![List of Securities Eligible for Reduced Margin [Effective from March 25, 2020 Until Replaced by a Subsequent List]](http://data.docslib.org/img/abc247398f69b397c1fe65b53fabcc67-1.webp)
Attachment #1
List of Securities Eligible for Reduced Margin [effective from March 25, 2020 until replaced by a subsequent list]
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 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 ALITHYA GROUP J A SV ALYA AIR CANADA VOTE & VV AC ALLIED PROP. REIT UN AP.UN AURORA CANNABIS J ACB APHRIA INC. J APHA ALTAGAS CANADA INC. ACI AUTOMOTIVE PPTY UN APR.UN ATCO LTD. CL I NV ACO.X ALGONQUIN PWR & UTIL AQN ATCO LTD. CL II ACO.Y ALGONQUIN PWR A PR AQN.PR.A AUTOCANADA INC. ACQ ALGONQUIN PWR D PR AQN.PR.D ALARIS ROYALTY CORP. AD AECON GROUP INC. ARE ANDREW PELLER A NV ADW.A ARC RESOURCES LTD. ARX ANDREW PELLER LTD. B ADW.B ALACER GOLD CORP. J ASR AGNICO EAGLE MINES AEM ATS AUTOMATION TOOL ATA AG GROWTH INT'L INC. AFN ALIMENTATION CL A MV ATD.A AGF MANAGEMENT B NV AGF.B ALIMENTATION CL B SV ATD.B ALAMOS GOLD INC. J AGI ATLANTIC POWER ATP ATRIUM MTG INVEST AI ARITZIA INC. SV ATZ ALTUS GROUP LIMITED AIF A&W REVENUE RYLTY UN AW.UN 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 I PR AX.PR.I AKUMIN INC. J AKU ALEXCO RESOURCE J AXU AKUMIN INC. J USF AKU.U BADGER DAYLIGHTING BAD ALTAGAS LTD. ALA BROOKFLD ASSET A LV BAM.A ALTAGAS LTD SR A PR ALA.PR.A BROOKFLD ASSET PR 32 BAM.PF.A ALTAGAS LTD SR B PR ALA.PR.B BROOKFLD ASSET PR 34 BAM.PF.B ALTAGAS LTD SR E PR ALA.PR.E BROOKFLD ASSET PR 36 BAM.PF.C ALTAGAS LTD SR G PR ALA.PR.G BROOKFLD ASSET PR 37 BAM.PF.D ALTAGAS LTD SR H PR ALA.PR.H BROOKFLD ASSET PR 38 BAM.PF.E ALTAGAS LTD SR I PR ALA.PR.I BROOKFLD ASSET PR 40 BAM.PF.F ALTAGAS LTD SR K PR ALA.PR.K BROOKFLD ASSET PR 42 BAM.PF.G 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol BROOKFLD ASSET PR 44 BAM.PF.H BCE INC. PR SER AO BCE.PR.O BROOKFLD ASSET PR 46 BAM.PF.I BCE INC. PR SER AQ BCE.PR.Q BROOKFLD ASSET PR 48 BAM.PF.J BCE INC. PR SER R BCE.PR.R BROOKFLD ASSET PR 2 BAM.PR.B BCE INC. PR SER S BCE.PR.S BROOKFLD ASSET PR 4 BAM.PR.C BCE INC. PR SER T BCE.PR.T BROOKFLD ASSET PR 8 BAM.PR.E BCE INC. PR SERIES Y BCE.PR.Y BROOKFLD ASSET PR 9 BAM.PR.G BCE INC. PR SERIES Z BCE.PR.Z BROOKFLD ASSET PR 13 BAM.PR.K BLACK DIAMOND GROUP BDI BROOKFLD ASSET PR 17 BAM.PR.M BIRD CONSTRUCTION BDT BROOKFLD ASSET PR 18 BAM.PR.N BOARDWALK REIT UN BEI.UN BROOKFLD ASSET PR 24 BAM.PR.R BROOKFIELD RENEW UN BEP.UN BROOKFLD ASSET PR 25 BAM.PR.S BROOKFIELD RENEW PR5 BEP.PR.E BROOKFLD ASSET PR 26 BAM.PR.T BROOKFIELD RENEW PR7 BEP.PR.G BROOKFLD ASSET PR 28 BAM.PR.X BROOKFIELD RENEW PR9 BEP.PR.I BROOKFLD ASSET PR 30 BAM.PR.Z BROOKFIELD RENEWPR11 BEP.PR.K BLACKBERRY LIMITED BB BROOKFIELD RENEWPR13 BEP.PR.M BROOKFIELD BUS LP UN BBU.UN BROOKFIELD RENEWPR15 BEP.PR.O COTT CORPORATION BCB BRKFLD GLBINFRAS SEC BGI.UN BCE INC. BCE BAUSCH HEALTH CO BHC BCE INC. PR SER AA BCE.PR.A BROOKFIELD INFRAS UN BIP.UN BCE INC. PR SER AB BCE.PR.B BROOKFIELD INFRASPR1 BIP.PR.A BCE INC. PR SER AC BCE.PR.C BROOKFIELD INFRASPR3 BIP.PR.B BCE INC. PR SER AD BCE.PR.D BROOKFIELD INFRASPR5 BIP.PR.C BCE INC. PR SER AE BCE.PR.E BROOKFIELD INFRASPR7 BIP.PR.D BCE INC. PR SER AF BCE.PR.F BROOKFIELD INFRASPR9 BIP.PR.E BCE INC. PR SER AG BCE.PR.G BROOKFIELD INFRAPR11 BIP.PR.F BCE INC. PR SER AH BCE.PR.H BIRCHCLIFF ENERGY BIR BCE INC. PR SER AI BCE.PR.I BIRCHCLIFF ENGY PR A BIR.PR.A BCE INC. PR SER AJ BCE.PR.J BIRCHCLIFF ENGY PR C BIR.PR.C BCE INC. PR SER AK BCE.PR.K CDN BANC CORP CL 'A' BK BCE INC. PR SER AL BCE.PR.L CDN BANC CORP. PR BK.PR.A BCE INC. PR SER AM BCE.PR.M BALLARD POWER SYS BLDP BCE INC. PR SER AN BCE.PR.N BELLUS HEALTH INC. BLU 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol BORALEX INC. CL A BLX BAYLIN TECH INC. J BYL BANK OF MONTREAL BMO CAE INC. CAE BK OF MON PR SER 26 BMO.PR.A CALEDONIA MINING PLC CAL BK OF MON PR SER 38 BMO.PR.B CDN APARTMENT TR UN CAR.UN BK OF MON PR SER 40 BMO.PR.C CASCADES INC. CAS BK OF MON PR SER 42 BMO.PR.D ISHRE 1-5 CORPBND UN CBO BK OF MON PR SER 44 BMO.PR.E COGECO COMMUN INC SV CCA BK OF MON PR SER 46 BMO.PR.F CCL INDUSTRIES CL A CCL.A BK OF MON PR SER 25 BMO.PR.Q CCL INDUSTRIES CL B CCL.B BK OF MON PR SER 27 BMO.PR.S CAMECO CORPORATION CCO BK OF MON PR SER 29 BMO.PR.T CERIDIAN HCM HLDG J CDAY BK OF MON PR SER 31 BMO.PR.W ISHR CDNDIVARISTO UN CDZ BK OF MON PR SER 33 BMO.PR.Y SPROTT PHYGLD&SIL TR CEF BK OF MON PR SER 35 BMO.PR.Z SPROTT PHYGLD&SIL US CEF.U BONTERRA ENERGY CORP BNE CES ENERGY SOLUTN CEU BANK OF NOVA SCOTIA BNS CANACCORD GENUITY CF BANK OF N S SR 31 PR BNS.PR.D CANACCORD GEN A PR CF.PR.A BANK OF N S SR 34 PR BNS.PR.E CANACCORD GEN C PR CF.PR.C BANK OF N S SR 33 PR BNS.PR.F CANFOR CORPORATION CFP BANK OF N S SR 36 PR BNS.PR.G CANFOR PULP PRODUCTS CFX BANK OF N S SR 38 PR BNS.PR.H CENTERRA GOLD INC. CG BANK OF N S SR 40 PR BNS.PR.I ISHARE GLDBULHDGD UN CGL BANK OF N S SR 30 PR BNS.PR.Y ISHARE GLDBUL NN-HDG CGL.C BANK OF N S SR 32 PR BNS.PR.Z COGECO INC. SV CGO AIRBOSS OF AMERICA J BOS CHEMTRADE LOGISTC UN CHE.UN BOSTON PIZZA FND UN BPF.UN CHOICE PPTY REIT UN CHP.UN BROOKFLD OFFICE PRAA BPO.PR.A CHORUS AVIATION V&VV CHR BROOKFLD OFFICE PR T BPO.PR.T CHESSWOOD GROUP LTD. CHW BROOKFLD PPTY LP UN BPY.UN CHAMPION IRON ORD J CIA BRIDGEMARQ RL EST RV BRE COLLIERS INTL GRP SV CIGI BTB REIT UN BTB.UN CI FINANCIAL CORP. CIX B2GOLD CORP. BTO CARDINAL ENERGY J CJ BOYD GROUP SERVICES BYD CORUS ENTERTNMNT B CJR.B 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol CARGOJET INC. COM&VV CJT CT RL EST INVEST UN CRT.UN ISHRE 1-5 GOVTBND UN CLF CI 1STAST INTERSTSVG CSAV ALCANNA INC. CLIQ CHARTWELL RETIRE UN CSH.UN CLEARWATER SEAFOODS CLR CONSTELLATION SOFTWR CSU CELESTICA INC SV CLS CORBY SPIRIT&WINE A CSW.A CDN IMPERIAL BANK CM CORBY SPIRIT&WN B NV CSW.B CDN IMP BK SER 39 PR CM.PR.O CANADIAN TIRE CORP CTC CDN IMP BK SER 41 PR CM.PR.P CANADIAN TIRE A NV CTC.A CDN IMP BK SER 43 PR CM.PR.Q CDN UTILITIES A NV CU CDN IMP BK SER 45 PR CM.PR.R CDN UTIL 2ND PR Y CU.PR.C CDN IMP BK SER 47 PR CM.PR.S CDN UTIL 2ND PR AA CU.PR.D CDN IMP BK SER 49 PR CM.PR.T CDN UTIL 2ND PR BB CU.PR.E CDN IMP BK SER 51 PR CM.PR.Y CDN UTIL 2ND PR CC CU.PR.F COMPUTER MODELLING J CMG CDN UTIL 2ND PR DD CU.PR.G ISHARES MONEYMKT UN CMR CDN UTIL 2ND PR EE CU.PR.H CANACOL ENERGY J CNE CDN UTIL 2ND PR FF CU.PR.I CONTINENTAL GOLD J CNL CDN UTILITIES CL B CU.X CANADIAN NATURAL RES CNQ COMINAR REAL EST UN CUF.UN CDN NAT'L RAILWAY CNR CENOVUS ENERGY INC. CVE CNOOC LIMITED ADRS CNU CDN WSTRN BANK CWB CDN PACIFIC RAILWAY CP CDN WSTRN BK SR 5 PR CWB.PR.B ISHARES CDNPREF UN CPD CDN WSTRN BK SR 7 PR CWB.PR.C CRESCENT POINT CORP. CPG CDN WSTRN BK SR 9 PR CWB.PR.D CAPITAL POWER CORP. CPX CHARLOTTE'S WEB HLDG CWEB CAPITAL PWR SER 1 PR CPX.PR.A CANWEL BUILDING GRP CWX CAPITAL PWR SER 3 PR CPX.PR.C DREAM OFFICE REIT UN D.UN CAPITAL PWR SER 5 PR CPX.PR.E DIVIDEND 15SPLIT 2 A DF CAPITAL PWR SER 7 PR CPX.PR.G DIVIDEND 15SPLT 2 PR DF.PR.A CAPITAL PWR SER 9 PR CPX.PR.I DIVIDEND 15 SPLT A DFN CAPITAL PWR SR 11 PR CPX.PR.K DIVIDEND 15 SPLT PR DFN.PR.A CRH MEDICAL CORP. J CRH DIV GROWTH SPLT CL A DGS CRONOS GROUP INC. J CRON DIV GROWTH SPLIT PR DGS.PR.A CROMBIE REAL EST UN CRR.UN DREAM INDUSTRL REIT DIR.UN 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol DIVERS RYLTY CORP. DIV CANOE EIT INCOME UN EIT.UN EVOLVE CA PREF UNHEG DIVS ELDORADO GOLD CORP. ELD HORIZON US$ CUR A UN DLR EMERA INCORPORATED EMA HORIZON US$CUR A USF DLR.U EMERA INC. SER A PR EMA.PR.A DOLLARAMA INC. DOL EMERA INC. SER B PR EMA.PR.B BRP INC. SV DOO EMERA INC. SER C PR EMA.PR.C DUNDEE PRECIOUS MTL DPM EMERA INC. SER E PR EMA.PR.E MEDICAL FACILITIES DR EMERA INC. SER F PR EMA.PR.F DREAM HRD ASETALT UN DRA.UN EMERA INC. SER H PR EMA.PR.H DREAM UNLTD CL A SV DRM 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 ECN CAPITAL CORP. ECN ENBRIDGE SER 19 PR ENB.PF.K ECN CAPITAL 6.50% PR ECN.PR.A ENBRIDGE SER L US PR ENB.PF.U ECN CAPITAL 6.25% PR ECN.PR.C ENBRIDGE SER 5 US PR ENB.PF.V ECOSYNTHETIX INC. J ECO 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 ELEMENT FLEET MGT EFN ENBRIDGE INC SR D PR ENB.PR.D ELEMENT FLEET PR A EFN.PR.A ENBRIDGE INC SR F PR ENB.PR.F ELEMENT FLEET PR C EFN.PR.C ENBRIDGE INC SR H PR ENB.PR.H ELEMENT FLEET PR E EFN.PR.E ENBRIDGE SER 7 PR ENB.PR.J ELEMENT FLEET PR G EFN.PR.G ENBRIDGE INC SR N PR ENB.PR.N ELEMENT FLEET PR I EFN.PR.I ENBRIDGE INC SR P PR ENB.PR.P ENERGY FUELS INC. J EFR ENBRIDGE INC SR R PR ENB.PR.T ENERFLEX LTD. EFX ENBRIDGE SR J US PR ENB.PR.U EXCHANGE INCOME CORP EIF ENBRIDGE SER 1 US PR ENB.PR.V CANOE EIT SER 1 PR EIT.PR.A ENBRIDGE SER 3 PR ENB.PR.Y CANOE EIT SER 2 PR EIT.PR.B ENGHOUSE SYSTEMS LTD ENGH 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol EQUITABLE GROUP INC. EQB FRANKLIN LIB GLB BND FLGA EQUITABLE GRP PR 3 EQB.PR.C CI 1STASTUS&CALIFECO FLI ENERPLUS CORPORATION ERF FIRST QUANTUM MNRL J FM ERO COPPER CORP. J ERO FIRST NAT'L FIN CORP FN ENSIGN ENGY SERVICES ESI 1ST NATL FIN SR 1 PR FN.PR.A EVERTZ TECHNOLOGIES ET 1ST NATL FIN SR 2 PR FN.PR.B EXTENDICARE INC. EXE FRANCO-NEVADA CORP. FNV EXFO INC. SV EXF GOODFOOD MARKET J FOOD FAIRFAX AFRICA SV US FAH.U FIRST MAJESTIC J FR ABERDEEN ASIA-PACIFC FAP FRESHII INC. CL A SV FRII FIRM CAP MTG INVEST FC FREEHOLD ROYALTIES FRU FIRST CAP REIT UN FCR.UN FENNEC PHARMACEUT J FRX FRONTERA ENERGY CORP FEC FIRSTSERVICE CORP. FSV FAIRFAX FINANCIAL SV FFH FIERA CAPITAL A SV FSZ FAIRFAX FIN SER C PR FFH.PR.C FIRAN TECH GRP CORP. FTG FAIRFAX FIN SER D PR FFH.PR.D FINANCIAL 15 SPLT A FTN FAIRFAX FIN SER E PR FFH.PR.E FINANCIAL 15 SPLT PR FTN.PR.A FAIRFAX FIN SER F PR FFH.PR.F FORTIS INC. FTS FAIRFAX FIN SER G PR FFH.PR.G FORTIS INC. 1ST PR F FTS.PR.F FAIRFAX FIN SER H PR FFH.PR.H FORTIS INC. 1ST PR G FTS.PR.G FAIRFAX FIN SER I PR FFH.PR.I FORTIS INC. 1ST PR H FTS.PR.H FAIRFAX FIN SER J PR FFH.PR.J FORTIS INC.1ST PR I FTS.PR.I FAIRFAX FIN SER K PR FFH.PR.K FORTIS INC. 1ST PR J FTS.PR.J FAIRFAX FIN SER M PR FFH.PR.M FORTIS INC. 1ST PR K FTS.PR.K FAIRFAX FIN SV USF FFH.U FORTIS INC. 1ST PR M FTS.PR.M NA FIN 15 SPLIT A FFN FINNING INT'L INC. FTT NA FIN 15 SPLIT 2 PR FFN.PR.A FORTUNA SILVER MINES FVI CI 1STAST ENHGOVBOND FGO GREAT CDN GAMING GC CI1STAST ENHGVTBNDUS FGO.U GRAN COLOMBIA GOLD GCM ISHARES CDNFINMO UN FIE GLBL RLEST E-COMMERC GEC.UN CI 1ST ASST INVBNDUN FIG GIBSON ENERGY INC GEI CI 1ST ASSTINVBND US FIG.U CGI INC. CL A SV GIB.A FAIRFAX INDIA SV USF FIH.U GILDAN ACTIVEWEAR GIL 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol CDA GOOSE HLDGS SV GOOS HIGH LINER FOODS INC HLF GRANITE RL EST TR UN GRT.UN HLS THERAPEUTICS J HLS GOLDEN STAR RESOURCE GSC HORIZONS MARIJ LFE A HMMJ GOEASY LTD. GSY HORIZONS MARIJ US HMMJ.U KNIGHT THERAPEUTICS GUD BETAPRO NATGAS 2XBUL HNU GREAT-WEST LIFECO GWO BETAPRO CRDOIL-2X BR HOD GT-WEST LIFECO PR F GWO.PR.F BSR REIT INVEST USF HOM.U GT-WEST LIFECO PR G GWO.PR.G BSR REIT INVEST UN HOM.UN 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 REAL ESTATE UN HR.UN GT-WEST LIFECO PR P GWO.PR.P HEROUX-DEVTEK INC. HRX GT-WEST LIFECO PR Q GWO.PR.Q BETAPRO S&P500 -2XBR HSD GT-WEST LIFECO PR R GWO.PR.R HUSKY ENERGY INC. HSE GT-WEST LIFECO PR S GWO.PR.S HUSKY ENERGY SR 1 PR HSE.PR.A GT-WEST LIFECO PR T GWO.PR.T HUSKY ENERGY SR 2 PR HSE.PR.B GLOBAL WATER RES GWR HUSKY ENERGY SR 3 PR HSE.PR.C HYDRO ONE LIMITED H HUSKY ENERGY SR 5 PR HSE.PR.E HORIZON CORPBND E UN HAB HUSKY ENERGY SR 7 PR HSE.PR.G HUDSON'S BAY COMPANY HBC BETAPRO S&P500 2X BL HSU HARVESTBRNDLDR+ A UN HBF HARVESTTECHACHVGRW A HTA HARVESTBRNDLDR+US UN HBF.U HARVESTTECHACHGROWUS HTA.U HUDBAY MINERALS INC. HBM HIGH ARCTIC ENGY INC HWO HOME CAPITAL GROUP HCG BETAPROS&PTSX60-2XBR HXD HARDWOODS DIST INC. HDI HORIZON S&P/TSX60 HXT HORIZONS GOLD PROD E HEP HORIZON S&P/TSX60 US HXT.U HORIZON FLTGRTBND UN HFR BETAPROS&PTSX60 2XBL HXU BETAPROCDNGLDMNR2XBL HGU INDSTRL ALLIANCEPR I IAF.PR.I HARVEST HLTHCRLDR UN HHL IA FINANCIAL CORP. IAG HARVESTHEALTHCARE US HHL.U IBI GROUP INC. IBG 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol INTACT FIN CORP. IFC KINAXIS INC. J KXS INTACT FIN A SER 1 IFC.PR.A LOBLAW COMPANIES LTD L INTACT FIN A SER 3 IFC.PR.C LOBLAW CO. SER B PR L.PR.B INTACT FIN A SER 4 IFC.PR.D MEDIPHARM LABSCORP J LABS INTACT FIN A SER 5 IFC.PR.E LITHIUM AMERICAS J LAC INTACT FIN A SR 6 PR IFC.PR.F LAURENTIAN BK OF CAN LB INTACT FIN A SR 7 PR IFC.PR.G LAURENTIAN BK PR 13 LB.PR.H INTERFOR CORPORATION IFP LAURENTIAN BK PR 15 LB.PR.J IGM FINANCIAL INC. IGM LIFE & BANC SPLIT A LBS INTERRENT REIT UN J IIP.UN LIFE & BANC SPLIT PR LBS.PR.A IAMGOLD CORPORATION IMG CDN LIFE CO SPLIT A LFE IMPERIAL OIL LTD. IMO CDN LIFE COSPLT PR12 LFE.PR.B IMV INC. J IMV LABRADOR IRON ORE LIF INNERGEX RENEW ENGY INE LEAGOLD MNG CORP. J LMC INNERGEX RENEW PR A INE.PR.A LEON'S FURNITURE LTD LNF INNERGEX RENEW PR C INE.PR.C LINAMAR CORPORATION LNR INOVALIS REIT UN INO.UN LIGHTSPEED POS SV LSPD INT'L PETE CORP. IPCO LUNDIN GOLD INC. J LUG INTER PIPELINE LTD. IPL LUNDIN MINING CORP LUN IPL PLASTICS INC. IPLP MAG SILVER CORP. J MAG INTERTAPE POLYMER ITP MAGELLAN AEROSPACE MAL IVANHOE MINES CL A J IVN MEDIAGRIF INTERACTV MDF INVESQUE INC. IVQ MAJOR DRILLING GROUP MDI INVESQUE INC. USF IVQ.U MEG ENERGY CORP. MEG JAMIESON WELLNESS JWEL MANULIFE FINANCIAL MFC KINROSS GOLD CORP. K MANULIFE FIN SR 2 PR MFC.PR.B KEG ROYALTIES FND UN KEG.UN MANULIFE FIN A PR 3 MFC.PR.C KELT EXPL LTD. J KEL MANULIFE FIN SR 3 PR MFC.PR.F KEYERA CORP. KEY MANULIFE FIN SR 5 PR MFC.PR.G KIRKLAND LAKE GOLD J KL MANULIFE FIN SR 7 PR MFC.PR.H KILLAM APT REIT UN J KMP.UN MANULIFE FIN SR 9 PR MFC.PR.I CORVUS GOLD INC. J KOR MANULIFE FIN SR11 PR MFC.PR.J KP TISSUE INC. KPT MANULIFE FIN SR13 PR MFC.PR.K 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol MANULIFE FIN SR15 PR MFC.PR.L NAT'L BANK SER 40 PR NA.PR.E MANULIFE FIN SR17 PR MFC.PR.M NAT'L BANK SER 42 PR NA.PR.G MANULIFE FIN SR19 PR MFC.PR.N NAT'L BANK SER 30 PR NA.PR.S MANULIFE FIN SR21 PR MFC.PR.O NAT'L BANK SER 32 PR NA.PR.W MANULIFE FIN SR 4 PR MFC.PR.P NAT'L BANK SER 34 PR NA.PR.X MANULIFE FIN SR25 PR MFC.PR.Q NEO PERFORM MATERIAL NEO MANULIFE FIN SR23 PR MFC.PR.R NEPTUNE WELLSOLUTN J NEPT MAPLE LEAF FOODS INC MFI NEXA RESOURCES S.A. NEXA MANULIFE FLTGRTLN UN MFR.UN NFI GROUP INC. NFI MACKENZIE FLTGRATE E MFT NOVAGOLD RESOURCES J NG MAGNA INT'L INC. MG NEWMONT CORPORATION NGT MACKENZIE GLBFXINCME MGB NIGHTHAWK GOLD J NHK MINTO APART REIT UN MI.UN N.A. CONSTRUCTION NOA GENWORTH MI CANADA MIC NORTHLAND POWER INC. NPI MINT INCME FND TR UN MID.UN NORTHLAND PWR PR 1 NPI.PR.A MCAN MORTGAGE CORP. MKP NORTHLAND PWR PR 2 NPI.PR.B MAVERIX METALS INC. MMX NORTHLAND PWR PR 3 NPI.PR.C RY CDN MINT-GOLD ETR MNT NBI ACTVCDNPRSHR UN NPRF RY CDN MINT-GOLD USF MNT.U NUTRIEN LTD. NTR MOGO INC. J MOGO NUVISTA ENERGY LTD. NVA MELCOR REIT UN MR.UN NTHVIEW APT REIT UN NVU.UN MARTINREA INT'L INC. MRE NW COMPANY VARV&COMV NWC MORGUARD NA REIT UN MRG.UN NW HEALTHCARE UN NWH.UN MORGUARD REAL EST UN MRT.UN OCEANAGOLD CORP. OGC METRO INC. MRU ORLA MINING LTD. J OLA MORNEAU SHEPELL INC. MSI ONEX CORPORATION SV ONEX MULLEN GROUP LTD. MTL OSISKO GLD ROYALTY OR MTY FOOD GROUP INC. MTY OROCOBRE LTD. ORD J ORL MACKENZIE UNCNSTRN E MUB NORBORD INC. OSB METHANEX CORPORATION MX OSISKO MINING INC. J OSK NAT'L BANK OF CANADA NA OCP SENIOR CREDIT UN OSL.UN NAT'L BANK SER 36 PR NA.PR.A OPEN TEXT CORP OTEX NAT'L BANK SER 38 PR NA.PR.C PAN AMERICAN SILVER PAAS 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol PREMIUM BRANDS HLDGS PBH PEMBINA PIPE SR 9 PR PPL.PR.I CANSO CREDIT A UN PBY.UN 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 PIMCO GBL INCMOPP UN PGI.UN PEMBINA PIPE PR 17 PPL.PR.Q PHX ENERGY SERVICES PHX PEMBINA PIPE PR 19 PPL.PR.S PREMIUM INCOME CL A PIC.A PRO REAL EST TR UN PRV.UN PREMIUM INCOME PR PIC.PR.A PURPOSE HIGH INTSVGS PSA POLARIS INFRAS J PIF PASON SYSTEMS INC. PSI PARKLAND FUEL CORP. PKI PRAIRIESKY ROYALTY PSK PINNACLE RENEWBLENGY PL POINTS INT'L LTD. J PTS PARK LAWN CORP. PLC PRETIUM RESOURCES J PVG PLAZA RETAIL REIT UN PLZ.UN POWER FINANCIAL PR A PWF.PR.A PIMCO MTHLYINCMETFUN PMIF POWER FINANCIAL PR D PWF.PR.E PIMCO MTHLY INCM US PMIF.U POWER FIN 5.25% PR E PWF.PR.F PIMCO GLBL SHRTCDA PMNT POWER FIN 5.90% PR F PWF.PR.G PARAMOUNT RES CL A POU POWER FIN 5.75% PR H PWF.PR.H POWER CORP OF CDA SV POW POWER FIN 6% PR I PWF.PR.I POWER CORP 5.6% PR A POW.PR.A POWER FIN 4.95% PR K PWF.PR.K POWER CORP 5.35% PR POW.PR.B POWER FIN 5.10% PR L PWF.PR.L POWER CORP 5.80% PR POW.PR.C POWER FIN 5.80% PR O PWF.PR.O POWER CORP 5.00% PR POW.PR.D POWER FIN 4.40% PR P PWF.PR.P POWER CORP PART. PR POW.PR.E POWER FINANCIAL PR Q PWF.PR.Q POWER CORP SR861STPR POW.PR.F POWER FIN 5.50% PR R PWF.PR.R POWER CORP 5.6% PR G POW.PR.G POWER FIN 4.80% PR S PWF.PR.S PEMBINA PIPELINE PPL POWER FIN 4.20% PR T PWF.PR.T PEMBINA PIPE PR 21 PPL.PF.A POWER FIN 5.15% PR V PWF.PR.Z PEMBINA PIPE PR 23 PPL.PF.C PAREX RESOURCES J PXT PEMBINA PIPE PR 25 PPL.PF.E PIZZA PIZZA ROYALTY PZA PEMBINA PIPE SR 1 PR PPL.PR.A QUEBECOR INC CL A MV QBR.A PEMBINA PIPE SR 3 PR PPL.PR.C QUEBECOR INC CL B SV QBR.B PEMBINA PIPE SR 5 PR PPL.PR.E RESTAURANT BRND INTL QSR PEMBINA PIPE SR 7 PR PPL.PR.G STINGRAY GROUP SV RAY.A 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol STINGRAY VARY SV RAY.B ROYAL BANK PR SER AZ RY.PR.Z RITCHIE BROS AUCTION RBA SAPUTO INC. SAP BLUE RIBBON INCM UN RBN.UN SHAWCOR LTD. SCL RICHELIEU HARDWARE RCH SEABRIDGE GOLD INC J SEA ROGERS COMM CL A RCI.A SECURE ENERGY SERV J SES ROGERS COMM CL B NV RCI.B SHOPIFY INC A SV SHOP REAL MATTERS INC. REAL SIENNA SENIOR LIVING SIA RECIPE UNLIMITED SV RECP SPROTT INC. SII RIOCAN RL EST TR UN REI.UN SILVERCREST METALS J SIL RESOLUTE FOREST PROD RFP SAVARIA CORP. J SIS CI 1ST ASSET CDNREIT RIT STELLA-JONES INC. SJ ROCKY MTN DEALERSHIP RME SHAW COMM CL B NV SJR.B TRANSALTA RENEWABLE RNW SHAW COMM CL 2 PR A SJR.PR.A ROOTS CORPORATION ROOT SHAW COMM CL 2 PR B SJR.PR.B RBC CDN PREF CA UN RPF SUN LIFE FIN INC. SLF ROGERS SUGAR INC. RSI SUN LIFE FIN PR A SLF.PR.A RUSSEL METALS INC. RUS SUN LIFE FIN SER2 PR SLF.PR.B ROYAL BANK OF CANADA RY SUN LIFE FIN SER3 PR SLF.PR.C ROYAL BANK PR SER AA RY.PR.A SUN LIFE FIN SER4 PR SLF.PR.D ROYAL BANK PR SER AC RY.PR.C SUN LIFE FIN SER5 PR SLF.PR.E ROYAL BANK PR SER AE RY.PR.E SUN LIFE FIN SR8R PR SLF.PR.G ROYAL BANK PR SER AF RY.PR.F SUN LIFE FIN 10R PR SLF.PR.H ROYAL BANK PR SER AG RY.PR.G SUN LIFE FIN 12R PR SLF.PR.I ROYAL BANK PR SER BB RY.PR.H SUN LIFE FIN 9QR PR SLF.PR.J ROYAL BANK PR SER BD RY.PR.J SUN LIFE FIN 11QR PR SLF.PR.K ROYAL BANK PR SER BF RY.PR.M SEMAFO INC. J SMF ROYAL BANK PR SER BH RY.PR.N SIERRA METALS INC. J SMT ROYAL BANK PR SER BI RY.PR.O SUMMIT IND REIT UN J SMU.UN ROYAL BANK PR SER BJ RY.PR.P SNC - LAVALIN GROUP SNC ROYAL BANK PR SER BK RY.PR.Q SLATE OFFICE REIT UN SOT.UN ROYAL BANK PR SER BM RY.PR.R SUNOPTA, INC. SOY ROYAL BANK PR SER BO RY.PR.S SUPERIOR PLUS CORP. SPB ROYAL BANK PR SER W RY.PR.W SLATE RETAIL CL U UN SRT.U 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol SLATE RETAIL CAD UN SRT.UN T.D. BANK SER 18 PR TD.PF.J SMARTCTR REIT VV UN SRU.UN T.D. BANK SER 20 PR TD.PF.K SIR ROYALTY INCM UN SRV.UN T.D. BANK SER 22 PR TD.PF.L SANDSTORM GOLD LTD. SSL T.D. BANK SER 24 PR TD.PF.M SSR MINING INC. SSRM TECK RES CL A MV TECK.A STELCO HOLDINGS J STLC TECK RES CL B SV TECK.B STANTEC INC. STN TERVITA CORPORATIONJ TEV SUNCOR ENERGY INC. SU TIMBERCREEK FIN CORP TF SILVERCORP METALS J SVM TFI INTERNATIONAL TFII SIERRA WIRELESS SW TERAGO INC. TGO SWISS WATER COFFEE SWP TERANGA GOLD CORP. J TGZ SUPREMEX INC. SXP THERATECHNOLOGIES TH TELUS CORPORATION T TOROMONT INDUSTRIES TIH TRANSALTA CORP. TA TRILOGY METALS INC J TMQ TRANSALTA SER A PR TA.PR.D TMAC RESOURCES INC J TMR TRANSALTA SER B PR TA.PR.E TRUE NTHCOMMRCL J UN TNT.UN TRANSALTA SER C PR TA.PR.F TORC OIL & GAS LTD. TOG TRANSALTA SER E PR TA.PR.H TOTAL ENGY SERV INC. TOT TRANSALTA SER G PR TA.PR.J TOURMALINE OIL CORP. TOU TUCOWS INC. TC SPIN MASTER CORP SV TOY TRANSCONTINENTL A SV TCL.A THOMSON REUTERS CORP TRI TRANSCONTINENTL B MV TCL.B THOMSON REUTER PR II TRI.PR.B TRICON CAPITAL GROUP TCN TRILOGY INTL PARTNRJ TRL T.D. BANK TD TC ENERGY CORP TRP T.D. BANK SER 1 PR TD.PF.A TC ENERGY CORP PR 1 TRP.PR.A T.D. BANK SER 3 PR TD.PF.B TC ENERGY CORP PR 3 TRP.PR.B T.D. BANK SER 5 PR TD.PF.C TC ENERGY CORP PR 5 TRP.PR.C T.D. BANK SER 7 PR TD.PF.D TC ENERGY CORP PR 7 TRP.PR.D T.D. BANK SER 9 PR TD.PF.E TC ENERGY CORP PR 9 TRP.PR.E T.D. BANK SER 11 PR TD.PF.F TC ENERGY CORP PR 2 TRP.PR.F T.D. BANK SER 12 PR TD.PF.G TC ENERGY CORP PR 11 TRP.PR.G T.D. BANK SER 14 PR TD.PF.H TC ENERGY CORP PR 4 TRP.PR.H T.D. BANK SER 16 PR TD.PF.I TC ENERGY CORP PR 6 TRP.PR.I 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol TC ENERGY CORP PR 13 TRP.PR.J VANGUARD EXNA IDX UN VIU TC ENERGY CORP PR 15 TRP.PR.K VANGRD CDNLT GVTBOND VLB TRANSAT A.T. V & VV TRZ VELAN INC. SV VLN STARS GROUP INC. J TSGI VIEMED HEALTHCARE VMD TREE ISLAND STEEL TSL 5N PLUS INC. VNP TRISURA GROUP J TSU VANGUARD CDN S-T BND VSB TAMARACK VALL ENGY J TVE VANGUARD S-T CRPBOND VSC CI 1STASTTECH GIANTS TXF VANGUARD S&P500 C-HG VSP CI1STASTTECGIANTUNHG TXF.B VANGUARD US MKTIDXUN VUN TOREX GOLD RES J TXG VANGUARD FTSEGLOBECA VXC URANIUM PARTICIPATE U WATERLOO BREWING LTD WBR DOMTAR CORPORATION UFS WASTE CONNECTIONS WCN UNI-SELECT INC. UNS WHITECAP RESOURCES J WCP URBANA CORPORATION URB WESDOME GOLD MINES WDO URBANA CORP. CL A NV URB.A CANOPY GRWTH CORP J WEED AMERICAS GOLD SLVR J USA WEST FRASER TIMBER WFT VANGUARD CDN AGR BND VAB WPT INDUSTRL REIT US WIR.U VERSABANK J VB WAJAX CORPORATION WJX VERSABANK PR 1 J VB.PR.A WESTON GEORGE WN VERSABANK PR 3 J VB.PR.B WESTON GEORGE 1 PR WN.PR.A VANGUARD BALETF PORT VBAL WESTON GEORGE III PR WN.PR.C VANGUARD FTSE CDAIDX VCE WESTON GEORGE IV PR WN.PR.D VANGUARD CONSRV INCM VCIP WESTON GEORGE V PR WN.PR.E VANGUARD CDAALLCAPUN VCN WINPAK LIMITED WPK VANGUARD CONSERVPORT VCNS WHEATON PRECIOUS MTL WPM VANGUARD FTSE DIVYLD VDY WESTPORT FUEL SYS WPRT VANGUARD FTSEEMRGMKT VEE WSP GLOBAL INC. WSP VANGUARD ALLEQPORTFL VEQT WESTSHORE TERMINALS WTE VERMILION ENERGY INC VET TMX GROUP LIMITED X VILLAGE FARMS INT'L VFF ISHR COREMSCI AC WEX XAW VANGUARD S&P500 INDX VFV ISHR COREMSCI ACWXUS XAW.U VANGUARD GROETF PORT VGRO ISHARES COREBAL UN XBAL SEVEN GENERATIONS A VII ISHR CDN UNIVERS BND XBB 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol ISHARES CDN CORP BND XCB BMO DJ INDAV HEG ETF ZDJ ISHR CORE EMRGMKTIMI XEC BMO MSCI EAFE HEGCAD ZDM ISHRCORMSCI EMRMKTUS XEC.U BMO CDN DIVIDEND UN ZDV ISHR CORMSCIEAFE IMI XEF BMO EQL WGT BANK ETF ZEB ISHR COREMSCI IMI US XEF.U BMO MSCI EMRGMKTS UN ZEM ISHR S&P/TSX HIDIVUN XEI BMO LNG FEDERAL BOND ZFL ISHARES FLTG RATE UN XFR BMO MID FED BND INDX ZFM ISHARES CDN GOVT BND XGB BMO HY US CRPHDG ETF ZHY ISHARES CORE GROW UN XGRO BMO VOLATLTY CAD UN ZLB ISHARES US HIYLD BND XHY BMO LONG CRP BND ETF ZLC ISHARE MSCI EAFE IDX XIN BMO LWVLTYUSEQ CADUN ZLU ISHARES S&P/TSX TECH XIT BMO LWVLTYUSEQ US UN ZLU.U ISHR CORECDNLT BNDUN XLB BMO MIDPROVBND CADUN ZMP ISHARE HIGHCDNBND UN XQB BMO MIDUS IG HEGBND ZMU ISHARE NASDAQ 100 UN XQQ BMO LNGPROVBNDCAD UN ZPL ISHRE CDN SH TRM BND XSB BMO LADDERED PR INDX ZPR ISHR CORECDNSHMPLBND XSH BMO NASDAQ EQHED ETF ZQQ ISHARES CORE S&P 500 XSP BMO EQL WGT REITS UN ZRE ISHARES US SMALL CAP XSU BMO S&P500 IDXCAD UN ZSP EXCO TECHNOLOGIES XTC BMO S&P500 IDX US UN ZSP.U ISHARE DIVRS MO INCM XTR BMO ULTRA SHRTBND UN ZST ISHARES CORESP500IDX XUS BMO ULTRASH BNDACCUM ZST.L ISHR CORES&P500IDXUS XUS.U BMO EQ WGT US BANKS ZUB ISHR CORS&P US MKTUN XUU BMO EQL WGT UTIL ETF ZUT ISHR CORS&P USMKT US XUU.U BMO COVERD CALLCDNBK ZWB ISHARE MSCI WORLD UN XWD BMO CDN HIDIVCOVCALL ZWC YAMANA GOLD INC. YRI BMO EU DIVCOVCAL C-H ZWE BMO AGGREGATEBND ETF ZAG BMO US HIGHDIVCOV UN ZWH BMO S&P/TSX COMPINDX ZCN BMO US HIGHDIVCOV US ZWH.U BMO SHRT CRP BND ETF ZCS BMO EU HIDIV COVCALL ZWP BMO SH CORP BNDACCUM ZCS.L BMO COVERDUTILITY UN ZWU BMO DISCOUNT BND UN ZDB SLEEP CNTRY CDA HLDG ZZZ BMO INT'L DIV CAD UN ZDI 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
List of Securities Eligible for Reduced Margin Attachment #1 Description Symbol Description Symbol NEO EXCHANGE ONLY ON LSERM BECAUSE OCC OPTIONS COLUMBIA CARE INC. CCHW TRADE AGAINST SECURITY iSHARES JAPAN FUNDAMENTAL INDEX ETF CJP AETERNA ZENTARIS INC AEZS iSHARES CANADIAN FUNDAMENTAL INDEX ASANKO GOLD INC. J AKG ETF CRQ INVESCO LONG TERM GOVERNMENT BOND ALMADEN MINERALS AMM INDEX ETF PGL APTOSE BIOSCIENCES APS MACKENZIE US TIPS INDEX ETF (CAD- GOLDEN MINERALS J AUMN HEDGED) QTIP AURINIA PHARMA INC J AUP RBC CANADIAN DISCOUNT BOND ETF RCDB BAYTEX ENERGY CORP. BTE iSHARES GLOBAL GOVERNMENT BOND INDEX CORREVIO PHARMA CORP CORV ETF (CAD-HEDGED) XGGB 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
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
List of Securities Eligible for Reduced Margin Attachment #1 Schedule of Additions1
Description Symbol Description Symbol ADDITIONS ADDITIONS TORONTO STOCK EXCHANGE (TSX) MEDIPHARM LABSCORP J LABS ANDREW PELLER A NV ADW.A CDN LIFE CO SPLIT A LFE ANDREW PELLER LTD. B ADW.B MAGELLAN AEROSPACE MAL BLACK DIAMOND GROUP BDI MEDIAGRIF INTERACTV MDF BELLUS HEALTH INC. BLU MACKENZIE GLBFXINCME MGB AIRBOSS OF AMERICA J BOS MAVERIX METALS INC. MMX BROOKFLD OFFICE PRAA BPO.PR.A MELCOR REIT UN MR.UN BOYD GROUP SERVICES BYD NIGHTHAWK GOLD J NHK BAYLIN TECH INC. J BYL NBI ACTVCDNPRSHR UN NPRF CANFOR CORPORATION CFP ORLA MINING LTD. J OLA CI 1STAST INTERSTSVG CSAV OCP SENIOR CREDIT UN OSL.UN CORBY SPIRIT&WINE A CSW.A CANSO CREDIT A UN PBY.UN CORBY SPIRIT&WN B NV CSW.B PEMBINA PIPE PR 23 PPL.PF.C CHARLOTTE'S WEB HLDG CWEB PEMBINA PIPE PR 25 PPL.PF.E DIVIDEND SELECT 15EQ DS PRO REAL EST TR UN PRV.UN FIRST CAP REIT UN FCR.UN SIERRA METALS INC. J SMT FRANKLIN LIB GLB BND FLGA SWISS WATER COFFEE SWP FIRST QUANTUM MNRL J FM TREE ISLAND STEEL TSL GLBL RLEST E-COMMERC GEC.UN TRISURA GROUP J TSU BETAPROCDNGLDMNR2XBL HGU VERSABANK J VB BETAPRO NATGAS 2XBUL HNU VERSABANK PR 1 J VB.PR.A BETAPRO CRDOIL-2X BR HOD VERSABANK PR 3 J VB.PR.B BETAPRO CRUDEOIL2XBL HOU VANGRD CDNLT GVTBOND VLB BETAPRO S&P500 2X BL HSU VELAN INC. SV VLN BETAPROS&PTSX60 2XBL HXU WATERLOO BREWING LTD WBR INDSTRL ALLIANCEPR I IAF.PR.I ISHR COREMSCI ACWXUS XAW.U KEG ROYALTIES FND UN KEG.UN ISHRCORMSCI EMRMKTUS XEC.U KP TISSUE INC. KPT ISHR COREMSCI IMI US XEF.U 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 List of Securities Eligible for Reduced Margin Attachment #1 Schedule of Additions1
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
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
List of Securities Eligible for Reduced Margin Attachment #1 Schedule of Deletions2
Description Symbol Description Symbol DELETIONS DELETIONS TORONTO STOCK EXCHANGE (TSX) OCP CREDIT STGY UN OCS.UN ACADIAN TIMBER CORP. ADN N.A. PALLADIUM LTD. PDL ARGONAUT GOLD INC. J AR SPROTT PHYGOLD CA UN PHYS BOYD GROUP FND TR UN BYD.UN SPROTT PHY GLD UN US PHYS.U CENTAMIN PLC. ORD CEE INVESCO1-5CORPBND UN PSB CINEPLEX INC. CGX SPROTT PHY SIL CDN PSLV ISHRE 1-10GOVTBND UN CLG SPROTT PHY SILVER US PSLV.U CROWN CAP PARTNERS J CRWN POWER FINANCIAL CORP PWF DOREL IND INC A MV DII.A RBC CDNBNK YLD INDX RBNK DOREL IND INC B SV DII.B STUART OLSON INC. SOX DETOUR GOLD CORP J DGC VALEURA ENERGY INC J VLE DREAM GLOBAL REIT UN DRG.UN VANGUARD US TOTMKTUN VUS DREAM UNLTD 1ST PR DRM.PR.A WESTJET AIRLINE VV&V WJA ENTREE RESOURCES J ETG GOLDMONEY INC. XAU FIRST CAPITAL REALTY FCR ISHR SP/TSXGBLBSEMTL XBM GENESIS LAND DEV GDC ISHARE CORMSCICDNDIV XDIV GMP CAPITAL INC. GMP ISHARE GLBL HLTHCARE XHC GMP CAPITAL SER B PR GMP.PR.B ISHARE CDN RLRET BND XRB GMP CAPITAL SER C PR GMP.PR.C BMO EQLWGHT US BKCAD ZBK GREENBROOK TMS INC J GTMS BMO MID CRP BOND ETF ZCM HORIZON SEASONL E UN HAC BMO MSCI EAFE IDX UN ZEA HORIZONS S&P500 UN HXS BMO EQ WGHTOIL & GAS ZEO HORIZON S&P500 US UN HXS.U BMO JUNIOR GOLD ETF ZJG KINDER MORGAN CDA RV KML BMO S&P 500 HEDG-CAD ZUE KINDER MORGAN SR1 PR KML.PR.A BMO TACTICAL DIV UN ZZZD KINDER MORGAN SR3 PR KML.PR.C MAV BEAUTY BRANDS MAV NEO EXCHANGE MACKENZIE CAFXINCM E MKB AGFiQ ENHANCED CORE GLOBAL MULTI- QGB 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 List of Securities Eligible for Reduced Margin Attachment #1 Schedule of Deletions2
Description Symbol DELETIONS SECTOR BOND ETF PURPOSE CANADIAN PREF SHARE FUND RPS
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 List 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 <= 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.
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