Nova Scotia Securities Commission fonds

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Nova Scotia Securities Commission fonds

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Reference code

Accession 1995-298/001, 1995-298/002, 1996-364/001

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  • 1982-1990 (Creation)
    Nova Scotia Securities Commission

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Physical description

55 cm of textual records

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Administrative history

In 1987 the Securities Act was amended and the Nova Scotia Securities Commission established to regulate the securities industry. The commission's principal task is to protect Nova Scotia resident investors in the Nova Scotia securities market. It is a "watchdog" and regulatory agency that also acts as an administrative tribunal, exercising quasi-judicial and public inquiry powers. The commission provides investor protection through the enactment of rules and regulations requiring proper disclosure of information to investors and adherence to fair market practices by broker-dealers, investment counsellors and issuers, promoters and underwriters of securities.

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Scope and content

Fonds consists of records created to support the granting of final clearance for the sale of security issues in Nova Scotia. Fonds includes drafts of final versions of prospectuses, registration statements filed with the Registrar of Securities under the Securities Act, correspondence of the commission and issuers relating to deficiencies in documents, documentation from security regulators in other jurisdictions, and clearances from the commission. Records dating from 1989 to 1992 tend to be relating to applications for clearances that were withdrawn prior to the clearance being issued. The remainder of the records date from 1982 to 1985. Only records for companies incorporated in Nova Scotia, those having a substantial presence in Nova Scotia, or those for which the primary regulatory filing was done in Nova Scotia, have been retained.

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