Title and statement of responsibility area
Title proper
General material designation
Parallel title
Other title information
Title statements of responsibility
Title notes
Level of description
Repository
Reference code
Edition area
Edition statement
Edition statement of responsibility
Class of material specific details area
Statement of scale (cartographic)
Statement of projection (cartographic)
Statement of coordinates (cartographic)
Statement of scale (architectural)
Issuing jurisdiction and denomination (philatelic)
Dates of creation area
Date(s)
-
1982-1992 (Creation)
- Creator
- Nova Scotia Securities Commission
Physical description area
Physical description
55 cm of textual records
Publisher's series area
Title proper of publisher's series
Parallel titles of publisher's series
Other title information of publisher's series
Statement of responsibility relating to publisher's series
Numbering within publisher's series
Note on publisher's series
Archival description area
Name of creator
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.
Custodial history
Scope and content
Consists of records created to support the granting of final clearance for the sale of security issues in Nova Scotia. 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 Records dating from 1989 to 1992 tend to be relating to applications for clearances that were withdrawn prior to the clearance being issued.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.
Notes area
Physical condition
Immediate source of acquisition
Arrangement
Language of material
- English
Script of material
Location of originals
Availability of other formats
Restrictions on access
Terms governing use, reproduction, and publication
See Nova Scotia Archives’ Services page for information on copying, reproduction, and use of materials.
Finding aids
See Series description.