list of securities eligible for reduced margin · 2013. 5. 28. · list of securities eligible for...
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Attachment #1
Compiled by the Investment Industry Regulatory Page 1 of 21 March 31, 2013
Organization of Canada
List of Securities Eligible for Reduced Margin [effective from June 19, 2013 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 March 31, 2013
Organization of Canada
Description Symbol
TORONTO STOCK EXCHANGE (TSX)
1ST ASSTCDNDIVOP2 UN DVF.UN
5N PLUS INC. VNP
A&W REVENUE RYLTY UN AW.UN
ABERDEEN ASIA-PACIFC FAP
ABSOLUTE SOFTWARE J ABT
ACADIAN TIMBER CORP. ADN
ACTIVENERGY INCM UN AEU.UN
ADVANTAGE OIL & GAS AAV
AECON GROUP INC. ARE
AG GROWTH INT'L INC. AFN
AGF MANAGEMENT B NV AGF.B
AGNICO-EAGLE MINES AEM
AGRIUM INC. AGU
AIMIA INC. AIM
AIMIA INC. SER 1 PR AIM.PR.A
AINSWORTH LUMBER CO ANS
AIR CANADA CL A VV AC.A
AIR CANADA CL B AC.B
ALACER GOLD CORP. J ASR
ALAMOS GOLD INC. J AGI
ALARIS ROYALTY CORP. AD
ALEXCO RESOURCE J AXR
ALGONQUIN PWR & UTIL AQN
ALGONQUIN PWR A PR AQN.PR.A
ALIMENTATION CL A MV ATD.A
ALIMENTATION CL B SV ATD.B
ALLIANCE GRAIN TRADE AGT
ALLIED NEVADA GOLD J ANV
ALLIED PROP. REIT UN AP.UN
ALMADEN MINERALS AMM
ALTAGAS LTD. ALA
ALTAGAS LTD SR A PR ALA.PR.A
Description Symbol ALTAGAS LTD C PR USF ALA.PR.U
ALTIUS MINERALS CORP ALS
ALTUS GROUP LIMITED AIF
AMICA MATURE LFSTYLE ACC
ANGLE ENERGY INC. NGL
ARC RESOURCES LTD. ARX
ARGENT ENERGY UN J AET.UN
ARGONAUT GOLD INC. J AR
ARTEK EXPLORATION J RTK
ARTIS REIT UN AX.UN
ARTIS REIT SER A PR AX.PR.A
ARTIS REIT SER E PR AX.PR.E
ARTIS REIT PR C US AX.PR.U
ASANKO GOLD INC. J AKG
ASTONHILL OIL&GAS UN OGF.UN
ASTONHILL VIP INCMUN VIP.UN
ASTRAL MEDIA CL A NV ACM.A
ASTRAL MEDIA CL B SV ACM.B
ATCO LTD. CL I NV ACO.X
ATCO LTD. CL II ACO.Y
ATHABASCA OIL CORP J ATH
ATRIUM INNOVATIONS ATB
ATRIUM MTG INVEST AI
ATS AUTOMATION TOOL ATA
AUGUSTA RESOURCE J AZC
AURICO GOLD INC. AUQ
AURIZON MINES J ARZ
AURORA OIL & GAS ORD AEF
AUSTRALIA BANCSEC UN AUZ.UN
AUSTRALIA BNCINCM UN AUI.UN
AUTOCANADA INC. ACQ
AUTOMODULAR CORP AM
AVIGILON CORPORATION AVO
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 3 of 21 March 31, 2013
Organization of Canada
Description Symbol B2GOLD CORP. J BTO
BADGER DAYLIGHTING BAD
BANK OF NOVA SCOTIA BNS
BANK OF N S SR 12 PR BNS.PR.J
BANK OF N S SR 13 PR BNS.PR.K
BANK OF N S SR 14 PR BNS.PR.L
BANK OF N S SR 15 PR BNS.PR.M
BANK OF N S SR 16 PR BNS.PR.N
BANK OF N S SR 17 PR BNS.PR.O
BANK OF N S SR 18 PR BNS.PR.P
BANK OF N S SR 20 PR BNS.PR.Q
BANK OF N S SR 22 PR BNS.PR.R
BANK OF N S SR 24 PR BNS.PR.S
BANK OF N S SR 26 PR BNS.PR.T
BANK OF N S SR 28 PR BNS.PR.X
BANK OF N S SR 30 PR BNS.PR.Y
BANK OF N S SR 32 PR BNS.PR.Z
BANKERS PETROLEUM J BNK
BARRICK GOLD CORP ABX
BAUER PERFORMANCE BAU
BAYTEX ENERGY CORP. BTE
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
Description Symbol 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
BELL ALIANT INC. BA
BELL ALIANTPF EQ PRA BAF.PR.A
BELLATRIX EXPL LTD. BXE
BIRCHCLIFF ENERGY BIR
BIRCHCLIFF ENGY PR A BIR.PR.A
BIRD CONSTRUCTION BDT
BANK OF MONTREAL BMO
BK OF MON PR SER 13 BMO.PR.J
BK OF MON PR SER 14 BMO.PR.K
BK OF MON PR SER 15 BMO.PR.L
BK OF MON PR SER 16 BMO.PR.M
BK OF MON PR SER 18 BMO.PR.N
BK OF MON PR SER 21 BMO.PR.O
BK OF MON PR SER 23 BMO.PR.P
BK OF MON PR SER 25 BMO.PR.Q
BLACK DIAMOND GROUP BDI
BLACKPEARL RES INC J PXX
BLUE RIBBON INCM UN RBN.UN
BMO AGGREGATEBND ETF ZAG
BMO CDN DIVIDEND UN ZDV
BMO COVERD CALLCDNBK ZWB
BMO COVERDUTILITY UN ZWU
BMO DJ INDAV HED ETF ZDJ
BMO DJ INDUSTAVG UN ZWA
BMO EM MKT BOND HED ZEF
BMO EQ WGT US BANKS ZUB
BMO EQL WGT BANK ETF ZEB
BMO EQL WGT REITS UN ZRE
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 4 of 21 March 31, 2013
Organization of Canada
Description Symbol BMO EQL WGT UTIL ETF ZUT
BMO GBL INFRASTR ETF ZGI
BMO HY US CRPHDG ETF ZHY
BMO JUNIOR GOLD ETF ZJG
BMO LONG CRP BND ETF ZLC
BMO MID CRP BOND ETF ZCM
BMO MONTHLY INCM UN ZMI
BMO MSCI EAFE HEGCAD ZDM
BMO MSCI EMRGMKTS UN ZEM
BMO NASDAQ EQHED ETF ZQQ
BMO S&P 500 HEDG-CAD ZUE
BMO S&P/TSX COMPINDX ZCN
BMO SHRT CRP BND ETF ZCS
BMO SHRT FED BND ETF ZFS
BMO SHRT PRV BND ETF ZPS
BMO VOLATLTY CAD UN ZLB
BMTC GROUP CL A SV GBT.A
BOARDWALK REIT UN BEI.UN
BOMBARDIER CL A MV BBD.A
BOMBARDIER CL B SV BBD.B
BOMBARDIER SER 2 PR BBD.PR.B
BOMBARDIER 6.25% PR BBD.PR.C
BOMBARDIER SER 3 PR BBD.PR.D
BONAVISTA ENERGY BNP
BONTERRA ENERGY CORP BNE
BORALEX INC. CL A BLX
BOSTON PIZZA FND UN BPF.UN
BOYD GROUP FND TR UN BYD.UN
BROOKFIELD EQTY PR 1 BRF.PR.A
BROOKFIELD HIYLDSTGY BHY.UN
BROOKFIELD INFRAS UN BIP.UN
BROOKFIELD RENEW UN BEP.UN
BROOKFIELD RESIDENTL BRP
Description Symbol BROOKFIELD RL EST RV BRE
BROOKFLD ASSET A LV BAM.A
BROOKFLD ASSET PR 32 BAM.PF.A
BROOKFLD ASSET PR 34 BAM.PF.B
BROOKFLD ASSET PR 2 BAM.PR.B
BROOKFLD ASSET PR 36 BAM.PF.C
BROOKFLD ASSET PR 4 BAM.PR.C
BROOKFLD ASSET PR 8 BAM.PR.E
BROOKFLD ASSET PR 9 BAM.PR.G
BROOKFLD ASSET PR 12 BAM.PR.J
BROOKFLD ASSET PR 13 BAM.PR.K
BROOKFLD ASSET PR 14 BAM.PR.L
BROOKFLD ASSET PR 17 BAM.PR.M
BROOKFLD ASSET PR 18 BAM.PR.N
BROOKFLD ASSET PR 21 BAM.PR.O
BROOKFLD ASSET PR 22 BAM.PR.P
BROOKFLD ASSET PR 24 BAM.PR.R
BROOKFLD ASSET PR 26 BAM.PR.T
BROOKFLD ASSET PR 28 BAM.PR.X
BROOKFLD ASSET PR 30 BAM.PR.Z
BROOKFLD CDA OFFICE BOX.UN
BROOKFIELD OFFICE BPO
BROOKFLD OFFICE PR H BPO.PR.H
BROOKFLD OFFICE PR J BPO.PR.J
BROOKFLD OFFICE PR K BPO.PR.K
BROOKFLD OFFICE PR L BPO.PR.L
BROOKFLD OFFICE PR N BPO.PR.N
BROOKFLD OFFICE PR P BPO.PR.P
BROOKFLD OFFICE PR R BPO.PR.R
BROOKFLD OFFICE PR T BPO.PR.T
BROOKFLD OFF US PR G BPO.PR.U
BTB REIT UN BTB.UN
BURCON NUTRASC. J BU
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 5 of 21 March 31, 2013
Organization of Canada
Description Symbol CAE INC. CAE
CALFRAC WELL SERV CFW
CALLOWAY REIT TR UN CWT.UN
CAMECO CORPORATION CCO
CAN-60 INCOME EQ NV CSY
CANACCORD FINANCIAL CF
CANACCORD FIN A PR CF.PR.A
CANACCORD FIN C PR CF.PR.C
CANACOL ENERGY J CNE
CANADIAN NATURAL RES CNQ
CANADIAN TIRE CORP CTC
CANADIAN TIRE A NV CTC.A
CANAM GROUP INC. CAM
CANBANC INCM EQTY NV CIC
CANELSON DRILLING CDI
CANEXUS CORP. CUS
CANFOR CORPORATION CFP
CANFOR PULP PRODUCTS CFX
CANGENE CORPORATION CNJ
CANSO CREDIT A UN PBY.UN
CANWEL BUILDING GRP CWX
CANYON SERVICES GRP FRC
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
CAPSTONE INFRAS CORP CSE
CAPSTONE INFR PR A CSE.PR.A
CAPSTONE MINING J CS
CARFINCO FINANCIAL CFN
CASCADES INC. CAS
CATAMARAN CORP. CCT
CCL INDUSTRIES CL A CCL.A
Description Symbol CCL INDUSTRIES CL B CCL.B
CDN APARTMENT TR UN CAR.UN
CDN CONVERT PLUS UN CCI.UN
CDN ENERGY SERV&TECH CEU
CDN IMPERIAL BANK CM
CDN IMP BK SER 26 PR CM.PR.D
CDN IMP BK SER 27 PR CM.PR.E
CDN IMP BK SER 29 PR CM.PR.G
CDN IMP BK SER 33 PR CM.PR.K
CDN IMP BK SER 35 PR CM.PR.L
CDN IMP BK SER 37 PR CM.PR.M
CDN LIFE COSPLT PR12 LFE.PR.B
CDN NAT'L RAILWAY CNR
CDN OIL SANDS LTD. COS
CDN PACIFIC RAILWAY CP
CDN REAL ESTATE UN REF.UN
CDN REIT INCM FND UN RIU.UN
CDN UTILITIES A NV CU
CDN UTILITIES CL B CU.X
CDN UTIL 2ND PR Y CU.PR.C
CDN UTIL 2NDSR AA PR CU.PR.D
CDN UTIL 2ND PR BB CU.PR.E
CDN UTIL 2NDSR CC PR CU.PR.F
CDN WSTRN BANK CWB
CDN WSTRN BK SR 3 PR CWB.PR.A
CELESTICA INC SV CLS
CENOVUS ENERGY INC. CVE
CENTERRA GOLD INC. CG
CENTRAL FUND CL A NV CEF.A
CENTRAL FUND A NV US CEF.U
CENTRAL GOLDTRUST UN GTU.UN
CENTRAL GOLDTR US UN GTU.U
CERES GLOBAL AG CORP CRP
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 6 of 21 March 31, 2013
Organization of Canada
Description Symbol CGI GROUP CL A SV GIB.A
CHARTWELL RETIRE UN CSH.UN
CHEMTRADE LOGISTC UN CHE.UN
CHESSWOOD GROUP LTD. CHW
CHINA GLD INTL RES J CGG
CHORUS AVIATION A VV CHR.A
CHORUS AVIATION B V CHR.B
CHURCHILL CORP. CL A CUQ
CI FINANCIAL CORP. CIX
CINEPLEX INC. CGX
CITADEL INCM FUND UN CTF.UN
CLEARWATER SEAFOODS CLR
CML HEALTHCARE INC. CLC
COASTAL CONTACTS INC COA
COASTAL ENERGY CO J CEN
COEUR D'ALENE MINES CDM
COGECO CABLE INC SV CCA
COLABOR GROUP INC. GCL
COM DEV INT'L LTD. CDV
COMINAR REAL EST UN CUF.UN
COMPUTER MODELLING J CMG
CONSTELLATION SOFTWR CSU
CONTINENTAL GOLD J CNL
CONTRANS GROUP SV CSS
COPPER MOUNTAIN J CUM
CORUS ENTRTMNT B CJR.B
COTT CORPORATION BCB
COXE COMMODITY A UN COX.UN
CRESCENT POINT CORP. CPG
CREW ENERGY INC. CR
CROCOTTA ENERGY INC. CTA
CROMBIE REAL EST UN CRR.UN
CYMBRIA CORP CL A NV CYB
Description Symbol DAVIS + HENDERSON DH
DEETHREE EXPL LTD. J DTX
DESCARTES SYSTEMS DSG
DETOUR GOLD CORP J DGC
DHX MEDIA LTD. DHX
DIRECTCASH PAYMENTS DCI
DIV GROWTH SPLT CL A DGS
DIV GROWTH SPLIT PR DGS.PR.A
DIVIDEND 15 SPLT A DFN
DIVIDEND 15 SPLT PR DFN.PR.A
DIVIDEND SELECT 15EQ DS
DOLLARAMA INC. DOL
DOMINION DIAMOND DDC
DOMTAR CORPORATION UFS
DOREL IND INC A MV DII.A
DOREL IND INC B SV DII.B
DPF INDIA OPPORT UN DPF.UN
DUNDEE CORP. CL A SV DC.A
DUNDEE CORP 5% PR 1 DC.PR.A
DUNDEE CORP. PR 2 DC.PR.B
DUNDEE INDUSTRIAL UN DIR.UN
DUNDEE INTL REIT UN DI.UN
DUNDEE PRECIOUS MTL DPM
DUNDEE REIT TR UN D.UN
EAGLE ENERGY TR UN J EGL.UN
EAST COAST INVGRD UN ECF.UN
EASYHOME LTD. EH
ECOSYNTHETIX INC. J ECO
ELDORADO GOLD CORP. ELD
ELEMENT FIN CORP. J EFN
EMERA INCORPORATED EMA
EMERA INC. SER A PR EMA.PR.A
EMERA INC. SER C PR EMA.PR.C
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 7 of 21 March 31, 2013
Organization of Canada
Description Symbol EMPIRE CO CL A NV EMP.A
ENBRIDGE INC. ENB
ENBRIDGE 5.50% PR ENB.PR.A
ENBRIDGE INC SR B PR ENB.PR.B
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 INC SR N PR ENB.PR.N
ENBRIDGE INC SR P PR ENB.PR.P
ENBRIDGE INC SR R PR ENB.PR.T
ENBRIDGE SER L US PR ENB.PF.U
ENBRIDGE SR J US PR ENB.PR.U
ENBRIDGE SER 1 US PR ENB.PR.V
ENBRIDGE INCM HLDGS ENF
ENCANA CORPORATION ECA
ENDEAVOUR SILVER J EDR
ENERCARE INC. ECI
ENERFLEX LTD. EFX
ENERPLUS CORPORATION ERF
ENERVEST DIVERS UN EIT.UN
ENGHOUSE SYSTEMS LTD ESL
ENSIGN ENGY SERVICES ESI
EPSILON ENERGY LTD J EPS
EQTY FINANCL HLDGS J EQI
EQUAL ENERGY LTD. EQU
EQUITABLE GROUP INC. ETC
EQUITABLE GRP PR 1 ETC.PR.A
ESSENTIAL ENERGY LTD ESN
EVERTZ TECHNOLOGIES ET
EXCHANGE INCOME CORP EIF
EXCO TECHNOLOGIES XTC
EXFO INC. SV EXF
EXTENDICARE INC. EXE
Description Symbol FAIRFAX FINANCIAL SV FFH
FAIRFAX FIN SV USF FFH.U
FAIRFAX FIN SER C PR FFH.PR.C
FAIRFAX FIN SER E PR FFH.PR.E
FAIRFAX FIN SER G PR FFH.PR.G
FAIRFAX FIN SER I PR FFH.PR.I
FAIRFAX FIN SER K PR FFH.PR.K
FIERA CAPITAL A SV FSZ
FINANCIAL 15 SPLT A FTN
FINANCIAL 15 SPLT PR FTN.PR.A
FINNING INT'L INC. FTT
FIRM CAP MTG INVEST FC
FIRST CAPITAL REALTY FCR
FIRST MAJESTIC J FR
FIRST NAT'L FIN CORP FN
1ST NATL FIN SR 1 PR FN.PR.A
FIRST QUANTUM MNRL J FM
FIRSTSERVICE CORP SV FSV
FIRSTSERVICE USF PR FSV.PR.U
FORTIS INC. FTS
FORTIS INC. SUBS REC FTS.R
FORTIS INC. 1ST PR C FTS.PR.C
FORTIS INC. 1ST PR E FTS.PR.E
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 J FTS.PR.J
FORTUNA SILVER MINES FVI
FRANCO-NEVADA CORP. FNV
FREEHOLD ROYALTIES FRU
FRONT ST US MLP EQ C MLP
GABRIEL RESOURCES J GBU
GAMEHOST INC. GH
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 8 of 21 March 31, 2013
Organization of Canada
Description Symbol GENERAL DONLEE CDA GDI
GENERAL MOTORS CO US GMM.U
GENESIS LAND DEV GDC
GENIVAR INC. GNV
GENWORTH MI CANADA MIC
GIBSON ENERGY INC GEI
GILDAN ACTIVEWEAR GIL
GLENTEL INC. GLN
GLUSKIN SHEFF SV GS
GMP CAPITAL INC. GMP
GMP CAPITAL SER B PR GMP.PR.B
GOLDCORP INC. G
GOODMAN GOLD TR UN CMP.UN
GRAN TIERRA ENERGY J GTE
GRANITE RL EST TR UN GRT.UN
GREAT CDN GAMING GC
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 J GWO.PR.J
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 P GWO.PR.P
GT-WEST LIFECO PR Q GWO.PR.Q
GT-WEST LIFECO PR R GWO.PR.R
GUARDIAN CAPITAL GCG
GUARDIAN CAP CL A NV GCG.A
GUYANA GOLDFIELDS J GUY
H&R RL EST STAPLE UN HR.UN
HAMMOND POWER A SV HPS.A
Description Symbol HARDWOODS DIST INC. HWD
HEALTHLEASE REIT UN HLP.UN
HEROUX-DEVTEK INC. HRX
HIGH ARCTIC ENGY INC HWO
HIGH LINER FOODS INC HLF
HNZ GROUP INC. HNZ.A
HNZ GROUP INC. VV HNZ.B
HOME CAPITAL GROUP HCG
HORIZON BETA60BEAR A HXD
HORIZON BETA60BULL A HXU
HORIZON BETAGLD BULL HGU
HORIZON COMEXSLVR BL HZU
HORIZON CRDEOIL BLUN HOU
HORIZON CRDEOIL BRUN HOD
HORIZON INCM EQ E UN HEX
HORIZON ENHNCEQTY AD HEX.A
HORIZON NTH LOGSTC J HNL
HORIZON S&P/TSX60 A HXT
HORIZON S&P/TSX60 US HXT.U
HORIZON SEASONL E UN HAC
HORIZONS SEASONL ADV HAC.A
HORIZON CORPBND E UN HAB
HORIZONS CORPBND ADV HAB.A
HORIZON FLTGRTBND UN HFR
HORIZONS FLTGBND ADV HFR.A
HORIZONS INCM ENGY E HEE
HORIZONS INCMEGY ADV HEE.A
HORIZON PREF CL E UN HPR
HORIZONS PREF ADV UN HPR.A
HSBC BANK CL 1 PR E HSB.PR.E
HUDBAY MINERALS INC. HBM
HUSKY ENERGY INC. HSE
HUSKY ENERGY SR 1 PR HSE.PR.A
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 9 of 21 March 31, 2013
Organization of Canada
Description Symbol IAMGOLD CORPORATION IMG
IGM FINANCIAL INC. IGM
IGM FINANCIAL B PR IGM.PR.B
IMAX CORPORATION IMX
IMPERIAL METALS CORP III
IMPERIAL OIL LTD. IMO
IMRIS INC. J IM
INDEXPLUS INCOME UN IDX.UN
INDSTRL ALLIANCE INS IAG
INDSTRL ALLIANCEPR B IAG.PR.A
INDSTRL ALLIANCEPR C IAG.PR.C
INDSTRL ALLIANCEPR E IAG.PR.E
INDSTRL ALLIANCEPR F IAG.PR.F
INDSTRL ALLIANCEPR G IAG.PR.G
ING FLTG RT SNR A UN ISL.UN
ING FLTG RTSNR US UN ISL.U
INMET MINING CORP. IMN
INNERGEX RENEW ENGY INE
INNERGEX RENEW PR A INE.PR.A
INNERGEX RENEW PR C INE.PR.C
INNVEST REIT UNITS INN.UN
INTACT FIN CORP. IFC
INTACT FIN A SER 1 IFC.PR.A
INTACT FIN A SER 3 IFC.PR.C
INTER PIPELINE UN IPL.UN
INTERRENT REIT UN J IIP.UN
INTERTAPE POLYMER ITP
INT'L FOREST CL A SV IFP.A
INT'L MINERALS J IMZ
IPATH S&P500 VIX ST VXX
IPATH S&P500VIXST US VXX.U
ISHR CDNDIVARISTO UN CDZ
ISHARE CDNDIVARISTAD CDZ.A
Description Symbol ISHARES CDNFNDMNTLUN CRQ
ISHARE CDNFNDMNTL AD CRQ.A
ISHARE DEX HYBRD BND XHB
ISHARE DIVERS MOINCM XTR
ISHARE INTLFNDMNT UN CIE
ISHARE INTLFNDMNT AD CIE.A
ISHARE MSCI EAFE UN XIN
ISHARE MSCI EMERG UN XEM
ISHARE MSCI WORLD UN XWD
ISHARE NA PREF STKUN XPF
ISHARE S&P500 CAD-HG XSP
ISHARE SHDURATION UN CSD
ISHARE US DIVGROW UN CUD
ISHARE US DIVGRO ADV CUD.A
ISHARE US HIYLD BND XHY
ISHARES 1-5YRCORP UN CBO
ISHARES 1-5YRCORP AD CBO.A
ISHARES 1-5YRGOVT UN CLF
ISHARES 1-5YRGVT ADV CLF.A
ISHARES BRIC INDX UN CBQ
ISHARES BRIC ADV UN CBQ.A
ISHARES CDNBOND UN CAB
ISHARES CDNBOND ADV CAB.A
ISHARES CDNFINMO UN FIE
ISHARES CDNFINMO ADV FIE.A
ISHARES CDNPREF UN CPD
ISHARES CDNPREF ADV CPD.A
ISHARES DEX ST BOND XSB
ISHARES DEX UNIVERSE XBB
ISHARES EQTY INCM UN XEI
ISHARES GLBLAGRI UN COW
ISHARES GLBLAGRI ADV COW.A
ISHARES GOLD TRUST IGT
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 10 of 21 March 31, 2013
Organization of Canada
Description Symbol ISHARES MONTHDIV UN CYH
ISHARES MONTHDIV ADV CYH.A
ISHARES RUSSELL 2000 XSU
ISHARES SHDUR ADV A CSD.A
ISHARES SHDUR US$ UN CSD.U
ISHARES SHDUR US$ADV CSD.V
ISHARES US DIV EQ UN XHD
ISHARES US FNDMTL UN CLU
ISHARES US FNDMTL AD CLU.A
ISHARES US FNDMNTL B CLU.B
ISHARES US FNDMNTL C CLU.C
ISHARES USHIGHYLD UN CHB
ISHARES US HIYLD ADV CHB.A
ISHR DEX FLTGRTNTIDX XFR
ISHRS DEX CORP BOND XCB
ISHRS DEX GOV'T BOND XGB
ISHRS DEX LT BOND UN XLB
ISHRS DEX RL RET BND XRB
ISHRS S&P/TSX SMLCAP XCS
JEAN COUTU GROUP SV PJC.A
JFT STRATEGIES A UN JFS.UN
JOVIAN CAPITAL J JOV
JUST ENERGY GROUP JE
KARNALYTE RES J KRN
KEYERA CORP. KEY
KEYREIT UN KRE.UN
KILLAM PROPERTIES J KMP
KINROSS GOLD CORP. K
KIRKLAND LAKE GLD J KGI
LABRADOR IRON ORE LIF
LAURENTIAN BK OF CAN LB
LAURENTIAN BK PR 10 LB.PR.E
LAURENTIAN BK PR 11 LB.PR.F
Description Symbol LEGACY OIL + GAS INC LEG
LEGUMEX WALKER INC. LWP
LEISUREWORLD SR CARE LW
LEON'S FURNITURE LTD LNF
LIFE & BANC SPLIT A LBS
LIFE & BANC SPLIT PR LBS.PR.A
LINAMAR CORPORATION LNR
LIQUOR STORES NA LTD LIQ
LOBLAW COMPANIES LTD L
LOBLAW CO. SER A PR L.PR.A
LONG RUN EXPL LTD. J LRE
LONGVIEW OIL CORP. LNV
LULULEMON ATHLETICA LLL
LUNDIN MINING CORP LUN
LYDIAN INT'L ORD J LYD
MACDONALD DETTWILER MDA
MAG SILVER CORP. J MAG
MAGNA INT'L INC. MG
MAJOR DRILLING GROUP MDI
MAN GLG EMERG MKT UN EMY.UN
MANITOBA TELECOM MBT
MANULFE STGYOPPOR UN MSO.UN
MANULIFE FINANCIAL MFC
MANULIFE FIN A PR 1 MFC.PR.A
MANULIFE FIN SR 2 PR MFC.PR.B
MANULIFE FIN A PR 3 MFC.PR.C
MANULIFE FIN SR 4 PR MFC.PR.D
MANULIFE FIN SR 1 PR MFC.PR.E
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
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 11 of 21 March 31, 2013
Organization of Canada
Description Symbol MAPLE LEAF FOODS INC MFI
MARRET HIGH YIELD UN MHY.UN
MARRET INVEST BND UN MIG.UN
MARRET MULTI-STGY UN MMF.UN
MARRET RESOURCE J MAR
MARTINREA INT'L INC. MRE
MAXIM POWER CORP. MXG
MBAC FERTILIZER J MBC
MCAN MORTGAGE CORP. MKP
MCCOY CORPORATION MCB
MDC PARTNERS CL A SV MDZ.A
MEDICAL FACILITIES DR
MEG ENERGY CORP. MEG
MEGA BRANDS INC. MB
MELCOR DEVELOPMENTS MRD
MERCER INT'L INC. US MRI.U
METHANEX CORPORATION MX
METRO INC. MRU
MINT INCME FND TR UN MID.UN
MONEDA LATAMFXD A UN MLF.UN
MORGUARD NA REIT UN MRG.UN
MORGUARD REAL EST UN MRT.UN
MORNEAU SHEPELL INC. MSI
MOUNTAIN PROVINCE J MPV
MTY FOOD GROUP INC. MTY
MULLEN GROUP LTD. MTL
N.A. ENERGY PARTNERS NOA
NAT'L BANK OF CANADA NA
NAT'L BANK SER 16 PR NA.PR.L
NAT'L BANK SER 20 PR NA.PR.M
NAT'L BANK SER 21 PR NA.PR.N
NAT'L BANK SER 24 PR NA.PR.O
NAT'L BANK SER 26 PR NA.PR.P
Description Symbol NAT'L BANK SER 28 PR NA.PR.Q
NEVADA COPPER CORP J NCU
NEVSUN RESOURCES J NSU
NEW FLYER INDUSTRIES NFI
NEW GOLD INC. NGD
NEWALTA CORPORATION NAL
NGEX RESOURCES INC J NGQ
NIKO RESOURCES NKO
NORANDA INCM PRIORUN NIF.UN
NORBORD INC. NBD
NORDION INC. NDN
NORTH WEST COMPANY NWC
NORTHLAND POWER INC. NPI
NORTHLAND PWR SR1 PR NPI.PR.A
NORTHLAND PWR SR3 PR NPI.PR.C
NOVAGOLD RESOURCES J NG
NTHN PPTY STAPLE UN NPR.UN
NTHRN DYNASTY MIN J NDM
NUVISTA ENERGY LTD. NVA
NW HEALTHCARE UN NWH.UN
OCEANAGOLD CORP. OGC
OCP CREDIT STGY UN OCS.UN
OCP SENIOR CREDIT UN OSL.UN
ONCOLYTICS BIOTECH ONC
ONEX CORPORATION SV OCX
OPEN TEXT CORP OTC
OSISKO MINING CORP J OSK
PACIFIC RUBIALES J PRE
PALADIN LABS INC. PLB
PAN AMERICAN SILVER PAA
PARALLEL ENERGY UN PLT.UN
PARAMOUNT GOLD&SIL J PZG
PARAMOUNT RES CL A POU
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 12 of 21 March 31, 2013
Organization of Canada
Description Symbol PAREX RESOURCES J PXT
PARKLAND FUEL CORP. PKI
PARTNERS REIT UN PAR.UN
PASON SYSTEMS INC. PSI
PATHEON INC. RV PTI
PEMBINA PIPELINE PPL
PENGROWTH ENERGY PGF
PENN WEST PETROLEUM PWT
PETROBAKKEN ENERGY PBN
PETROMINERALES LTD. PMG
PEYTO EXPL & DEV PEY
PHX ENERGY SERVICES PHX
PIZZA PIZZA ROYALTY PZA
POTASH CORP OF SASK POT
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
POWER FINANCIAL CORP PWF
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 6% PR M PWF.PR.M
POWER FIN 5.80% PR O PWF.PR.O
Description Symbol POWER FIN 4.40% PR P PWF.PR.P
POWER FIN 5.50% PR R PWF.PR.R
POWER FIN 4.80% PR S PWF.PR.S
POWERSHR TACTBOND UN PTB
PRECIOUS MTL&MINE UN MMP.UN
PRECISION DRILL CORP PD
PREFERRED INVEST UN PSF.UN
PREMIER GOLD MINES J PG
PREMIUM BRANDS HLDGS PBH
PRETIUM RESOURCES J PVG
PRIMARIS RETAIL UN PMZ.UN
PRIMARY ENGY RECYCLE PRI
PRIMERO MINING CORP. P
PROGRESSIVE WASTE BIN
PULSE SEISMIC INC. PSD
PURE INDUSTRIAL UN AAR.UN
PURE TECH LTD. J PUR
PWRSHARES CORPBND UN PSB
PWRSHARES ULDLUX GVT PGL
PWRSHR HY CORPBND UN PFH
QLT INC. QLT
QUEBECOR INC CL A MV QBR.A
QUEBECOR INC CL B SV QBR.B
RAINY RIVER RES J RR
REDKNEE SOLUTIONS J RKN
REIT INDEXPLUS TR UN IDR.UN
REITMAN'S CANADA RET
REITMAN'S CDA A NV RET.A
RESEARCH IN MOTION BB
RESOLUTE FOREST PROD RFP
RESVERLOGIX CORP. J RVX
RETROCOM REIT UN RMM.UN
REVETT MINERALS J RVM
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 13 of 21 March 31, 2013
Organization of Canada
Description Symbol RICHARDS PCKNG UN RPI.UN
RICHELIEU HARDWARE RCH
RICHMONT MINES RIC
RIO ALTO MINING J RIO
RIOCAN RL EST TR UN REI.UN
RIOCAN REIT SER A PR REI.PR.A
RIOCAN REIT SER C PR REI.PR.C
RITCHIE BROS AUCTION RBA
RMP ENERGY INC. J RMP
ROCKY MTN DEALERSHIP RME
ROGERS COMM CL A RCI.A
ROGERS COMM CL B NV RCI.B
ROGERS SUGAR INC. RSI
RONA INC. RON
RONA INC. 5.25% PR RON.PR.A
ROYAL BANK OF CANADA RY
ROYAL BANK PR SER AA RY.PR.A
ROYAL BANK PR SER AB RY.PR.B
ROYAL BANK PR SER AC RY.PR.C
ROYAL BANK PR SER AD RY.PR.D
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 AH RY.PR.H
ROYAL BANK PR SER AJ RY.PR.I
ROYAL BANK PR SER AL RY.PR.L
ROYAL BANK PR SER AN RY.PR.N
ROYAL BANK PR SER AP RY.PR.P
ROYAL BANK PR SER AR RY.PR.R
ROYAL BANK PR SER AT RY.PR.T
ROYAL BANK PR SER W RY.PR.W
ROYAL BANK PR SER AV RY.PR.X
ROYAL BANK PR SER AX RY.PR.Y
Description Symbol ROYAL GOLD, INC. RGL
RUBICON MINERALS J RMX
RUSSEL METALS INC. RUS
RY CANADIAN MINT ETR MNT
RY CANADIAN MINT USF MNT.U
SANDVINE CORP J SVC
SAPUTO INC. SAP
SAVANNA ENERGY CORP. SVY
SCITI TRUST TRANS UN SIN.UN
SEABRIDGE GOLD INC J SEA
SEARS CANADA INC SCC
SECURE ENERGY SERV J SES
SEMAFO INC. J SMF
SENTRY PRIME METAL A PME
SHAW COMM CL B NV SJR.B
SHAW COMM CL 2 PR A SJR.PR.A
SHAWCOR LTD. SCL
SHERRITT INT'L CORP S
SHOPPERS DRUG MART SC
SIERRA WIRELESS SW
SILVER STANDARD RES SSO
SILVER WHEATON CORP. SLW
SILVERCORP METALS J SVM
SIRIUS XM CDA A SV J XSR
SNC - LAVALIN GROUP SNC
SOFTCHOICE CORP SO
SOLIUM CAPITAL INC J SUM
SOUTHGOBI RES LTD J SGQ
SPROTT INC. SII
SPROTT PHY GLD UN US PHY.U
SPROTT PHY SILVER US PHS.U
SPROTT RESOURCE CORP SCP
SPROTT STGY FIXED UN SFI.UN
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 14 of 21 March 31, 2013
Organization of Canada
Description Symbol SPYGLASS RESOURCES CORP. SGL
STANTEC INC. STN
STELLA-JONES INC. SJ
STILLWATER MINING US SWC.U
STRAD ENERGY SERV J SDY
STUDENT TRANSPORT STB
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 SR6R PR SLF.PR.F
SUN LIFE FIN SR8R PR SLF.PR.G
SUN LIFE FIN 10R PR SLF.PR.H
SUN LIFE FIN 12R PR SLF.PR.I
SUNCOR ENERGY INC. SU
SUNOPTA, INC. SOY
SUPERIOR PLUS CORP. SPB
SURGE ENERGY INC. J SGY
SYMPHONY FLTGLOAN UN SSF.UN
T.D. BANK TD
T.D. BANK SER AA PR TD.PR.A
T.D. BANK SER AC PR TD.PR.C
T.D. BANK SER AE PR TD.PR.E
T.D. BANK SER AG PR TD.PR.G
T.D. BANK SER AI PR TD.PR.I
T.D. BANK SER AK PR TD.PR.K
T.D. BANK SER O PR TD.PR.O
T.D. BANK SER P PR TD.PR.P
T.D. BANK SER Q PR TD.PR.Q
T.D. BANK SER R PR TD.PR.R
T.D. BANK SER S PR TD.PR.S
Description Symbol T.D. BANK SER Y PR TD.PR.Y
TAG OIL LTD. J TAO
TAHOE RESOURCES J THO
TALISMAN ENERGY INC. TLM
TALISMAN ENERGY PR A TLM.PR.A
TASEKO MINES LTD. TKO
TECH LEADERS INCM UN TLF.UN
TECK RES CL A MV TCK.A
TECK RES CL B SV TCK.B
TEKMIRA PHARM CORP. TKM
TELUS CORPORATION T
TEMBEC INC. TMB
TEMPLE HOTELS INC. TPH
THOMPSON CREEK METAL TCM
THOMSON REUTERS CORP TRI
THOMSON REUTER PR II TRI.PR.B
TIM HORTONS INC. THI
TIMBERCREEK MORTGE A TMC
TIMBERCREEK SR MTG A MTG
TIMMINS GOLD CORP. J TMM
TMX GROUP LIMITED X
TOROMONT INDUSTRIES TIH
TORSTAR CL B NV TS.B
TOTAL ENGY SERV INC. TOT
TOURMALINE OIL CORP. TOU
TRANSALTA CORP. TA
TRANSALTA SER A PR TA.PR.D
TRANSALTA SER C PR TA.PR.F
TRANSALTA SER E PR TA.PR.H
TRANSAT A.T. CL A TRZ.A
TRANSAT A.T. CL B TRZ.B
TRANSCAN CORPORATION TRP
TRANSCAN CORP PR 1 TRP.PR.A
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 15 of 21 March 31, 2013
Organization of Canada
Description Symbol TRANSCAN CORP PR 3 TRP.PR.B
TRANSCAN CORP PR 5 TRP.PR.C
TRANSCAN CORP PR 7 TRP.PR.D
TRANSCONTINENTL A SV TCL.A
TRANSCONTINENTL B MV TCL.B
TRANSCONTINENTL D PR TCL.PR.D
TRANSFORCE INC. TFI
TRANSGLOBE ENERGY J TGL
TREZ CAP MTG INVST A TZZ
TRICAN WELL SERVICE TCW
TRICON CAPITAL GROUP TCN
TRILOGY ENERGY CORP. TET
TRIMAC TRANSPORT A TMA
TRINIDAD DRILLING TDG
TURQUOISE HILL RES TRQ
TWIN BUTTE ENERGY J TBE
UNI-SELECT INC. UNS
URANIUM ONE INC. J UUU
URANIUM PARTICIPATE U
VALEANT PHARM INT'L VRX
VALENER INC. VNR
VALENER INC. SR A PR VNR.PR.A
VANGUARD EAFE IDXC-H VEF
VANGUARD FTSE CDAIDX VCE
VANGUARD FTSEEMRGMKT VEE
VANGUARD US BDMKTC-H VUS
VERESEN INC. VSN
VERESEN INC SER A PR VSN.PR.A
VERMILION ENERGY INC VET
VICWEST INC. VIC
VIRGINIA MINES INC J VGQ
VITRAN CORPORATION VTN
WAJAX CORPORATION WJX
Description Symbol WALTER ENERGY, INC WLT
WEST FRASER TIMBER WFT
WESTERN ENERGY SERV WRG
WESTERNONE INC. WEQ
WESTJET AIRLINES LTD WJA
WESTJET AIRLINE VARY WJA.A
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
WESTPORT INNOVATIONS WPT
WESTSHORE TERMINALS WTE
WHISTLER BLACKCOMB WB
WHITECAP RESOURCES J WCP
WI-LAN INC. WIN
WINPAK LIMITED WPK
YAMANA GOLD INC. YRI
YIELDPLUS INCOME UN YP.UN
YLD ADVAN CONV DB UN OCV.UN
ZARGON OIL & GAS LTD ZAR
ZCL COMPOSITES INC ZCL
ONLY ON LSERM BECAUSE OCC OPTIONS
TRADE AGAINST SECURITY
ATLANTIC POWER ATP
AVALON RARE METALS J AVL
BALLARD POWER SYS BLD
BANRO CORPORATION J BAA
BROOKFLD PPTY LP UN BPY.UN
CARDIOME PHARMA CORP COM
DENISON MINES CORP DML
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 16 of 21 March 31, 2013
Organization of Canada
Description Symbol DRAGONWAVE INC. DWI
ENTREE GOLD INC. J ETG
EXETER RESOURCE J XRC
GOLDEN MINERALS J AUM
GOLDEN STAR RESOURCE GSC
GT PANTHER SILVER J GPR
INT'L TOWER HILL J ITH
IVANHOE ENERGY INC IE
JAGUAR MINING INC. J JAG
LONE PINE RES INC. LPR
MCEWEN MINING INC. J MUX
N.A. PALLADIUM LTD. PDL
NEPTUNE TECH & BIO J NTB
OTELCO INC. IDS UN OTT.UN
RARE ELEMENT RES J RES
SANDSTORM GOLD LTD. SSL
SMART TECH INC A SV SMA
SWISHER HYGIENE INC. SWI
TANZANIAN ROYALTY J TNX
TRANSATLANTIC PETE J TNP
URANERZ ENERGY J URZ
VISTA GOLD CORP VGZ
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 March 31, 2013
Organization of Canada
Description Symbol
ADDITIONS
TORONTO STOCK EXCHANGE (TSX)
1ST ASSTCDNDIVOP2 UN DVF.UN
AINSWORTH LUMBER CO ANS
AIR CANADA CL A VV AC.A
AIR CANADA CL B AC.B
ARGENT ENERGY UN J AET.UN
ARTIS REIT SER E PR AX.PR.E
ASANKO GOLD INC. J AKG
ATRIUM MTG INVEST AI
AUSTRALIA BNCINCM UN AUI.UN
AUTOMODULAR CORP AM
BMO DJ INDUSTAVG UN ZWA
BMO EQ WGT US BANKS ZUB
BMO GBL INFRASTR ETF ZGI
BMO MONTHLY INCM UN ZMI
BMO MSCI EAFE HEGCAD ZDM
BMO MSCI EMRGMKTS UN ZEM
BMO VOLATLTY CAD UN ZLB
BROOKFIELD EQTY PR 1 BRF.PR.A
BROOKFIELD HIYLDSTGY BHY.UN
BROOKFLD PPTY LP UN BPY.UN
CANGENE CORPORATION CNJ
CAPITAL PWR SER 5 PR CPX.PR.E
CDN LIFE COSPLT PR12 LFE.PR.B
CDN REIT INCM FND UN RIU.UN
CDN UTIL 2NDSR CC PR CU.PR.F
CHESSWOOD GROUP LTD. CHW
DHX MEDIA LTD. DHX
DOMINION DIAMOND DDC
Description Symbol
ADDITIONS
DUNDEE INDUSTRIAL UN DIR.UN
EAST COAST INVGRD UN ECF.UN
EASYHOME LTD. EH
ENBRIDGE SER 1 US PR ENB.PR.V
EQTY FINANCL HLDGS J EQI
EQUITABLE GROUP INC. ETC
EQUITABLE GRP PR 1 ETC.PR.A
FINANCIAL 15 SPLT A FTN
FINANCIAL 15 SPLT PR FTN.PR.A
FIRST NAT'L FIN CORP FN
1ST NATL FIN SR 1 PR FN.PR.A
FRONT ST US MLP EQ C MLP
GAMEHOST INC. GH
GENERAL DONLEE CDA GDI
HAMMOND POWER A SV HPS.A
HARDWOODS DIST INC. HWD
HEROUX-DEVTEK INC. HRX
HORIZON CRDEOIL BRUN HOD
HORIZON SEASONL E UN HAC
HORIZONS SEASONL ADV HAC.A
INDEXPLUS INCOME UN IDX.UN
ISHARE MSCI WORLD UN XWD
ISHARES EQTY INCM UN XEI
ISHARES US DIV EQ UN XHD
ISHARES US FNDMTL UN CLU
ISHARES US FNDMTL AD CLU.A
ISHARES US FNDMNTL B CLU.B
ISHARES US FNDMNTL C CLU.C
ISHR DEX FLTGRTNTIDX XFR
JOVIAN CAPITAL J JOV
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 March 31, 2013
Organization of Canada
Description Symbol
ADDITIONS
MAXIM POWER CORP. MXG
MCAN MORTGAGE CORP. MKP
MELCOR DEVELOPMENTS MRD
MINT INCME FND TR UN MID.UN
MONEDA LATAMFXD A UN MLF.UN
MTY FOOD GROUP INC. MTY
NIKO RESOURCES NKO
POWER FIN 4.80% PR S PWF.PR.S
POWERSHR TACTBOND UN PTB
PURE INDUSTRIAL UN AAR.UN
PWRSHARES CORPBND UN PSB
REDKNEE SOLUTIONS J RKN
RESVERLOGIX CORP. J RVX
RICHARDS PCKNG UN RPI.UN
SANDVINE CORP J SVC
SHAWCOR LTD. SCL
SPYGLASS RESOURCES CORP. SGL
TEKMIRA PHARM CORP. TKM
TEMPLE HOTELS INC. TPH
TRANSCAN CORP PR 7 TRP.PR.D
TRIMAC TRANSPORT A TMA
VANGUARD EAFE IDXC-H VEF
VANGUARD FTSEEMRGMKT VEE
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 March 31, 2013
Organization of Canada
Description Symbol
DELETIONS
TORONTO STOCK EXCHANGE (TSX)
AIRBOSS OF AMERICA J BOS
ASTON HILL ADVVIP UN AV.UN
AVENEX ENERGY CORP. AVF
BK OF MON PR SER 5 BMO.PR.H
BMO LNG FEDERAL BOND ZFL
BRICK LTD. (THE) BRK
BROOKFLD OFFICE PR F BPO.PR.F
CATHEDRAL ENGY SERV CET
CELTIC EXPL LTD. CLT
CERVUS EQUIPMENT CVL
CGA MINING LIMITED J CGA
COLOSSUS MINERALS J CSI
CORBY DISTILLERIES CDL.A
CORBY DISTILL B NV CDL.B
DULUTH METALS LTD. J DM
DULUTH METALS USF J DM.U
ENDEAVOUR MINING ORD EDV
FORACO INT'L SA FAR
FORTRESS PAPER LTD A FTP
FRONT ST STGY YLD NV FSS
GOLDEN QUEEN MNG J GQM
HARRY WIN DIAMOND HW
HORIZONS GOLD PROD E HEP
HORIZON ENHNCGLD ADV HEP.A
HORIZON GLD BULL+ UN HBU
HORIZONS GLDYLD E UN HGY
HORIZONS GLD YLD ADV HGY.A
IBI GROUP INC. IBG
Description Symbol
DELETIONS
ISHARE GLDBULHDGD UN CGL
ISHARE GLDBUL NN-HDG CGL.C
ISHR SIL BUL HDGD UN SVR
ISHR SIL BUL NN-HDGD SVR.C
KEEGAN RESOURCES J KGN
LAURENTIAN BK PR 9 LB.PR.D
MAINSTREET EQUITY J MEQ
MCEWEN-MINERA EXCH J MAQ
MIDAS GOLD CORP. J MAX
NAT'L BANK SER 15 PR NA.PR.K
NEXEN INC. NXY
NEXEN INC. SR 2 PR NXY.PR.A
NEXEN 7.35% NOTE US NXY.PR.U
ORBITE ALUMINAE A J ORT
PACE OIL AND GAS LTD PCE
PERSEUS MINING ORD J PRU
PETROBANK ENGY & RES PBG
PILOT GOLD INC. J PLG
PREMIUM INCOME CL A PIC.A
PREMIUM INCOME PR PIC.PR.A
PWRSHRS FTSE RAFI US PXU
SABINA GLD & SLVR J SBB
SECOND CUP LTD. THE SCU
SHAWCOR LTD. CL A SV SCL.A
SHAWCOR LTD. CL B MV SCL.B
SPARTAN OIL CORP. J STO
TALISON LITHIUM ORD TLH
TELUS CORPORATION NV T.A
TERANGA GOLD CORP. J TGZ
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 March 31, 2013
Organization of Canada
Description Symbol
DELETIONS
TIMBERCREEK GLOBE UN TGF.UN
TOREX GOLD RES J TXG
VERDE POTASH PLC J NPK
WATERFURNACE ENGY J WFI
WATERFURNACE USF J WFI.U
YM BIOSCIENCES J YM
TSX VENTURE EXCHANGE
RENEGADE PETROLEUM LTD RPL
List of Securities Eligible for Reduced Margin Attachment #1
Compiled by the Investment Industry Regulatory Page 21 of 21 March 31, 2013
Organization of Canada
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.