Office of the Superintendent of Securities

Reporting Issuer List

The Northwest Territories Securities Office maintains a list of reporting issuers in the Northwest Territories.  A reporting issuer in the Northwest Territories can be deemed as not being in default if it is not in default in its principal jurisdiction; does not appear on the Canadian Securities Administrator's list in respect of Cease Trade Orders; and does not appear on the Default List of the Northwest Territories Securities Office.

 

NOTE REGARDING EXCHANGE LISTED SECURITIES:  The definition of reporting issuer includes issuers that have "at any time had securities listed on an exchange that is designated for the purpose of this definition under section 6 or in accordance with the rules".   The Northwest Territories has not designated any such exchange for the purpose of the definition of reporting issuer.

Further information regarding reporting issuers is also available by:

  • consulting the documents filed by the reporting issuer on SEDAR
  • contacting the issuer directly;
  • consulting the database of cease trade orders (CTOs) posted on the website of the Canadian Securities Administrators.

For more information regarding issuer default you can also consult the Canadian Securities Administrators Notice 51-322: Reporting Issuer Default

Considerable effort is made to ensure the accuracy of information included in the reporting issuer list; however, the accuracy of the list cannot be guaranteed. A reporting issuer that does not appear on this list or an issuer that is not reporting that does appear on the list should contact the Northwest Territories Securities Office promptly.

For more information, please contact:

Office of the Superintendent of Securities

Postal Address
Securities Office
Department of Justice
Government of the Northwest Territories
PO Box 1320
Yellowknife NT X1A 2L9
Canada 		Courier Address
Securities Office
Department of Justice
Government of the Northwest Territories
1st Floor, Stuart M. Hodgson Building
5009-49th Street
Yellowknife, NWT X1A 2L9
Canada
Phone: (867) 920-3318 Fax: (867) 873-0243