EXE
EXFO INC. SV EXF
FAIRFAX AFRICA SV US FAH.U
ABERDEEN ASIA-PACIFC FAP
FIRM CAP MTG INVEST FC
FIRST CAP REIT UN FCR.UN
FRONTERA ENERGY CORP FEC
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
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
NA FIN 15 SPLIT A FFN
NA FIN 15 SPLIT 2 PR FFN.PR.A
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
Description Symbol FRANKLIN LIB GLB BND FLGA
CI 1STASTUS&CALIFECO FLI
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
FRESHII INC. CL A SV FRII
FREEHOLD ROYALTIES FRU
FENNEC PHARMACEUT J FRX
FIRSTSERVICE CORP. FSV
FIERA CAPITAL A SV FSZ
FIRAN TECH GRP CORP. FTG
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
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
GLBL RLEST E-COMMERC GEC.UN
GIBSON ENERGY INC GEI
CGI INC. CL A SV GIB.A
GILDAN ACTIVEWEAR GIL
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 8 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol 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
GLOBAL WATER RES GWR
HYDRO ONE LIMITED H
HORIZON CORPBND E UN HAB
HUDSON'S BAY COMPANY HBC
HARVESTBRNDLDR+ A UN HBF
HARVESTBRNDLDR+US UN HBF.U
HUDBAY MINERALS INC. HBM
HOME CAPITAL GROUP HCG
HARDWOODS DIST INC. HDI
HORIZONS GOLD PROD E HEP
HORIZON FLTGRTBND UN HFR
BETAPROCDNGLDMNR2XBL HGU
HARVEST HLTHCRLDR UN HHL
HARVESTHEALTHCARE US HHL.U
Description Symbol HIGH LINER FOODS INC HLF
HLS THERAPEUTICS J HLS
HORIZONS MARIJ LFE A HMMJ
HORIZONS MARIJ US HMMJ.U
BETAPRO NATGAS 2XBUL HNU
BETAPRO CRDOIL-2X BR HOD
BSR REIT INVEST USF HOM.U
BSR REIT INVEST UN HOM.UN
AMERICAN HOTL UN USF HOT.U
AMERICAN HOTL LP UN HOT.UN
BETAPRO CRUDEOIL2XBL HOU
HORIZON PREF CL E UN HPR
BETAPRONASDQ100 2XBL HQU
H&R REAL ESTATE UN HR.UN
HEROUX-DEVTEK INC. HRX
BETAPRO S&P500 -2XBR HSD
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
BETAPRO S&P500 2X BL HSU
HARVESTTECHACHVGRW A HTA
HARVESTTECHACHGROWUS HTA.U
HIGH ARCTIC ENGY INC HWO
BETAPROS&PTSX60-2XBR HXD
HORIZON S&P/TSX60 HXT
HORIZON S&P/TSX60 US HXT.U
BETAPROS&PTSX60 2XBL HXU
INDSTRL ALLIANCEPR I IAF.PR.I
IA FINANCIAL CORP. IAG
IBI GROUP INC. IBG
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 9 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol 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
INTERFOR CORPORATION IFP
IGM FINANCIAL INC. IGM
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
INT'L PETE CORP. IPCO
INTER PIPELINE LTD. IPL
IPL PLASTICS INC. IPLP
INTERTAPE POLYMER ITP
IVANHOE MINES CL A J IVN
INVESQUE INC. IVQ
INVESQUE INC. USF IVQ.U
JAMIESON WELLNESS JWEL
KINROSS GOLD CORP. K
KEG ROYALTIES FND UN KEG.UN
KELT EXPL LTD. J KEL
KEYERA CORP. KEY
KIRKLAND LAKE GOLD J KL
KILLAM APT REIT UN J KMP.UN
CORVUS GOLD INC. J KOR
KP TISSUE INC. KPT
Description Symbol KINAXIS INC. J KXS
LOBLAW COMPANIES LTD L
LOBLAW CO. SER B PR L.PR.B
MEDIPHARM LABSCORP J LABS
LITHIUM AMERICAS J LAC
LAURENTIAN BK OF CAN LB
LAURENTIAN BK PR 13 LB.PR.H
LAURENTIAN BK PR 15 LB.PR.J
LIFE & BANC SPLIT A LBS
LIFE & BANC SPLIT PR LBS.PR.A
CDN LIFE CO SPLIT A LFE
CDN LIFE COSPLT PR12 LFE.PR.B
LABRADOR IRON ORE LIF
LEAGOLD MNG CORP. J LMC
LEON'S FURNITURE LTD LNF
LINAMAR CORPORATION LNR
LIGHTSPEED POS SV LSPD
LUNDIN GOLD INC. J LUG
LUNDIN MINING CORP LUN
MAG SILVER CORP. J MAG
MAGELLAN AEROSPACE MAL
MEDIAGRIF INTERACTV MDF
MAJOR DRILLING GROUP MDI
MEG ENERGY CORP. MEG
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
MANULIFE FIN SR13 PR MFC.PR.K
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 10 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol 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
MANULIFE FLTGRTLN UN MFR.UN
MACKENZIE FLTGRATE E MFT
MAGNA INT'L INC. MG
MACKENZIE GLBFXINCME MGB
MINTO APART REIT UN MI.UN
GENWORTH MI CANADA MIC
MINT INCME FND TR UN MID.UN
MCAN MORTGAGE CORP. MKP
MAVERIX METALS INC. MMX
RY CDN MINT-GOLD ETR MNT
RY CDN MINT-GOLD USF MNT.U
MOGO INC. J MOGO
MELCOR REIT UN MR.UN
MARTINREA INT'L INC. MRE
MORGUARD NA REIT UN MRG.UN
MORGUARD REAL EST UN MRT.UN
METRO INC. MRU
MORNEAU SHEPELL INC. MSI
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
Description Symbol NAT'L BANK SER 40 PR NA.PR.E
NAT'L BANK SER 42 PR NA.PR.G
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
NEO PERFORM MATERIAL NEO
NEPTUNE WELLSOLUTN J NEPT
NEXA RESOURCES S.A. NEXA
NFI GROUP INC. NFI
NOVAGOLD RESOURCES J NG
NEWMONT CORPORATION NGT
NIGHTHAWK GOLD J NHK
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
NBI ACTVCDNPRSHR UN NPRF
NUTRIEN LTD. NTR
NUVISTA ENERGY LTD. NVA
NTHVIEW APT REIT UN NVU.UN
NW COMPANY VARV&COMV NWC
NW HEALTHCARE UN NWH.UN
OCEANAGOLD CORP. OGC
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
OCP SENIOR CREDIT UN OSL.UN
OPEN TEXT CORP OTEX
PAN AMERICAN SILVER PAAS
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 11 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol PREMIUM BRANDS HLDGS PBH
CANSO CREDIT A UN PBY.UN
PATTERN ENERGY GRP A PEGI
PEYTO EXPL & DEV PEY
PIMCO GBL INCMOPP UN PGI.UN
PHX ENERGY SERVICES PHX
PREMIUM INCOME CL A PIC.A
PREMIUM INCOME PR PIC.PR.A
POLARIS INFRAS J PIF
PARKLAND FUEL CORP. PKI
PINNACLE RENEWBLENGY PL
PARK LAWN CORP. PLC
PLAZA RETAIL REIT UN PLZ.UN
PIMCO MTHLYINCMETFUN PMIF
PIMCO MTHLY INCM US PMIF.U
PIMCO GLBL SHRTCDA PMNT
PARAMOUNT RES CL A POU
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
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
PRO REAL EST TR UN PRV.UN
PURPOSE HIGH INTSVGS PSA
PASON SYSTEMS INC. PSI
PRAIRIESKY ROYALTY PSK
POINTS INT'L LTD. J PTS
PRETIUM RESOURCES J PVG
POWER FINANCIAL PR A PWF.PR.A
POWER FINANCIAL PR D PWF.PR.E
POWER FIN 5.25% PR E PWF.PR.F
POWER FIN 5.90% PR F PWF.PR.G
POWER FIN 5.75% PR H PWF.PR.H
POWER FIN 6% PR I PWF.PR.I
POWER FIN 4.95% PR K PWF.PR.K
POWER FIN 5.10% PR L PWF.PR.L
POWER FIN 5.80% PR O PWF.PR.O
POWER FIN 4.40% PR P PWF.PR.P
POWER FINANCIAL PR Q PWF.PR.Q
POWER FIN 5.50% PR R PWF.PR.R
POWER FIN 4.80% PR S PWF.PR.S
POWER FIN 4.20% PR T PWF.PR.T
POWER FIN 5.15% PR V PWF.PR.Z
PAREX RESOURCES J PXT
PIZZA PIZZA ROYALTY PZA
QUEBECOR INC CL A MV QBR.A
QUEBECOR INC CL B SV QBR.B
RESTAURANT BRND INTL QSR
STINGRAY GROUP SV RAY.A
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 12 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol STINGRAY VARY SV RAY.B
RITCHIE BROS AUCTION RBA
BLUE RIBBON INCM UN RBN.UN
RICHELIEU HARDWARE RCH
ROGERS COMM CL A RCI.A
ROGERS COMM CL B NV RCI.B
REAL MATTERS INC. REAL
RECIPE UNLIMITED SV RECP
RIOCAN RL EST TR UN REI.UN
RESOLUTE FOREST PROD RFP
CI 1ST ASSET CDNREIT RIT
ROCKY MTN DEALERSHIP RME
TRANSALTA RENEWABLE RNW
ROOTS CORPORATION ROOT
RBC CDN PREF CA UN RPF
ROGERS SUGAR INC. RSI
RUSSEL METALS INC. RUS
ROYAL BANK OF CANADA RY
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 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 W RY.PR.W
Description Symbol ROYAL BANK PR SER AZ RY.PR.Z
SAPUTO INC. SAP
SHAWCOR LTD. SCL
SEABRIDGE GOLD INC J SEA
SECURE ENERGY SERV J SES
SHOPIFY INC A SV SHOP
SIENNA SENIOR LIVING SIA
SPROTT INC. SII
SILVERCREST METALS J SIL
SAVARIA CORP. J SIS
STELLA-JONES INC. SJ
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
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
SEMAFO INC. J SMF
SIERRA METALS INC. J SMT
SUMMIT IND REIT UN J SMU.UN
SNC - LAVALIN GROUP SNC
SLATE OFFICE REIT UN SOT.UN
SUNOPTA, INC. SOY
SUPERIOR PLUS CORP. SPB
SLATE RETAIL CL U UN SRT.U
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 13 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol SLATE RETAIL CAD UN SRT.UN
SMARTCTR REIT VV UN SRU.UN
SIR ROYALTY INCM UN SRV.UN
SANDSTORM GOLD LTD. SSL
SSR MINING INC. SSRM
STELCO HOLDINGS J STLC
STANTEC INC. STN
SUNCOR ENERGY INC. SU
SILVERCORP METALS J SVM
SIERRA WIRELESS SW
SWISS WATER COFFEE SWP
SUPREMEX INC. SXP
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 CAPITAL GROUP 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 11 PR TD.PF.F
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
Description Symbol 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
TECK RES CL A MV TECK.A
TECK RES CL B SV TECK.B
TERVITA CORPORATIONJ TEV
TIMBERCREEK FIN CORP TF
TFI INTERNATIONAL TFII
TERAGO INC. TGO
TERANGA GOLD CORP. J TGZ
THERATECHNOLOGIES TH
TOROMONT INDUSTRIES TIH
TRILOGY METALS INC J TMQ
TMAC RESOURCES INC J TMR
TRUE NTHCOMMRCL J UN TNT.UN
TORC OIL & GAS LTD. TOG
TOTAL ENGY SERV INC. TOT
TOURMALINE OIL CORP. TOU
SPIN MASTER CORP SV TOY
THOMSON REUTERS CORP TRI
THOMSON REUTER PR II TRI.PR.B
TRILOGY INTL PARTNRJ TRL
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
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 14 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol TC ENERGY CORP PR 13 TRP.PR.J
TC ENERGY CORP PR 15 TRP.PR.K
TRANSAT A.T. V & VV TRZ
STARS GROUP INC. J TSGI
TREE ISLAND STEEL TSL
TRISURA GROUP J TSU
TAMARACK VALL ENGY J TVE
CI 1STASTTECH GIANTS TXF
CI1STASTTECGIANTUNHG TXF.B
TOREX GOLD RES J TXG
URANIUM PARTICIPATE U
DOMTAR CORPORATION UFS
UNI-SELECT INC. UNS
URBANA CORPORATION URB
URBANA CORP. CL A NV URB.A
AMERICAS GOLD SLVR J USA
VANGUARD CDN AGR BND VAB
VERSABANK J VB
VERSABANK PR 1 J VB.PR.A
VERSABANK PR 3 J VB.PR.B
VANGUARD BALETF PORT VBAL
VANGUARD FTSE CDAIDX VCE
VANGUARD CONSRV INCM VCIP
VANGUARD CDAALLCAPUN VCN
VANGUARD CONSERVPORT VCNS
VANGUARD FTSE DIVYLD VDY
VANGUARD FTSEEMRGMKT VEE
VANGUARD ALLEQPORTFL VEQT
VERMILION ENERGY INC VET
VILLAGE FARMS INT'L VFF
VANGUARD S&P500 INDX VFV
VANGUARD GROETF PORT VGRO
SEVEN GENERATIONS A VII
Description Symbol VANGUARD EXNA IDX UN VIU
VANGRD CDNLT GVTBOND VLB
VELAN INC. SV VLN
VIEMED HEALTHCARE VMD
5N PLUS INC. VNP
VANGUARD CDN S-T BND VSB
VANGUARD S-T CRPBOND VSC
VANGUARD S&P500 C-HG VSP
VANGUARD US MKTIDXUN VUN
VANGUARD FTSEGLOBECA VXC
WATERLOO BREWING LTD WBR
WASTE CONNECTIONS WCN
WHITECAP RESOURCES J WCP
WESDOME GOLD MINES WDO
CANOPY GRWTH CORP J WEED
WEST FRASER TIMBER WFT
WPT INDUSTRL REIT US WIR.U
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
WESTPORT FUEL SYS WPRT
WSP GLOBAL INC. WSP
WESTSHORE TERMINALS WTE
TMX GROUP LIMITED X
ISHR COREMSCI AC WEX XAW
ISHR COREMSCI ACWXUS XAW.U
ISHARES COREBAL UN XBAL
ISHR CDN UNIVERS BND XBB
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 15 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol ISHARES CDN CORP BND XCB
ISHR CORE EMRGMKTIMI XEC
ISHRCORMSCI EMRMKTUS XEC.U
ISHR CORMSCIEAFE IMI XEF
ISHR COREMSCI IMI US XEF.U
ISHR S&P/TSX HIDIVUN XEI
ISHARES FLTG RATE UN XFR
ISHARES CDN GOVT BND XGB
ISHARES CORE GROW UN XGRO
ISHARES US HIYLD BND XHY
ISHARE MSCI EAFE IDX XIN
ISHARES S&P/TSX TECH XIT
ISHR CORECDNLT BNDUN XLB
ISHARE HIGHCDNBND UN XQB
ISHARE NASDAQ 100 UN XQQ
ISHRE CDN SH TRM BND XSB
ISHR CORECDNSHMPLBND 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 S&P/TSX COMPINDX ZCN
BMO SHRT CRP BND ETF ZCS
BMO SH CORP BNDACCUM ZCS.L
BMO DISCOUNT BND UN ZDB
BMO INT'L DIV CAD UN ZDI
Description Symbol BMO DJ INDAV HEG ETF ZDJ
BMO MSCI EAFE HEGCAD ZDM
BMO CDN DIVIDEND UN ZDV
BMO EQL WGT BANK ETF ZEB
BMO MSCI EMRGMKTS UN ZEM
BMO LNG FEDERAL BOND ZFL
BMO MID FED BND INDX ZFM
BMO HY US CRPHDG ETF ZHY
BMO VOLATLTY CAD UN ZLB
BMO LONG CRP BND ETF ZLC
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 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 EQL WGT UTIL ETF ZUT
BMO COVERD CALLCDNBK ZWB
BMO CDN HIDIVCOVCALL ZWC
BMO EU DIVCOVCAL C-H ZWE
BMO US HIGHDIVCOV UN ZWH
BMO US HIGHDIVCOV US ZWH.U
BMO EU HIDIV COVCALL ZWP
BMO COVERDUTILITY UN ZWU
SLEEP CNTRY CDA HLDG ZZZ
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 16 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ONLY ON LSERM BECAUSE OCC OPTIONS
TRADE AGAINST SECURITY
AETERNA ZENTARIS INC AEZS
ASANKO GOLD INC. J AKG
ALMADEN MINERALS AMM
APTOSE BIOSCIENCES APS
GOLDEN MINERALS J AUMN
AURINIA PHARMA INC J AUP
BAYTEX ENERGY CORP. BTE
CORREVIO PHARMA CORP CORV
DENISON MINES CORP DML
GT PANTHER MINING J GPR
GRAN TIERRA ENERGY J GTE
HEXO CORP. HEXO
JUST ENERGY GROUP JE
JUST ENERGY 8.5PR US JE.PR.U
MAXAR TECHNOLOGIES MAXR
MCEWEN MINING INC. J MUX
NTHRN DYNASTY MIN J NDM
NEW GOLD INC. NGD
OBSIDIAN ENERGY LTD OBE
ORGANIGRAM HLDGS J OGI
PRECISION DRILL CORP PD
TASEKO MINES LTD. TKO
TANZANIAN GOLD J TNX
TRILLIUM THERPEUTC J TRIL
TURQUOISE HILL RES TRQ
CANNTRUST HOLDINGS J TRST
VISTA GOLD CORP VGZ
Description Symbol
NEO EXCHANGE
COLUMBIA CARE INC. CCHW
iSHARES JAPAN FUNDAMENTAL INDEX ETF CJP iSHARES CANADIAN FUNDAMENTAL INDEX ETF CRQ INVESCO LONG TERM GOVERNMENT BOND INDEX ETF PGL MACKENZIE US TIPS INDEX ETF (CAD-HEDGED) QTIP
RBC CANADIAN DISCOUNT BOND ETF RCDB iSHARES GLOBAL GOVERNMENT BOND INDEX ETF (CAD-HEDGED) XGGB
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 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ADDITIONS
TORONTO STOCK EXCHANGE (TSX)
ANDREW PELLER A NV ADW.A
ANDREW PELLER LTD. B ADW.B
BLACK DIAMOND GROUP BDI
BELLUS HEALTH INC. BLU
AIRBOSS OF AMERICA J BOS
BROOKFLD OFFICE PRAA BPO.PR.A
BOYD GROUP SERVICES BYD
BAYLIN TECH INC. J BYL
CANFOR CORPORATION CFP
CI 1STAST INTERSTSVG CSAV
CORBY SPIRIT&WINE A CSW.A
CORBY SPIRIT&WN B NV CSW.B
CHARLOTTE'S WEB HLDG CWEB
DIVIDEND SELECT 15EQ DS
FIRST CAP REIT UN FCR.UN
FRANKLIN LIB GLB BND FLGA
FIRST QUANTUM MNRL J FM
GLBL RLEST E-COMMERC GEC.UN
BETAPROCDNGLDMNR2XBL HGU
BETAPRO NATGAS 2XBUL HNU
BETAPRO CRDOIL-2X BR HOD
BETAPRO CRUDEOIL2XBL HOU
BETAPRO S&P500 2X BL HSU
BETAPROS&PTSX60 2XBL HXU
INDSTRL ALLIANCEPR I IAF.PR.I
KEG ROYALTIES FND UN KEG.UN
KP TISSUE INC. KPT
Description Symbol
ADDITIONS
MEDIPHARM LABSCORP J LABS
CDN LIFE CO SPLIT A LFE
MAGELLAN AEROSPACE MAL
MEDIAGRIF INTERACTV MDF
MACKENZIE GLBFXINCME MGB
MAVERIX METALS INC. MMX
MELCOR REIT UN MR.UN
NIGHTHAWK GOLD J NHK
NBI ACTVCDNPRSHR UN NPRF
ORLA MINING LTD. J OLA
OCP SENIOR CREDIT UN OSL.UN
CANSO CREDIT A UN PBY.UN
PEMBINA PIPE PR 23 PPL.PF.C
PEMBINA PIPE PR 25 PPL.PF.E
PRO REAL EST TR UN PRV.UN
SIERRA METALS INC. J SMT
SWISS WATER COFFEE SWP
TREE ISLAND STEEL TSL
TRISURA GROUP J TSU
VERSABANK J VB
VERSABANK PR 1 J VB.PR.A
VERSABANK PR 3 J VB.PR.B
VANGRD CDNLT GVTBOND VLB
VELAN INC. SV VLN
WATERLOO BREWING LTD WBR
ISHR COREMSCI ACWXUS XAW.U
ISHRCORMSCI EMRMKTUS XEC.U
ISHR COREMSCI IMI US XEF.U
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 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
ADDITIONS
ISHR CORES&P500IDXUS XUS.U
ISHR CORS&P USMKT US XUU.U
BMO MIDPROVBND CADUN ZMP
BMO MIDUS IG HEGBND ZMU
NEO EXCHANGE
ISHARES JAPAN FUNDAMENTAL INDEX ETF CJP ISHARES CANADIAN FUNDAMENTAL INDEX ETF CRQ
RBC CANADIAN DISCOUNT BOND ETF RCDB
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 19 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
DELETIONS
TORONTO STOCK EXCHANGE (TSX)
ACADIAN TIMBER CORP. ADN
ARGONAUT GOLD INC. J AR
BOYD GROUP FND TR UN BYD.UN
CENTAMIN PLC. ORD CEE
CINEPLEX INC. CGX
ISHRE 1-10GOVTBND UN CLG
CROWN CAP PARTNERS J CRWN
DOREL IND INC A MV DII.A
DOREL IND INC B SV DII.B
DETOUR GOLD CORP J DGC
DREAM GLOBAL REIT UN DRG.UN
DREAM UNLTD 1ST PR DRM.PR.A
ENTREE RESOURCES J ETG
FIRST CAPITAL REALTY FCR
GENESIS LAND DEV GDC
GMP CAPITAL INC. GMP
GMP CAPITAL SER B PR GMP.PR.B
GMP CAPITAL SER C PR GMP.PR.C
GREENBROOK TMS INC J GTMS
HORIZON SEASONL E UN HAC
HORIZONS S&P500 UN HXS
HORIZON S&P500 US UN HXS.U
KINDER MORGAN CDA RV KML
KINDER MORGAN SR1 PR KML.PR.A
KINDER MORGAN SR3 PR KML.PR.C
MAV BEAUTY BRANDS MAV
MACKENZIE CAFXINCM E MKB
Description Symbol
DELETIONS
OCP CREDIT STGY UN OCS.UN
N.A. PALLADIUM LTD. PDL
SPROTT PHYGOLD CA UN PHYS
SPROTT PHY GLD UN US PHYS.U
INVESCO1-5CORPBND UN PSB
SPROTT PHY SIL CDN PSLV
SPROTT PHY SILVER US PSLV.U
POWER FINANCIAL CORP PWF
RBC CDNBNK YLD INDX RBNK
STUART OLSON INC. SOX
VALEURA ENERGY INC J VLE
VANGUARD US TOTMKTUN VUS
WESTJET AIRLINE VV&V WJA
GOLDMONEY INC. XAU
ISHR SP/TSXGBLBSEMTL XBM
ISHARE CORMSCICDNDIV XDIV
ISHARE GLBL HLTHCARE XHC
ISHARE CDN RLRET BND XRB
BMO EQLWGHT US BKCAD ZBK
BMO MID CRP BOND ETF ZCM
BMO MSCI EAFE IDX UN ZEA
BMO EQ WGHTOIL & GAS ZEO
BMO JUNIOR GOLD ETF ZJG
BMO S&P 500 HEDG-CAD ZUE
BMO TACTICAL DIV UN ZZZD
NEO EXCHANGE
AGFiQ ENHANCED CORE GLOBAL MULTI- QGB
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 December 31, 2019
Organization of Canada IIROC Notice 20-0043 Rules Notice – Technical – List of Securities Eligible for Reduced Margin
Description Symbol
DELETIONS
SECTOR BOND ETF
PURPOSE CANADIAN PREF SHARE FUND RPS
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 21 of 21 December 31, 2019
Organization of Canada IIROC Notice 20-0043 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 $50 million
Average daily trade volume for each month in the quarter >= 10,000 shares per day for at least two out of the three
months in the quarter
OR
An equivalent average daily traded value amount for each month in the quarter ended >= $500,000 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.
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