Jump to Content

Home
  • Toll Free: 1-855-424-2499
  • Contact Us
  • NSSC Events / Hearings Calendar
  • NSSC Fees
  • Government of Nova Scotia
  • Home
  • For Investors
    • File a Complaint or Report an Investment Scam
    • Investor Education Resources
    • Investor Education Videos
    • Investing Information for Seniors
    • Investing Information for Young Investors
    • Blog: Before You Invest
      • Before You Invest Blog Directory
    • Investment Cautions and Alerts
  • Securities Law & Policy
    • Securities Act
    • Instruments, Rules, Policies, Blanket Orders & Notices
    • General Rules
    • CEDC Regulations
    • Memoranda of Understanding
    • Exemption Orders
    • NSSC Fees
    • Director's Decisions
  • Registration & Compliance
    • Registration
    • Delegation to CIRO of Registration Function for Investment Dealers and Mutual Fund Dealers - FAQ
    • Check Registration
    • Compliance
    • Exchanges, Alternative Trading Systems, Clearing Houses & Trade Repositories
    • FRPA Registration Updates
    • Registered Crypto Asset Trading Platforms
  • Issuer Regulation
    • Issuer List
    • CTO Database (SEDAR+)
    • CEDIFs
    • List of CEDIFs
    • Continuous Disclosure Obligations
    • Filing Documents Electronically
    • Crowdfunding
      • Start-up Crowdfunding Exemption
      • Crowdfunding Exemption MI 45-108
    • Raising Capital in Nova Scotia for Small & Mid-Size Businesses
    • SEDAR+
  • Enforcement Proceedings & Orders
    • Enforcement Proceedings
    • NSSC Events / Hearings Calendar
    • Sanction Payment Status Report
    • Automatic Reciprocation
    • Investment Cautions and Alerts
  • Media Releases & Current Updates
    • Media Releases
    • Media Kit
    • NSSC Events / Hearings Calendar
    • Employment Opportunities
  • Orders (A-Z)
Blanket Order
Expired on Jan. 19, 2015 [BO 31-529]
Blanket Order
Expired on Sept. 28, 2011 [BO 31-516]
Blanket Order
Expired Sept. 28, 2011 [BO 31-517]
CSA Notice
Guidance as to the Scope of the International Dealer Exemption in relation to Foreign-Currency Fixed Income Offerings by Canadian Issuers [CSA Notice 31-346]
CSA Notice
Guidance for Portfolio Managers for Service Arrangements with IIROC Dealer Members [CSA Notice 31-347]
CSA Notice
Guidance for Portfolio Managers Regarding Online Advice
CSA Notice
Guidance on Compliance Consultants Engaged by Firms Following a Regulatory Decision [CSA Notice 31-356]
CSA Notice
Guidance on Registration Requirements for Chief Compliance Officers and Request for Comments. Comment period ends Sept. 30, 2020. [CSA Notice 31-358]
CSA Notice
Guidance on Small Firms Compliance and Regulatory Obligations [CSA Notice 31-350]
CSA Notice
Guidance Relating to the Registration Obligations of Mortgage Investment Entities [CSA Notice 31-323]
CSA Notice
Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M Complying with requirements regarding the Ombudsman for Banking Services and Investments
NSSC Notice
Local Amendments to NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and Local Changes to CP 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
CSA Notice
Monthly Suppression of Terrorism and Canadian Sanctions Report
Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
CSA Notice
Monthly Suppression of Terrorism and Canadian Sanctions Reporting Obligations
National Registration Database [Rule 31-102]
CSA Notice
Next Steps in the CSA’s Work to Enhance the Obligations of Advisers, Dealers and Representatives Toward Their Clients [CSA Notice]
Rule
NI 31-103 Consolidated Version (Feb. 1, 2017)
Rule
NI 31-103 Unofficial Consolidation and CP as of May 1, 2014
CSA Notice
Notice of Amendments - Custody-Related Amendments

Pages

  • « first
  • ‹ previous
  • 1
  • 2
  • 3
  • 4
  • 5
  • next ›
  • last »

Document Type

  • CSA Notice (61) Apply CSA Notice filter
  • Blanket Order (17) Apply Blanket Order filter
  • Rule (13) Apply Rule filter
  • Main Rule (6) Apply Main Rule filter
  • NSSC Notice (2) Apply NSSC Notice filter
  • Other (1) Apply Other filter

Rule

  • 31-103 (34) Apply 31-103 filter
  • 33-109 (6) Apply 33-109 filter
  • 31-352 (3) Apply 31-352 filter
  • 31-361 (2) Apply 31-361 filter
  • 31-930 (2) Apply 31-930 filter
  • 31-101 (1) Apply 31-101 filter
  • 31-314 (1) Apply 31-314 filter
  • 31-317 (1) Apply 31-317 filter
  • 31-323 (1) Apply 31-323 filter
  • 31-324 (1) Apply 31-324 filter
  • 31-337 (1) Apply 31-337 filter
  • 31-339 (1) Apply 31-339 filter
  • 31-341 (1) Apply 31-341 filter
  • 31-342 (1) Apply 31-342 filter
  • 31-343 (1) Apply 31-343 filter
  • 31-344 (1) Apply 31-344 filter
  • 31-345 (1) Apply 31-345 filter
  • 31-346 (1) Apply 31-346 filter
  • 31-347 (1) Apply 31-347 filter
  • 31-351 (1) Apply 31-351 filter
  • 31-353 (1) Apply 31-353 filter
  • 31-354 (1) Apply 31-354 filter
  • 31-355 (1) Apply 31-355 filter
  • 31-356 (1) Apply 31-356 filter
  • 31-357 (1) Apply 31-357 filter
  • 31-358 (1) Apply 31-358 filter
  • 31-359 (1) Apply 31-359 filter
  • 31-360 (1) Apply 31-360 filter
  • 31-363 (1) Apply 31-363 filter
  • 31-364 (1) Apply 31-364 filter
  • 31-514 (1) Apply 31-514 filter
  • 31-516 (1) Apply 31-516 filter
  • 31-517 (1) Apply 31-517 filter
  • 31-523 (1) Apply 31-523 filter
  • 31-524 (1) Apply 31-524 filter
  • 31-526 (1) Apply 31-526 filter
  • 31-527 (1) Apply 31-527 filter
  • 31-528 (1) Apply 31-528 filter
  • 31-529 (1) Apply 31-529 filter
  • 31-534 (1) Apply 31-534 filter
  • 31-535 (1) Apply 31-535 filter
  • 31-536 (1) Apply 31-536 filter
  • 31-537 (1) Apply 31-537 filter
  • 31-538 (1) Apply 31-538 filter
  • 33-305 (1) Apply 33-305 filter
  • 33-317 (1) Apply 33-317 filter
  • 33-318 (1) Apply 33-318 filter
  • 33-319 (1) Apply 33-319 filter
  • 33-320 (1) Apply 33-320 filter
  • 33-404 (1) Apply 33-404 filter

Rule Category

  • (-) Remove 3 - Registration, Compliance and Related Matters filter 3 - Registration, Compliance and Related Matters

Document Date

  • 2017 (13) Apply 2017 filter
  • 2016 (10) Apply 2016 filter
  • 2020 (10) Apply 2020 filter
  • 2021 (8) Apply 2021 filter
  • 2014 (7) Apply 2014 filter
  • 2018 (7) Apply 2018 filter
  • 2019 (7) Apply 2019 filter
  • 2023 (6) Apply 2023 filter
  • 2009 (5) Apply 2009 filter
  • 2010 (5) Apply 2010 filter
  • 2015 (5) Apply 2015 filter
  • 2011 (4) Apply 2011 filter
  • 2022 (4) Apply 2022 filter
  • 2024 (3) Apply 2024 filter
  • 2013 (2) Apply 2013 filter
  • 2000 (1) Apply 2000 filter
  • 2003 (1) Apply 2003 filter
  • 2012 (1) Apply 2012 filter
  • 2025 (1) Apply 2025 filter

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
Tweets by @NSSCommission

Securities Law & Policy

  • Instruments, Rules & Policy
  • Legislation
  • NSSC Fees

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
  • Disclaimer
  • Privacy
  • Terms of Use

Province of Nova Scotia - Canada

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

Comments and/or questions about this website?

  • 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.