Search Cease Trade Orders
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There are two types of CTOs: (1) Ban Securities Trading OF CTOs which prohibits trading in the securities of a company and (2) Ban Securities Trading BY CTOs that prevent specific individuals and companies from trading in securities.
Ban Securities Trading OF CTOs are issued by the regulatory authorities of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Ontario, Saskatchewan and Québec.
CTOs that prevent specific individuals and companies (“Ban Securities Trading BY CTOs”) from trading in securities are issued by the securities regulatory authorities of Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Ontario, Saskatchewan and Québec. The term "General" in the Name column means trading is restricted in all securities. The “Issuing Jurisdiction(s)” column identifies the CSA jurisdictions that issued the CTO. In some circumstances a single order can be issued by more than one jurisdiction (click here for more information). A “FFCTO” status of “Yes” means that the CTO is a “failure-to-file cease trade order” (FFCTO). This information will assist an issuer in determining the CSA jurisdictions where the CTO has effect (click here for more information).
An exception status of "Yes" indicates that there are terms to the CTO that may permit trading in certain circumstances. You should review the specific terms of the order before refusing to execute a trade.
As a result of the implementation of statutory amendments in Alberta, Nova Scotia, Québec, New Brunswick, Manitoba, Prince Edward Island, Northwest Territories, Yukon, Saskatchewan, British Columbia and Newfoundland and Labrador, certain orders issued in other provinces or territories automatically take effect in Alberta, Nova Scotia, Québec, New Brunswick, Manitoba, Prince Edward Island, Northwest Territories, Yukon, Saskatchewan, British Columbia and Newfoundland and Labrador. For more information click here.
With the adoption of MI 11-103, certain CTOs issued by securities regulatory authorities automatically take effect in other jurisdictions. These other jurisdictions will not issue separate CTOs in these circumstances. For more information, click here.
By default all searches will show all CTOs issued that remain outstanding (active). To view CTOs that have been revoked or have expired, use Advanced Search . You can also browse by company name.