External Investment Resources: Securities Commissions and Regulators

​Helpful information on financial resources, tools, and investor education programs from regulators across Canada and around the world.

Securities Commissions

Other Canadian Regulators

Financial Consumer Agency of Canada (FCAC) 
The FCAC is an independent body working to protect and inform consumers of financial products and services. The FCAC website has tip sheets, publications and interactive tools on many financial products and services.

Mutual Fund Dealers Association of Canada (MFDA)
The MFDA is the self-regulatory organization for mutual fund dealers in Canada. The MFDA protects investors through the enforcement of the MFDA's By-laws, Rules and Polices.

International Regulators

Financial Industry Regulatory Authority (FINRA) 
FINRA is an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly.

International Forum for Investor Education (IFIE)
IFIE’s goal is to improve investor education on a worldwide basis so that consumers in all jurisdictions are able to make informed choices about financial products and investments.

The International Organization of Securities Commissions (IOSCO)
IOSCO is the acknowledged international body that brings together the world's securities regulators and is recognized as the global standard setter for the securities sector. IOSCO’s Investor Education Gateway hosts information about many IOSCO members' on-line investor education activities, as well as IOSCO publications and presentations regarding investor education.

North American Securities Administrators Association (NASAA) 
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico.

U.S. Securities & Exchange Commission (SEC)
The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds. The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address the problems and questions that an investor may face.

More resources for investors

MFDA and IIROC have consolidated

As of January 1, 2023 the MFDA and IIROC have come together as New Self-Regulatory Organization of Canada (New SRO).

New SRO has assumed the regulatory responsibilities of the MFDA and IIROC.

We have set up an interim website for updates and information related to the New SRO including:

  • Executive Management
  • Governance
  • New SRO Rules
  • Member Application
  • Investor Office and the Investor Advisory Panel
  • Information concerning mutual fund dealers registered in Québec
  • Complaints
  • Careers

Enforcement proceedings, membership lists, continuing education, investor education resources and any other information not set out above continue to reside on www.mfda.ca and www.iiroc.ca.