Office of the Superintendent of Securities
The Securities Act governs the sale and trading of securities in this jurisdiction. It sets out the requirements for individuals and companies to register as dealers or advisers selling securities to residents of the Northwest Territories. The Act also requires the filing of a prospectus prior to trading in any security unless the Superintendent grants an exemption from this requirement.
As a regulator, the primary mandate of the Securities Office is to protect the investing public. The Securities Office serves as a gatekeeper for firms and their representatives wishing to sell securities to the public. In addition, the Securities Office reviews prospectuses and applications for exemptive relief, takes enforcement action against persons and companies who have violated securities laws and provides various services to the public, such as:
- The filing of disclosure documents: once a document is accepted for filing, this information is available for review by members of the public.
- The registration of dealers, advisers and representatives of securities: the identity of the registrants and what they are registered to sell is public information available from our office.
- Responding to investor complaints and providing investor education.
Department of Justice
Government of the Northwest Territories
PO Box 1320
Yellowknife NT X1A 2L9
|Phone: (867) 920-3318||Fax: (867) 873-0243|