List of Securities Eligible for Reduced Margin - IIROC
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Attachment #1
List of Securities Eligible for Reduced Margin
[effective from September 25, 2018 until replaced by a subsequent list]
Compiled by the Investment Industry Regulatory Page 1 of 22 June 30, 2018
Organization of Canada
IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced MarginList of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol TORONTO STOCK EXCHANGE (TSX) ALTAGAS LTD C PR USF ALA.PR.U ADVANTAGE OIL & GAS AAV ALTIUS MINERALS CORP ALS ABSOLUTE SOFTWARE J ABT ALTIUS MINERALS PR ALS.PR.A BARRICK GOLD CORP ABX ALLIED PROP. REIT UN AP.UN AIR CANADA VOTE & VV AC APHRIA INC. J APH AURORA CANNABIS J ACB AUTOMOTIVE PPTY UN APR.UN ATCO LTD. CL I NV ACO.X APTOSE BIOSCIENCES APS ATCO LTD. CL II ACO.Y ALGONQUIN PWR & UTIL AQN AUTOCANADA INC. ACQ ALGONQUIN PWR A PR AQN.PR.A AGELLAN COMMERCL UN ACR.UN ALGONQUIN PWR D PR AQN.PR.D ALARIS ROYALTY CORP. AD ALIGNVEST ACQUISA RV AQY.A ANDREW PELLER A NV ADW.A ARGONAUT GOLD INC. J AR ANDREW PELLER LTD. B ADW.B AECON GROUP INC. ARE AGNICO EAGLE MINES AEM ARC RESOURCES LTD. ARX AG GROWTH INT'L INC. AFN ALACER GOLD CORP. J ASR AGF MANAGEMENT B NV AGF.B ATS AUTOMATION TOOL ATA ALAMOS GOLD INC. J AGI ALIMENTATION CL A MV ATD.A AGT FOOD&INGREDIENTS AGT ALIMENTATION CL B SV ATD.B AGT FOOD&INGREDNT PR AGT.PR.A ATLANTIC POWER ATP ATRIUM MTG INVEST AI ARITZIA INC. SV ATZ ALTUS GROUP LIMITED AIF AURINIA PHARMA INC J AUP AIMIA INC. AIM ARTIS REIT UN AX.UN AIMIA INC. SER 1 PR AIM.PR.A ARTIS REIT SER A PR AX.PR.A AIMIA INC. SER 2 PR AIM.PR.B ARTIS REIT SER E PR AX.PR.E AIMIA INC. SER 3 PR AIM.PR.C ARTIS REIT SER G PR AX.PR.G AKUMIN INC. J USF AKU.U ARTIS REIT SER I PR AX.PR.I ALTAGAS LTD. ALA BADGER DAYLIGHTING BAD ALTAGAS LTD SR A PR ALA.PR.A BROOKFLD ASSET A LV BAM.A ALTAGAS LTD SR B PR ALA.PR.B BROOKFLD ASSET PR 32 BAM.PF.A ALTAGAS LTD SR E PR ALA.PR.E BROOKFLD ASSET PR 34 BAM.PF.B ALTAGAS LTD SR G PR ALA.PR.G BROOKFLD ASSET PR 36 BAM.PF.C ALTAGAS LTD SR I PR ALA.PR.I BROOKFLD ASSET PR 37 BAM.PF.D ALTAGAS LTD SR K PR ALA.PR.K BROOKFLD ASSET PR 38 BAM.PF.E Compiled by the Investment Industry Regulatory Page 2 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol BROOKFLD ASSET PR 40 BAM.PF.F BCE INC. PR SER AH BCE.PR.H BROOKFLD ASSET PR 42 BAM.PF.G BCE INC. PR SER AI BCE.PR.I BROOKFLD ASSET PR 44 BAM.PF.H BCE INC. PR SER AJ BCE.PR.J BROOKFLD ASSET PR 46 BAM.PF.I BCE INC. PR SER AK BCE.PR.K BROOKFLD ASSET PR 48 BAM.PF.J BCE INC. PR SER AL BCE.PR.L BROOKFLD ASSET PR 2 BAM.PR.B BCE INC. PR SER AM BCE.PR.M BROOKFLD ASSET PR 4 BAM.PR.C BCE INC. PR SER AN BCE.PR.N BROOKFLD ASSET PR 8 BAM.PR.E BCE INC. PR SER AO BCE.PR.O BROOKFLD ASSET PR 9 BAM.PR.G BCE INC. PR SER AQ BCE.PR.Q BROOKFLD ASSET PR 13 BAM.PR.K BCE INC. PR SER R BCE.PR.R BROOKFLD ASSET PR 17 BAM.PR.M BCE INC. PR SER S BCE.PR.S BROOKFLD ASSET PR 18 BAM.PR.N BCE INC. PR SER T BCE.PR.T BROOKFLD ASSET PR 24 BAM.PR.R BCE INC. PR SERIES Y BCE.PR.Y BROOKFLD ASSET PR 25 BAM.PR.S BCE INC. PR SERIES Z BCE.PR.Z BROOKFLD ASSET PR 26 BAM.PR.T BLACK DIAMOND GROUP BDI BROOKFLD ASSET PR 28 BAM.PR.X BIRD CONSTRUCTION BDT BROOKFLD ASSET PR 30 BAM.PR.Z BOARDWALK REIT UN BEI.UN BLACKBERRY LIMITED BB BROOKFIELD RENEW UN BEP.UN BOMBARDIER CL A MV BBD.A BROOKFIELD RENEW PR5 BEP.PR.E BOMBARDIER CL B SV BBD.B BROOKFIELD RENEW PR7 BEP.PR.G BOMBARDIER SER 2 PR BBD.PR.B BROOKFIELD RENEW PR9 BEP.PR.I BOMBARDIER 6.25% PR BBD.PR.C BROOKFIELD RENEWPR11 BEP.PR.K BOMBARDIER SER 3 PR BBD.PR.D BROOKFIELD RENEWPR13 BEP.PR.M BROOKFIELD BUS LP UN BBU.UN BRKFLD GLBINFRAS SEC BGI.UN COTT CORPORATION BCB BAUSCH HEALTH CO BHC BCE INC. BCE BROOKFIELD INFRAS UN BIP.UN BCE INC. PR SER AA BCE.PR.A BROOKFIELD INFRASPR1 BIP.PR.A BCE INC. PR SER AB BCE.PR.B BROOKFIELD INFRASPR3 BIP.PR.B BCE INC. PR SER AC BCE.PR.C BROOKFIELD INFRASPR5 BIP.PR.C BCE INC. PR SER AD BCE.PR.D BROOKFIELD INFRASPR7 BIP.PR.D BCE INC. PR SER AE BCE.PR.E BROOKFIELD INFRASPR9 BIP.PR.E BCE INC. PR SER AF BCE.PR.F BIRCHCLIFF ENERGY BIR BCE INC. PR SER AG BCE.PR.G BIRCHCLIFF ENGY PR A BIR.PR.A Compiled by the Investment Industry Regulatory Page 3 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol BIRCHCLIFF ENGY PR C BIR.PR.C BROOKFLD PPTY LP UN BPY.UN CDN BANC CORP CL 'A' BK BRICK BREWING BRB CDN BANC CORP. PR BK.PR.A BTB REIT UN BTB.UN BALLARD POWER SYS BLDP BAYTEX ENERGY CORP. BTE BORALEX INC. CL A BLX B2GOLD CORP. J BTO BANK OF MONTREAL BMO BOYD GROUP FND TR UN BYD.UN BK OF MON PR SER 26 BMO.PR.A BAYLIN TECH INC. J BYL BK OF MON PR SER 38 BMO.PR.B CAE INC. CAE BK OF MON PR SER 40 BMO.PR.C CALEDONIA MINING PLC CAL BK OF MON PR SER 42 BMO.PR.D CDN APARTMENT TR UN CAR.UN BK OF MON PR SER 25 BMO.PR.Q CASCADES INC. CAS BK OF MON PR SER 27 BMO.PR.S ISHRE 1-5 CORPBND UN CBO BK OF MON PR SER 29 BMO.PR.T COGECO COMMUN INC SV CCA BK OF MON PR SER 31 BMO.PR.W CCL INDUSTRIES CL A CCL.A BK OF MON PR SER 33 BMO.PR.Y CCL INDUSTRIES CL B CCL.B BK OF MON PR SER 35 BMO.PR.Z CAMECO CORPORATION CCO BONTERRA ENERGY CORP BNE ISHR CDNDIVARISTO UN CDZ BANK OF NOVA SCOTIA BNS SPROTT PHYGLD&SIL TR CEF BANK OF N S SR 21 PR BNS.PR.B SPROTT PHYGLD&SIL US CEF.U BANK OF N S SR 23 PR BNS.PR.C CES ENERGY SOLUTN CEU BANK OF N S SR 31 PR BNS.PR.D ISHARES EQWEIGHT UN CEW BANK OF N S SR 34 PR BNS.PR.E CANACCORD GENUITY CF BANK OF N S SR 33 PR BNS.PR.F CANACCORD GEN A PR CF.PR.A BANK OF N S SR 36 PR BNS.PR.G CANACCORD GEN C PR CF.PR.C BANK OF N S SR 38 PR BNS.PR.H CONIFEX TIMBER INC. CFF BANK OF N S SR 20 PR BNS.PR.Q CANFOR CORPORATION CFP BANK OF N S SR 22 PR BNS.PR.R CALFRAC WELL SERV CFW BANK OF N S SR 30 PR BNS.PR.Y CANFOR PULP PRODUCTS CFX BANK OF N S SR 32 PR BNS.PR.Z CENTERRA GOLD INC. CG AIRBOSS OF AMERICA J BOS CHINA GLD INTL RES J CGG BOSTON PIZZA FND UN BPF.UN ISHARE GLDBULHDGD UN CGL BROOKFLD OFFICE PRII BPO.PR.I ISHARE GLDBUL NN-HDG CGL.C BROOKFLD OFFICE PR T BPO.PR.T COGECO INC. SV CGO Compiled by the Investment Industry Regulatory Page 4 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol CINEPLEX INC. CGX CAPITAL PWR SER 5 PR CPX.PR.E CHEMTRADE LOGISTC UN CHE.UN CAPITAL PWR SER 7 PR CPX.PR.G CHOICE PPTY REIT UN CHP.UN CAPITAL PWR SER 9 PR CPX.PR.I CHORUS AVIATION V&VV CHR CREW ENERGY INC. CR CHESSWOOD GROUP LTD. CHW CRH MEDICAL CORP. J CRH COLLIERS INTL GRP SV CIGI CROMBIE REAL EST UN CRR.UN CI FINANCIAL CORP. CIX CT RL EST INVEST UN CRT.UN CARDINAL ENERGY J CJ CHARTWELL RETIRE UN CSH.UN CORUS ENTERTNMNT B CJR.B CONSTELLATION SOFTWR CSU CARGOJET INC. CJT CANADIAN TIRE CORP CTC CARGOJET INC. VV CJT.A CANADIAN TIRE A NV CTC.A ISHRE 1-5 GOVTBND UN CLF CDN UTILITIES A NV CU ALCANNA INC. CLIQ CDN UTILITIES CL B CU.X CLEARWATER SEAFOODS CLR CDN UTIL 2ND PR Y CU.PR.C CELESTICA INC SV CLS CDN UTIL 2ND PR AA CU.PR.D CDN IMPERIAL BANK CM CDN UTIL 2ND PR BB CU.PR.E CDN IMP BK SER 39 PR CM.PR.O CDN UTIL 2ND PR CC CU.PR.F CDN IMP BK SER 41 PR CM.PR.P CDN UTIL 2ND PR DD CU.PR.G CDN IMP BK SER 43 PR CM.PR.Q CDN UTIL 2ND PR EE CU.PR.H CDN IMP BK SER 45 PR CM.PR.R CDN UTIL 2ND PR FF CU.PR.I CDN IMP BK SER 47 PR CM.PR.S COMINAR REAL EST UN CUF.UN COMPUTER MODELLING J CMG CENOVUS ENERGY INC. CVE CANACOL ENERGY J CNE CDN WSTRN BANK CWB CONTINENTAL GOLD J CNL CDN WSTRN BK SR 5 PR CWB.PR.B CANADIAN NATURAL RES CNQ CDN WSTRN BK SR 7 PR CWB.PR.C CDN NAT'L RAILWAY CNR CANWEL BUILDING GRP CWX CNOOC LIMITED ADRS CNU DREAM OFFICE REIT UN D.UN CDN PACIFIC RAILWAY CP DIVIDEND 15SPLIT 2 A DF ISHARES CDNPREF UN CPD DIVIDEND 15SPLT 2 PR DF.PR.A CRESCENT POINT CORP. CPG DESJARDINEMRGMLTFCTR DFE CAPITAL POWER CORP. CPX DIVIDEND 15 SPLT A DFN CAPITAL PWR SER 1 PR CPX.PR.A DIVIDEND 15 SPLT PR DFN.PR.A CAPITAL PWR SER 3 PR CPX.PR.C DETOUR GOLD CORP J DGC Compiled by the Investment Industry Regulatory Page 5 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol DIV GROWTH SPLT CL A DGS ELEMENT FLEET PR C EFN.PR.C DIV GROWTH SPLIT PR DGS.PR.A ELEMENT FLEET PR E EFN.PR.E DHX MEDIA LTD COM&VV DHX ELEMENT FLEET PR G EFN.PR.G DOREL IND INC A MV DII.A ELEMENT FLEET PR I EFN.PR.I DOREL IND INC B SV DII.B ENERGY FUELS INC. J EFR DREAM INDUSTRL REIT DIR.UN ENERFLEX LTD. EFX DIVERS RYLTY CORP. DIV EXCHANGE INCOME CORP EIF EVOLVE CA PREF UNHEG DIVS CANOE EIT INCOME UN EIT.UN HORIZON US$ CUR A UN DLR CANOE EIT SER 1 PR EIT.PR.A HORIZON US$CUR A USF DLR.U CANOE EIT SER 2 PR EIT.PR.B DOLLARAMA INC. DOL EMERA INCORPORATED EMA BRP INC. SV DOO EMERA INC. SER A PR EMA.PR.A DUNDEE PRECIOUS MTL DPM EMERA INC. SER B PR EMA.PR.B MEDICAL FACILITIES DR EMERA INC. SER C PR EMA.PR.C DREAM HRD ASETALT UN DRA.UN EMERA INC. SER E PR EMA.PR.E DREAM GLOBAL REIT UN DRG.UN EMERA INC. SER F PR EMA.PR.F DREAM UNLTD CL A SV DRM EMERA INC. SER H PR EMA.PR.H DREAM UNLTD 1ST PR DRM.PR.A EMPIRE CO CL A NV EMP.A DIRTT ENV SOLUTION J DRT ENBRIDGE INC. ENB DIVIDEND SELECT 15EQ DS ENBRIDGE SER 9 PR ENB.PF.A DESCARTES SYSTEMS DSG ENBRIDGE SER 11 PR ENB.PF.C DYNAMIC ISHR GLBLDIV DXG ENBRIDGE SER 13 PR ENB.PF.E DYNAMIC ISHR PREF UN DXP ENBRIDGE SER 15 PR ENB.PF.G ENCANA CORPORATION ECA ENBRIDGE SER 17 PR ENB.PF.I ENERCARE INC. ECI ENBRIDGE SER 19 PR ENB.PF.K ECN CAPITAL CORP. ECN ENBRIDGE SER L US PR ENB.PF.U ECN CAPITAL 6.50% PR ECN.PR.A ENBRIDGE SER 5 US PR ENB.PF.V ECN CAPITAL 6.25% PR ECN.PR.C ENBRIDGE 5.50% PR ENB.PR.A ENDEAVOUR SILVER J EDR ENBRIDGE INC SR B PR ENB.PR.B ENDEAVOUR MINING ORD EDV ENBRIDGE INC SR C PR ENB.PR.C EUROPEAN FOCUSDIV UN EF.UN ENBRIDGE INC SR D PR ENB.PR.D ELEMENT FLEET MGT EFN ENBRIDGE INC SR F PR ENB.PR.F ELEMENT FLEET PR A EFN.PR.A ENBRIDGE INC SR H PR ENB.PR.H Compiled by the Investment Industry Regulatory Page 6 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol ENBRIDGE SER 7 PR ENB.PR.J NA FIN 15 SPLIT A FFN ENBRIDGE INC SR N PR ENB.PR.N NA FIN 15 SPLIT 2 PR FFN.PR.A ENBRIDGE INC SR P PR ENB.PR.P ISHARES CDNFINMO UN FIE ENBRIDGE INC SR R PR ENB.PR.T 1ST ASSET INV BND UN FIG ENBRIDGE SR J US PR ENB.PR.U 1ST ASSET INVBOND US FIG.U ENBRIDGE SER 1 US PR ENB.PR.V FAIRFAX INDIA SV USF FIH.U ENBRIDGE SER 3 PR ENB.PR.Y 1ST AST US&CDALIFECO FLI ENBRIDGE INCM HLDGS ENF PURPOSE FLTG RATE UN FLOT ENGHOUSE SYSTEMS LTD ENGH PURPOSE FLTGRTNCH US FLOT.U EQUITABLE GROUP INC. EQB FIRST QUANTUM MNRL J FM EQUITABLE GRP PR 3 EQB.PR.C FIRST NAT'L FIN CORP FN ENERPLUS CORPORATION ERF 1ST NATL FIN SR 1 PR FN.PR.A ERO COPPER CORP. J ERO 1ST NATL FIN SR 2 PR FN.PR.B ENSIGN ENGY SERVICES ESI FRANCO-NEVADA CORP. FNV EVERTZ TECHNOLOGIES ET GOODFOOD MARKET J FOOD EXTENDICARE INC. EXE FIRST MAJESTIC J FR EXFO INC. SV EXF FRESHII INC. CL A SV FRII ABERDEEN ASIA-PACIFC FAP FREEHOLD ROYALTIES FRU FIRM CAP MTG INVEST FC 1ST AST ENHANCESHBND FSB FIRST CAPITAL REALTY FCR 1ST ASTENHANCSHBNDUS FSB.U FRONTERA ENERGY CORP FEC FIRSTSERVICE CORP SV FSV FAIRFAX FINANCIAL SV FFH FIERA CAPITAL A SV FSZ FAIRFAX FIN SER C PR FFH.PR.C FINANCIAL 15 SPLT A FTN FAIRFAX FIN SER D PR FFH.PR.D FINANCIAL 15 SPLT PR FTN.PR.A FAIRFAX FIN SER E PR FFH.PR.E FORTIS INC. FTS FAIRFAX FIN SER F PR FFH.PR.F FORTIS INC. 1ST PR F FTS.PR.F FAIRFAX FIN SER G PR FFH.PR.G FORTIS INC. 1ST PR G FTS.PR.G FAIRFAX FIN SER H PR FFH.PR.H FORTIS INC. 1ST PR H FTS.PR.H FAIRFAX FIN SER I PR FFH.PR.I FORTIS INC.1ST PR I FTS.PR.I FAIRFAX FIN SER J PR FFH.PR.J FORTIS INC. 1ST PR J FTS.PR.J FAIRFAX FIN SER K PR FFH.PR.K FORTIS INC. 1ST PR K FTS.PR.K FAIRFAX FIN SER M PR FFH.PR.M FORTIS INC. 1ST PR M FTS.PR.M FAIRFAX FIN SV USF FFH.U FINNING INT'L INC. FTT Compiled by the Investment Industry Regulatory Page 7 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol FORTUNA SILVER MINES FVI GLOBAL WATER RES GWR GOLDCORP INC. G GRANITE OIL CORP. J GXO GREAT CDN GAMING GC GAZIT-GLOBE LTD. ORD GZT GUARDIAN CAPITAL GCG HYDRO ONE LIMITED H GUARDIAN CAP CL A NV GCG.A HORIZON CORPBND E UN HAB GRAN COLOMBIA GOLD GCM HUDSON'S BAY COMPANY HBC GIBSON ENERGY INC GEI HARVESTBRNDLDR+ A UN HBF GEODRILL LIMITED ORD GEO HARVESTBRNDLDR+US UN HBF.U CGI GROUP CL A SV GIB.A HUDBAY MINERALS INC. HBM GILDAN ACTIVEWEAR GIL HOME CAPITAL GROUP HCG GMP CAPITAL INC. GMP HARDWOODS DIST INC. HDI GMP CAPITAL SER B PR GMP.PR.B HYDROPOTHECARY (THE) HEXO GMP CAPITAL SER C PR GMP.PR.C HORIZON FLTGRTBND UN HFR GRANITE RL EST TR UN GRT.UN BETAPROCDNGLDMNR2XBL HGU GLUSKIN SHEFF + ASSC GS HARVEST HLTHCRLDR UN HHL GOEASY LTD. GSY HARVESTHEALTHCARE US HHL.U GRAN TIERRA ENERGY J GTE HIGH LINER FOODS INC HLF KNIGHT THERAPEUTICS GUD HORIZONS MARIJ LFE A HMMJ GUYANA GOLDFIELDS J GUY HORIZONS MARIJ US HMMJ.U GREAT-WEST LIFECO GWO HORIZON NTH LOGSTC J HNL GT-WEST LIFECO PR F GWO.PR.F BETAPRO NATGAS 2XBUL HNU GT-WEST LIFECO PR G GWO.PR.G BETAPRO CRDOIL-2X BR HOD GT-WEST LIFECO PR H GWO.PR.H AMERICAN HOTL UN USF HOT.U GT-WEST LIFECO PR I GWO.PR.I AMERICAN HOTL LP UN HOT.UN GT-WEST LIFECO PR L GWO.PR.L BETAPRO CRUDEOIL2XBL HOU GT-WEST LIFECO PR M GWO.PR.M HORIZON PREF CL E UN HPR GT-WEST LIFECO PR N GWO.PR.N BETAPRONASDQ100 2XBL HQU GT-WEST LIFECO PR O GWO.PR.O H&R RL EST STAPLE UN HR.UN GT-WEST LIFECO PR P GWO.PR.P HEROUX-DEVTEK INC. HRX GT-WEST LIFECO PR Q GWO.PR.Q HUSKY ENERGY INC. HSE GT-WEST LIFECO PR R GWO.PR.R HUSKY ENERGY SR 1 PR HSE.PR.A GT-WEST LIFECO PR S GWO.PR.S HUSKY ENERGY SR 2 PR HSE.PR.B GT-WEST LIFECO PR T GWO.PR.T HUSKY ENERGY SR 3 PR HSE.PR.C Compiled by the Investment Industry Regulatory Page 8 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol HUSKY ENERGY SR 5 PR HSE.PR.E INTERTAPE POLYMER ITP HUSKY ENERGY SR 7 PR HSE.PR.G INTERTAIN GRP EXCH J ITX BETAPRO S&P500 2X BL HSU IVANHOE MINES CL A J IVN HIGH ARCTIC ENGY INC HWO INVESQUE INC. USF IVQ.U HORIZONS S&P500 UN HXS JUST ENERGY GROUP JE HORIZON S&P500 US UN HXS.U JUST ENERGY 8.5PR US JE.PR.U HORIZON S&P/TSX60 A HXT JFT STRATEGIES A UN JFS.UN HORIZON S&P/TSX60 US HXT.U JAMIESON WELLNESS JWEL HYDROGENICS CORP HYG KINROSS GOLD CORP. K INDSTRL ALLIANCE INS IAG K-BRO LINEN INC. KBL INDSTRL ALLIANCEPR B IAG.PR.A KELT EXPL LTD. J KEL INDSTRL ALLIANCEPR G IAG.PR.G KEW MEDIA VV & COM KEW INDSTRL ALLIANCEPR I IAG.PR.I KEYERA CORP. KEY IBI GROUP INC. IBG KINGSWAY FINANCIAL KFS INTACT FIN CORP. IFC KIRKLAND LAKE GOLD J KL INTACT FIN A SER 1 IFC.PR.A KINDER MORGAN CDA RV KML INTACT FIN A SER 3 IFC.PR.C KINDER MORGAN SR1 PR KML.PR.A INTACT FIN A SER 4 IFC.PR.D KINDER MORGAN SR3 PR KML.PR.C INTACT FIN A SER 5 IFC.PR.E KILLAM APT REIT UN J KMP.UN INTACT FIN A SR 6 PR IFC.PR.F CORVUS GOLD INC. J KOR INTACT FIN A SR 7 PR IFC.PR.G KP TISSUE INC. KPT INTERFOR CORPORATION IFP CRIUS ENERGY TR UN KWH.UN IGM FINANCIAL INC. IGM KINAXIS INC. J KXS IGM FINANCIAL B PR IGM.PR.B LOBLAW COMPANIES LTD L INTERRENT REIT UN J IIP.UN LOBLAW CO. SER B PR L.PR.B IAMGOLD CORPORATION IMG LITHIUM AMERICAS J LAC IMPERIAL OIL LTD. IMO LAURENTIAN BK OF CAN LB IMV INC. J IMV LAURENTIAN BK PR 13 LB.PR.H INNERGEX RENEW ENGY INE LAURENTIAN BK PR 15 LB.PR.J INNERGEX RENEW PR A INE.PR.A LIFE & BANC SPLIT A LBS INNERGEX RENEW PR C INE.PR.C LIFE & BANC SPLIT PR LBS.PR.A INOVALIS REIT UN INO.UN BROMPTON LIFESPLT PR LCS.PR.A INTER PIPELINE LTD. IPL CDN LIFE CO SPLIT A LFE Compiled by the Investment Industry Regulatory Page 9 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol CDN LIFE COSPLT PR12 LFE.PR.B MAGNA INT'L INC. MG LABRADOR IRON ORE LIF MACKENZIE GLBFXINCME MGB LEAGOLD MNG CORP. J LMC GENWORTH MI CANADA MIC LINAMAR CORPORATION LNR MINT INCME FND TR UN MID.UN MIDDLEFLD HLTH&LFEUN LS.UN MCAN MORTGAGE CORP. MKP LUCARA DIAMOND J LUC RY CDN MINT-GOLD ETR MNT LUNDIN GOLD INC. J LUG RY CDN MINT-GOLD USF MNT.U LUNDIN MINING CORP LUN MITEL NETWORKS CORP. MNW MAG SILVER CORP. J MAG MOUNTAIN PROVINCE J MPVD MAGELLAN AEROSPACE MAL MARTINREA INT'L INC. MRE MAXAR TECHNOLOGIES MAXR MORGUARD NA REIT UN MRG.UN MEDIAGRIF INTERACTV MDF MORGUARD REAL EST UN MRT.UN MAJOR DRILLING GROUP MDI METRO INC. MRU MEG ENERGY CORP. MEG MORNEAU SHEPELL INC. MSI MANULIFE FINANCIAL MFC MULLEN GROUP LTD. MTL MANULIFE FIN SR 2 PR MFC.PR.B MTY FOOD GROUP INC. MTY MANULIFE FIN A PR 3 MFC.PR.C MACKENZIE UNCNSTRN E MUB MANULIFE FIN SR 3 PR MFC.PR.F MCEWEN MINING INC. J MUX MANULIFE FIN SR 5 PR MFC.PR.G METHANEX CORPORATION MX MANULIFE FIN SR 7 PR MFC.PR.H NAT'L BANK OF CANADA NA MANULIFE FIN SR 9 PR MFC.PR.I NAT'L BANK SER 36 PR NA.PR.A MANULIFE FIN SR11 PR MFC.PR.J NAT'L BANK SER 38 PR NA.PR.C MANULIFE FIN SR13 PR MFC.PR.K NAT'L BANK SER 40 PR NA.PR.E MANULIFE FIN SR15 PR MFC.PR.L NAT'L BANK SER 42 PR NA.PR.G MANULIFE FIN SR17 PR MFC.PR.M NAT'L BANK SER 30 PR NA.PR.S MANULIFE FIN SR19 PR MFC.PR.N NAT'L BANK SER 32 PR NA.PR.W MANULIFE FIN SR21 PR MFC.PR.O NAT'L BANK SER 34 PR NA.PR.X MANULIFE FIN SR 4 PR MFC.PR.P NEO PERFORM MATERIAL NEO MANULIFE FIN SR25 PR MFC.PR.Q NEXA RESOURCES S.A. NEXA MANULIFE FIN SR23 PR MFC.PR.R NFI GROUP INC. NFI MAPLE LEAF FOODS INC MFI NOVAGOLD RESOURCES J NG MANULIFE FLTGRTLN UN MFR.UN NEW GOLD INC. NGD MACKENZIE FLTGRATE E MFT N.A. CONSTRUCTION NOA Compiled by the Investment Industry Regulatory Page 10 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol NORTHLAND POWER INC. NPI PREMIUM INCOME CL A PIC.A NORTHLAND PWR PR 1 NPI.PR.A PREMIUM INCOME PR PIC.PR.A NORTHLAND PWR PR 2 NPI.PR.B POLARIS INFRAS J PIF NORTHLAND PWR PR 3 NPI.PR.C PARKLAND FUEL CORP. PKI NEVSUN RESOURCES J NSU PARK LAWN CORP. PLC NUTRIEN LTD. NTR PLAZA RETAIL REIT UN PLZ.UN NUVISTA ENERGY LTD. NVA PIMCO MTHLYINCMETFUN PMIF NTHVIEW APT REIT UN NVU.UN PAINTED PONY ENGY J PONY NW COMPANY VARV&COMV NWC PARAMOUNT RES CL A POU NW HEALTHCARE UN NWH.UN POWER CORP OF CDA SV POW NEXGEN ENERGY LTD. J NXE POWER CORP 5.6% PR A POW.PR.A OCP CREDIT STGY UN OCS.UN POWER CORP 5.35% PR POW.PR.B OCEANAGOLD CORP. OGC POWER CORP 5.80% PR POW.PR.C ONEX CORPORATION SV ONEX POWER CORP 5.00% PR POW.PR.D OSISKO GLD ROYALTY OR POWER CORP PART. PR POW.PR.E OROCOBRE LTD. ORD J ORL POWER CORP SR861STPR POW.PR.F NORBORD INC. OSB POWER CORP 5.6% PR G POW.PR.G OPEN TEXT CORP OTEX PEMBINA PIPELINE PPL PAN AMERICAN SILVER PAAS PEMBINA PIPE PR 21 PPL.PF.A PARTNERS REIT UN PAR.UN PEMBINA PIPE SR 1 PR PPL.PR.A PREMIUM BRANDS HLDGS PBH PEMBINA PIPE SR 3 PR PPL.PR.C CANSO CREDIT A UN PBY.UN PEMBINA PIPE SR 5 PR PPL.PR.E PRECISION DRILL CORP PD PEMBINA PIPE SR 7 PR PPL.PR.G INVESCO CDN DIV UN PDC PEMBINA PIPE SR 9 PR PPL.PR.I N.A. PALLADIUM LTD. PDL PEMBINA PIPE PR 11 PPL.PR.K PATTERN ENERGY GRP A PEGI PEMBINA PIPE PR 13 PPL.PR.M PEYTO EXPL & DEV PEY PEMBINA PIPE PR 15 PPL.PR.O PREMIER GOLD MINES J PG PEMBINA PIPE PR 17 PPL.PR.Q PIMCO GBL INCMOPP UN PGI.UN PEMBINA PIPE PR 19 PPL.PR.S PERSHING GOLD CORP J PGLC INVESCO1-5CORPBND UN PSB PHX ENERGY SERVICES PHX PULSE SEISMIC INC. PSD SPROTT PHYGOLD CA UN PHYS PASON SYSTEMS INC. PSI SPROTT PHY GLD UN US PHYS.U PRAIRIESKY ROYALTY PSK Compiled by the Investment Industry Regulatory Page 11 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol SPROTT PHY SIL CDN PSLV ROGERS COMM CL B NV RCI.B SPROTT PHY SILVER US PSLV.U REAL MATTERS INC. REAL INVESCO TACTBOND UN PTB RECIPE UNLIMITED SV RECP POINTS INT'L LTD. J PTS RIOCAN RL EST TR UN REI.UN PRETIUM RESOURCES J PVG REITMAN'S CANADA RET POWER FINANCIAL CORP PWF REITMAN'S CDA A NV RET.A POWER FINANCIAL PR A PWF.PR.A RESOLUTE FOREST PROD RFP POWER FINANCIAL PR D PWF.PR.E 1ST ASSET CDNREIT UN RIT POWER FIN 5.25% PR E PWF.PR.F ROCKY MTN DEALERSHIP RME POWER FIN 5.90% PR F PWF.PR.G TRANSALTA RENEWABLE RNW POWER FIN 5.75% PR H PWF.PR.H ROOTS CORPORATION ROOT POWER FIN 6% PR I PWF.PR.I RBC CDN PREF CA UN RPF POWER FIN 4.95% PR K PWF.PR.K ROGERS SUGAR INC. RSI POWER FIN 5.10% PR L PWF.PR.L RUSSEL METALS INC. RUS POWER FIN 5.80% PR O PWF.PR.O ROYAL BANK OF CANADA RY POWER FIN 4.40% PR P PWF.PR.P ROYAL BANK PR SER AA RY.PR.A POWER FINANCIAL PR Q PWF.PR.Q ROYAL BANK PR SER AC RY.PR.C POWER FIN 5.50% PR R PWF.PR.R ROYAL BANK PR SER AD RY.PR.D POWER FIN 4.80% PR S PWF.PR.S ROYAL BANK PR SER AE RY.PR.E POWER FIN 4.20% PR T PWF.PR.T ROYAL BANK PR SER AF RY.PR.F POWER FIN 5.15% PR V PWF.PR.Z ROYAL BANK PR SER AG RY.PR.G PAREX RESOURCES J PXT ROYAL BANK PR SER BB RY.PR.H PIZZA PIZZA ROYALTY PZA ROYAL BANK PR SER AJ RY.PR.I QUEBECOR INC CL A MV QBR.A ROYAL BANK PR SER BD RY.PR.J QUEBECOR INC CL B SV QBR.B ROYAL BANK PR SER AK RY.PR.K INVESCO QQQ CA$HG QQC.F ROYAL BANK PR SER AL RY.PR.L RESTAURANT BRND INTL QSR ROYAL BANK PR SER BF RY.PR.M STINGRAY DIGIT SV RAY.A ROYAL BANK PR SER BH RY.PR.N STINGRAY DGT VARY SV RAY.B ROYAL BANK PR SER BI RY.PR.O RITCHIE BROS AUCTION RBA ROYAL BANK PR SER BJ RY.PR.P BLUE RIBBON INCM UN RBN.UN ROYAL BANK PR SER BK RY.PR.Q RICHELIEU HARDWARE RCH ROYAL BANK PR SER BM RY.PR.R ROGERS COMM CL A RCI.A ROYAL BANK PR SER W RY.PR.W Compiled by the Investment Industry Regulatory Page 12 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol ROYAL BANK PR SER AZ RY.PR.Z SUPERIOR PLUS CORP. SPB SAPUTO INC. SAP SPROTT PHYPLAT CA UN SPPP SHAWCOR LTD. SCL SPROTT PHYPLAT US UN SPPP.U SEABRIDGE GOLD INC J SEA SLATE RETAIL CL U UN SRT.U SECURE ENERGY SERV J SES SLATE RETAIL CAD UN SRT.UN SURGE ENERGY INC. J SGY SMARTCTR REIT VV UN SRU.UN SOURCE ENERGY SERV J SHLE STORM RES LTD. J SRX SHOPIFY INC A SV SHOP SYMPHONY FLTGLOAN UN SSF.UN SIENNA SENIOR LIVING SIA SANDSTORM GOLD LTD. SSL SPROTT INC. SII SSR MINING INC. SSRM SAVARIA CORP. J SIS STEP ENERGY SERV J STEP STELLA-JONES INC. SJ STELCO HOLDINGS J STLC SHAW COMM CL B NV SJR.B STANTEC INC. STN SHAW COMM CL 2 PR A SJR.PR.A SUNCOR ENERGY INC. SU SHAW COMM CL 2 PR B SJR.PR.B SOLIUM CAPITAL INC J SUM SUN LIFE FIN INC. SLF SILVERCORP METALS J SVM SUN LIFE FIN PR A SLF.PR.A SIERRA WIRELESS SW SUN LIFE FIN SER2 PR SLF.PR.B SUPREMEX INC. SXP SUN LIFE FIN SER3 PR SLF.PR.C TELUS CORPORATION T SUN LIFE FIN SER4 PR SLF.PR.D TRANSALTA CORP. TA SUN LIFE FIN SER5 PR SLF.PR.E TRANSALTA SER A PR TA.PR.D SUN LIFE FIN SR8R PR SLF.PR.G TRANSALTA SER B PR TA.PR.E SUN LIFE FIN 10R PR SLF.PR.H TRANSALTA SER C PR TA.PR.F SUN LIFE FIN 12R PR SLF.PR.I TRANSALTA SER E PR TA.PR.H SUN LIFE FIN 9QR PR SLF.PR.J TRANSALTA SER G PR TA.PR.J SUN LIFE FIN 11QR PR SLF.PR.K TUCOWS INC. TC SEMAFO INC. J SMF TRANSCONTINENTL A SV TCL.A SIERRA METALS INC. J SMT TRANSCONTINENTL B MV TCL.B SUMMIT IND REIT UN J SMU.UN TRICON CAPITAL GROUP TCN SNC - LAVALIN GROUP SNC TRICAN WELL SERVICE TCW SLATE OFFICE REIT UN SOT.UN T.D. BANK TD STUART OLSON INC. SOX T.D. BANK SER 1 PR TD.PF.A SUNOPTA, INC. SOY T.D. BANK SER 3 PR TD.PF.B Compiled by the Investment Industry Regulatory Page 13 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol T.D. BANK SER 5 PR TD.PF.C TRANSCAN CORP PR 1 TRP.PR.A T.D. BANK SER 7 PR TD.PF.D TRANSCAN CORP PR 3 TRP.PR.B T.D. BANK SER 9 PR TD.PF.E TRANSCAN CORP PR 5 TRP.PR.C T.D. BANK SER 11 PR TD.PF.F TRANSCAN CORP PR 7 TRP.PR.D T.D. BANK SER 12 PR TD.PF.G TRANSCAN CORP PR 9 TRP.PR.E T.D. BANK SER 14 PR TD.PF.H TRANSCAN CORP PR 2 TRP.PR.F T.D. BANK SER 16 PR TD.PF.I TRANSCAN CORP PR 11 TRP.PR.G T.D. BANK SER 18 PR TD.PF.J TRANSCAN CORP PR 4 TRP.PR.H T.D. BANK SER Y PR TD.PR.Y TRANSCAN CORP PR 6 TRP.PR.I T.D. BANK SER Z PR TD.PR.Z TRANSCAN CORP PR 13 TRP.PR.J TECK RES CL A MV TECK.A TRANSCAN CORP PR 15 TRP.PR.K TECK RES CL B SV TECK.B TURQUOISE HILL RES TRQ TIMBERCREEK FIN CORP TF TRANSAT A.T. V & VV TRZ TFI INTERNATIONAL TFII STARS GROUP INC. J TSGI TRANSGLOBE ENERGY J TGL TREE ISLAND STEEL TSL TERAGO INC. TGO TRISURA GROUP J TSU TERANGA GOLD CORP. J TGZ TAMARACK VALL ENGY J TVE THERATECHNOLOGIES TH 1STASTTECH GIANTS UN TXF TAHOE RESOURCES J THO 1STASTTECHGIANT UNHG TXF.B TOROMONT INDUSTRIES TIH URANIUM PARTICIPATE U TRILOGY METALS INC J TMQ DOMTAR CORPORATION UFS TMAC RESOURCES INC J TMR UNI-SELECT INC. UNS TRUE NTHCOMMERCL JUN TNT.UN URBANA CORPORATION URB TORC OIL & GAS LTD. TOG URBANA CORP. CL A NV URB.A TOTAL ENGY SERV INC. TOT AMERICAS SILVER J USA TOURMALINE OIL CORP. TOU VANGUARD CDN AGR BND VAB SPIN MASTER CORP SV TOY VERSABANK J VB TEMPLE HOTELS INC. TPH VERSABANK PR 1 J VB.PR.A THOMSON REUTERS CORP TRI VERSABANK PR 3 J VB.PR.B THOMSON REUTER PR II TRI.PR.B VANGUARD FTSE CDAIDX VCE TRILLIUM THERPEUTC J TRIL VANGUARD CDAALLCAPUN VCN TRILOGY INTL PARTNRJ TRL VANGUARD FTSE DIVYLD VDY TRANSCAN CORPORATION TRP VANGUARD FTSE DEV EU VE Compiled by the Investment Industry Regulatory Page 14 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol VANGUARD FTSEEMRGMKT VEE WSP GLOBAL INC. WSP VANGRD DEV US CA-HEG VEF WESTSHORE TERMINALS WTE VERMILION ENERGY INC VET 1STASST MORNMOMNT UN WXM VANGUARD S&P500 INDX VFV TMX GROUP LIMITED X SEVEN GENERATIONS A VII GOLDMONEY INC. XAU VANGUARD EXNA IDX UN VIU ISHR COREMSCI AC WEX XAW 5N PLUS INC. VNP ISHR CDN UNIVERS BND XBB VALENER INC. VNR ISHR SP/TSXGBLBSEMTL XBM VALENER INC. SR A PR VNR.PR.A ISHARES CDN CORP BND XCB VANGUARD CDN S-T BND VSB XTREME DRILLING J XDC VANGUARD S-T CRPBOND VSC ISHR CORE EMRGMKTIMI XEC VANGUARD S&P500 C-HG VSP ISHR CORMSCIEAFE IMI XEF VANGUARD US MKTIDXUN VUN ISHR MSCI EU IMI CAD XEH VANGUARD US TOTMKTUN VUS ISHR S&P/TSX HIDIVUN XEI VANGUARD FTSEGLOBECA VXC ISHRCRMSCI EAFEIMIHG XFH WESTCOAST ENGY PR 12 W.PR.M ISHARES FLTG RATE UN XFR WASTE CONNECTIONS WCN ISHARES CDN GOVT BND XGB WHITECAP RESOURCES J WCP ISHARES US HIYLD BND XHY WESDOME GOLD MINES WDO ISHARE MSCI EAFE IDX XIN CANOPY GRWTH CORP J WEED ISHARES S&P/TSX TECH XIT WESTERN FOREST PROD WEF ISHR CORECDNLT BNDUN XLB WEST FRASER TIMBER WFT ISHARE HIGHCDNBND UN XQB WPT INDUSTRL REIT US WIR.U ISHARE NASDAQ 100 UN XQQ WESTJET AIRLINE VV&V WJA ISHARE CDN RLRET BND XRB WAJAX CORPORATION WJX ISHRE CDN SH TRM BND XSB WESTON GEORGE WN ISHR CONSV SHSTGYFXD XSC WESTON GEORGE 1 PR WN.PR.A ISHR CORECDNSHMPLBND XSH WESTON GEORGE III PR WN.PR.C ISHARES CORE S&P 500 XSP WESTON GEORGE IV PR WN.PR.D ISHARES US SMALL CAP XSU WESTON GEORGE V PR WN.PR.E EXCO TECHNOLOGIES XTC WINPAK LIMITED WPK ISHARE DIVRS MO INCM XTR WHEATON PRECIOUS MTL WPM ISHARES CORESP500IDX XUS WESTPORT FUEL SYS WPRT ISHR CORS&P US MKTUN XUU Compiled by the Investment Industry Regulatory Page 15 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol ISHARE MSCI WORLD UN XWD BMO LADDERED PR INDX ZPR YELLOW PAGES LIMITED Y BMO NASDAQ EQHED ETF ZQQ YANGARRA RES LTD. YGR BMO EQL WGT REITS UN ZRE YAMANA GOLD INC. YRI BMO S&P500 IDXCAD UN ZSP BMO AGGREGATEBND ETF ZAG BMO S&P500 IDX US UN ZSP.U BMO EQLWGHT US BKCAD ZBK BMO EQ WGT US BANKS ZUB BMO CHINA EQ IDX ETF ZCH BMO EQWGT US HEALTH ZUH ZCL COMPOSITES INC ZCL BMO EQL WGT UTIL ETF ZUT BMO MID CRP BOND ETF ZCM BMO DJ INDUSTAVG UN ZWA BMO S&P/TSX COMPINDX ZCN BMO COVERD CALLCDNBK ZWB BMO SHRT CRP BND ETF ZCS BMO CDN HIDIVCOVCALL ZWC BMO SH CORP BNDACCUM ZCS.L BMO EU DIVCOVCAL C-H ZWE BMO DISCOUNT BND UN ZDB BMO US HIGHDIVCOV UN ZWH BMO INT'L DIV CAD UN ZDI BMO US HIGHDIVCOV US ZWH.U BMO DJ INDAV HEG ETF ZDJ BMO COVERDUTILITY UN ZWU BMO MSCI EAFE HEGCAD ZDM ZYMEWORKS INC. ZYME BMO CDN DIVIDEND UN ZDV SLEEP CNTRY CDA HLDG ZZZ BMO USDIV ETF CAD UN ZDY BMO USDIV ETF USD UN ZDY.U BMO MSCI EAFE IDX UN ZEA ONLY ON LSERM BECAUSE OCC OPTIONS BMO EQL WGT BANK ETF ZEB TRADE AGAINST SECURITY BMO MSCI EMRGMKTS UN ZEM ASANKO GOLD INC. J AKG BMO EQ WGHTOIL & GAS ZEO GOLDEN MINERALS J AUMN BMO MSCI EU HIQLTYUN ZEQ ALEXCO RESOURCE J AXR BMO FLTG RTHI YLD UN ZFH BELLATRIX EXPL LTD. BXE BMO HY US CRPHDG ETF ZHY CERIDIAN HCM HLDG J CDAY BMO EQWGTINDUSTRL UN ZIN CORREVIO PHARMA CORP CORV BMO JUNIOR GOLD ETF ZJG CRONOS GROUP INC. J CRON BMO VOLATLTY CAD UN ZLB CONCORDIA INT'L J CXR BMO LWVLTYUSEQ CADUN ZLU DENISON MINES CORP DML BMO LWVLTYUSEQ US UN ZLU.U ELDORADO GOLD CORP. ELD BMO MIDPROVBND CADUN ZMP ENTREE RESOURCES J ETG BMO MIDUS IG HEGBND ZMU Compiled by the Investment Industry Regulatory Page 16 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol GENERAL MOLY, INC. GMO CDA GOOSE HLDGS SV GOOS GT PANTHER SILVER J GPR GOLDEN STAR RESOURCE GSC INTELLIPHARMA INTL J IPCI NTHRN DYNASTY MIN J NDM NEPTUNE TECH & BIO J NEPT OBSIDIAN ENERGY LTD OBE PENGROWTH ENERGY PGF TASEKO MINES LTD. TKO TRANSATLANTIC PETE J TNP TANZANIAN ROYALTY J TNX VISTA GOLD CORP VGZ Compiled by the Investment Industry Regulatory Page 17 of 22 June 30, 2018 Organization of Canada IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced Margin
List of Securities Eligible for Reduced Margin Attachment #1
Schedule of Additions1
Description Symbol Description Symbol
ADDITIONS ADDITIONS
TORONTO STOCK EXCHANGE (TSX) ELEMENT FLEET PR I EFN.PR.I
AURORA CANNABIS J ACB CANOE EIT SER 2 PR EIT.PR.B
AIMIA INC. AIM EMERA INC. SER H PR EMA.PR.H
AIMIA INC. SER 1 PR AIM.PR.A ERO COPPER CORP. J ERO
AIMIA INC. SER 2 PR AIM.PR.B PURPOSE FLTG RATE UN FLOT
AIMIA INC. SER 3 PR AIM.PR.C PURPOSE FLTGRTNCH US FLOT.U
AKUMIN INC. J USF AKU.U GUARDIAN CAPITAL GCG
APHRIA INC. J APH GUARDIAN CAP CL A NV GCG.A
APTOSE BIOSCIENCES APS GEODRILL LIMITED ORD GEO
BAUSCH HEALTH CO BHC HOME CAPITAL GROUP HCG
CDN BANC CORP CL 'A' BK HYDROPOTHECARY (THE) HEXO
CDN BANC CORP. PR BK.PR.A INTACT FIN A SR 7 PR IFC.PR.G
BROOKFLD OFFICE PRII BPO.PR.I IMV INC. J IMV
BROOKFLD OFFICE PR T BPO.PR.T JFT STRATEGIES A UN JFS.UN
CERIDIAN HCM HLDG J CDAY K-BRO LINEN INC. KBL
ALCANNA INC. CLIQ KEW MEDIA VV & COM KEW
CORREVIO PHARMA CORP CORV MEDIAGRIF INTERACTV MDF
CREW ENERGY INC. CR MANULIFE FLTGRTLN UN MFR.UN
CRONOS GROUP INC. J CRON NAT'L BANK SER 42 PR NA.PR.G
DESJARDINEMRGMLTFCTR DFE NEO PERFORM MATERIAL NEO
DHX MEDIA LTD COM&VV DHX CANSO CREDIT A UN PBY.UN
EVOLVE CA PREF UNHEG DIVS PHX ENERGY SERVICES PHX
DIVIDEND SELECT 15EQ DS SPROTT PHYGOLD CA UN PHYS
DYNAMIC ISHR GLBLDIV DXG PIMCO MTHLYINCMETFUN PMIF
EUROPEAN FOCUSDIV UN EF.UN SPROTT PHY SIL CDN PSLV
ELEMENT FLEET MGT EFN INVESCO TACTBOND UN PTB
ELEMENT FLEET PR A EFN.PR.A RECIPE UNLIMITED SV RECP
ELEMENT FLEET PR E EFN.PR.E ROOTS CORPORATION ROOT
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 22 June 30, 2018
Organization of Canada
IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced MarginList of Securities Eligible for Reduced Margin Attachment #1
Schedule of Additions1
Description Symbol
ADDITIONS
SURGE ENERGY INC. J SGY
SPROTT PHYPLAT CA UN SPPP
SYMPHONY FLTGLOAN UN SSF.UN
TRANSGLOBE ENERGY J TGL
THERATECHNOLOGIES TH
TRILOGY METALS INC J TMQ
TEMPLE HOTELS INC. TPH
TRISURA GROUP J TSU
WESDOME GOLD MINES WDO
CANOPY GRWTH CORP J WEED
BMO EQWGTINDUSTRL UN ZIN
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 22 June 30, 2018
Organization of Canada
IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced MarginList of Securities Eligible for Reduced Margin Attachment #1
Schedule of Deletions2
Description Symbol Description Symbol
DELETIONS DELETIONS
TORONTO STOCK EXCHANGE (TSX) GOLD STAND VENTURE J GSV
PURE INDUSTRIAL UN AAR.UN HORIZON SEASONL E UN HAC
ALTAGAS LTD SUBS REC ALA.R HORIZON GLBLDIV E UN HAZ
ALIO GOLD INC. J ALO HORIZN ACTFLTGPREF E HFP
A&W REVENUE RYLTY UN AW.UN MIDDLEFLD HEALTHCRUN HWF.UN
ARIZONA MINING INC J AZ HORIZON HIGHYLDBND E HYI
BK OF MON PR SER 16 BMO.PR.M IMPERIAL METALS CORP III
BK OF MON PR SER 17 BMO.PR.R REDWOOD FLTGRT USF ISL.U
BROOKFIELD RL EST RV BRE REDWOOD FLTGRT A UN ISL.UN
BRIO GOLD INC. J BRIO KLONDEX MINES LTD. J KDX
1STAST 1-5GVTSTBNDUN BXF KEG ROYALTIES FND UN KEG.UN
CARA OPERATIONS SV CARA MEDRELEAF CORP. LEAF
ISHRE 1-10CORPBND UN CBH LIQUOR STORES NA LTD LIQ
CALLIDUS CAP CORP CBL MERCER INT'L INC. US MERC.U
1ST AST CANBANC INCM CIC MELCOR REIT UN MR.UN
ISHRE 1-10GOVTBND UN CLG MAXIM POWER CORP. MXG
CARMANAH TECH CORP. CMH MACKENZIE ALWRL NA E MXU
ISHARES MONEYMKT UN CMR OSISKO MINING INC. J OSK
CARDIOME PHARMA CORP COM POLLARD BANKNOTE LTD PBL
CIPHER PHARMA J CPH PURPOSE CORE DIV FND PDF
CROWN CAP PARTNERS J CRWN PWRSHR 1-3YR LADFLTG PFL
CITADEL INCM FUND UN CTF.UN CPI CARD GROUP INC. PMTS
ISHARE US DIVGROW UN CUD LYSANDER-SLATRPRACTV PR
DHX MEDIA LTD. VV DHX.A PIVOT TECH SOLUTN J PTG
DHX MEDIA LTD. DHX.B PURPOSE PREM YLD ETF PYF
EPSILON ENERGY LTD J EPS RBC QUANTEAFE DIV UN RID
FIRAN TECH GRP CORP. FTG RBC QUANTEAFE DIV US RID.U
1STAST MORNCDAVAL UN FXM RAGING RIVER EXPL RRX
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 22 June 30, 2018
Organization of Canada
IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced MarginList of Securities Eligible for Reduced Margin Attachment #1
Schedule of Deletions2
Description Symbol Description Symbol
DELETIONS DELETIONS
BROMPTON SPLT BANC A SBC BMO EQWGTGLBMTLHEGCA ZMT
BROMPTON SPLT BNC PR SBC.PR.A BMO US PUT WRITE CAD ZPW
SPARTAN ENGY CORP J SPE BMO US PUT WRITE USD ZPW.U
T.D. BANK SER S PR TD.PR.S BMO USDIV HDG-CAD UN ZUD
T.D. BANK SER T PR TD.PR.T BMO S&P 500 HEDG-CAD ZUE
POWRSHR LOWVLTLTY UN TLV
TEN PEAKS COFFEE TPK
TOREX GOLD RES J TXG
VANGUARD DEV ASIAPAC VA
VANGRD FTSE DEV EXUS VDU
VILLAGE FARMS INT'L VFF
VANGUARD US DIVAPPR VGG
VALEANT PHARM INT'L VRX
ISHARE MSCI EMERGMKT XEM
ISHR MSCI EU IMI IDX XEU
ISHARE CDN HYBRD BND XHB
ISHARE US HIGHDIV EQ XHD
ISHARE MSCIMINVLEAFE XMI
ISHARES CONSUMR STPL XST
BMO INTL DIVHG-CA UN ZDH
BMO LNG FEDERAL BOND ZFL
BMO MID FED BND INDX ZFM
BMO GBL INFRASTR ETF ZGI
BMO MIDUSCRPBNDCA UN ZIC
BMO MIDUS CRPBND USF ZIC.U
BMO INDIA EQ IDX ETF ZID
BMO JUNIOR OIL ETF ZJO
BMO LONG CRP BND ETF ZLC
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 21 of 22 June 30, 2018
Organization of Canada
IIROC Notice 18-0173 - Rules Notice – Technical – List of Securities Eligible for Reduced MarginList of Securities Eligible for Reduced Margin Attachment #1
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 = $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 ofYou can also read
