Securities Act

The Nova Scotia Securities Commission administers the Securities Act (Nova Scotia) as amended (the "Act") and subordinate legislation made under the Act. On this page you will find a link to the Act, and any amendments to the Act.

• Securities Act (Consolidated to April 19, 2021)
• Bill No. 85 Securities Act Amendments (Effective April 19, 2021)
• Securities Act (Consolidated to October 11, 2018)
• Securities Act (Consolidated to December 13, 2016)
• Securities Act (Consolidated to February 17, 2016)
• Securities Act (Consolidated to May 1, 2014)
• Securities Act (Consolidated to March 31, 2014)
• Securities Act (Consolidated to September 1, 2013)
• Securities Act (Consolidated to August 31, 2012)
• Securities Act (Consolidated to April 30, 2011)
• Securities Act (Consolidated to April 30, 2010)
• Securities Act (Consolidated to December 31, 2009)
• Securities Act (Consolidated to December 31, 2008)
• Securities Act (Consolidated to November 1, 2005)
• Securities Act (Consolidated to April 1, 2004)

• File a Complaint
• Check Registration

Securities Law & Policy

• Securities Act
• Instruments, Rules, Policies, Blanket Orders & Notices
• General Rules
• CEDC Regulations
• Memoranda of Understanding
• Exemption Orders
• Director's Decisions

Stay Current

Events & Hearings

October 3, 2024

Compass Room, Casino Nova Scotia, 1984 Upper Water St., Halifax

October 17, 2024

Halifax Central Library - BMO Room

Media Releases

September 12, 2024

Canadian securities regulators publish Derivatives Business Conduct Rule FAQs

CSA Notices

September 12, 2024

Out for Comment

August 1, 2024

Online Directories

• CSA National Registration Search
• Issuers
• CTO Database (SEDAR+)
• SEDAR+ Regulatory Fee Guide

Popular Searches

• Fee Schedule
• Enforcement Proceedings
• Media Releases
• Securities Law & Policy
• Commission Rules
• Recognize and Report an Investment Scam

Securities Law & Policy

• Instruments, Rules & Policy
• Legislation

Registration & Compliance

• Registration, Information & Forms
• Check Registration
• Compliance

Issuer Regulation

• Issuer List
• CTO Database (SEDAR+)
• CEDIFs
• Continuous Disclosure Obligations
• Filing Documents Electronically

Enforcement Proceedings & Orders

• Enforcement Proceedings
• Exemption Orders
• NSSC Events / Hearings Calendar

Media Releases & Current Updates

• Media Releases
• Media Kit
• NSSC Events / Hearings Calendar
• Employment Opportunities

About the NSSC

• Corporate Finance Branch
• Enforcement Branch
• Policy & Market Regulation Branch
• Current Commissioners
• Understanding Regulations, Rules, Policies, Notices, and Orders
• The Commission Plans and Reports
  
• Nova Scotia Securities Commission Code of Conduct

This page and all contents are Crown copyright @ 2014, Province of Nova Scotia, All Rights Reserved.

• Failure to file annual financial statements.
• Failure to file interim financial statements.
• Failure to file an annual or interim management’s discussion and analysis (MD&A) or an annual or interim management report of fund performance (MRFP).
• Failure to file an Annual Information Form (AIF).
• Failure to file a certification of annual or interim filings required by Multilateral Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (MI 52-109).
• Failure to file required proxy materials or a required information circular.
• Failure to file an issuer profile supplement on the System for Electronic Disclosure by Insiders (SEDI).
• Failure to file a material change report.
• Failure to provide a written update after filing a confidential report of a material change.
• Failure to file a business acquisition report.
• Failure to file annual oil and gas disclosure prescribed by National Instrument 51-101 Standards of Disclosure of Oil and Gas Activities (NI 51-101) or technical reports for a mineral project required under NI 43-101 Standards of Disclosure for Mineral Projects (NI 43-101).
• Failure to file a mandatory news release.
• Failure to file corporate governance disclosure as required by national Instrument 58-101 Disclosure of Corporate Governance Practices (NI 58-101).
• Failure to file audit committee disclosure as required by Multilateral Instrument 52-110 Audit Committees (MI 52-110) or BC Instrument 52-509 Audit Committees.
• Failure to include disclosure in an issuer’s MD&A relating to disclosure controls and procedures and their direct effectiveness that is referred to in a certificate filed under MI 52-109.
• Financial statements of the reporting issuer, or the auditors’ report accompanying the financial statements, do not comply with the requirements of NI 51-102 Continuous Disclosure Obligations (NI 51-102), National Instrument 81-106 Investment Fund Continuous Disclosure (NI 81-106) or National Instrument 52-107 Acceptable Accounting Principles, Auditing Standards and Reporting Currency (NI 52-107).
• The reporting issuer has acknowledged that its financial statements, or the auditors’ report accompanying the financial statements, may no longer be relied upon.
• The reporting issuer’s AIF, MD&A, MRFP, information circular, or business acquisition reports do not contain information for each of the content items required by NI 51-102 or NI 81-106.
• The reporting issuer’s technical disclosure or other reports do not comply with the disclosure requirements of NI 43-101 or 51-101.
• Failure to pay a fee required by the Act or the regulations.
• Failure to comply with any other requirement related to continuous disclosure.