Securities Law



Canadian Securities Administrators

The Canadian Securities Administrators (CSA) is a forum for the 13 securities regulators of Canada's provinces and territories to coordinate and harmonize regulation of the Canadian capital markets. Site provides links to North American stock exchanges sites, Canadian and international securities regulatory bodies, and related financial and investment organizations.

New Brunswick Securities Commission

"The New Brunswick Securities Commission (NBSC) is the Crown Corporation established by the Province of New Brunswick in 2004 to regulate the securities industry and ensure the efficiency and integrity of capital markets in New Brunswick. Our mandate is to protect investors from unfair, improper or fraudulent practices, and to foster fair and efficient capital markets and confidence in capital markets."

North American Securities Administration Association

Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico.

Ontario Securities Commission

The Ontario Securities Commission administers and enforces securities legislation in the Province of Ontario. Its mandate is to provide protection to investors from unfair, improper and fraudulent practices and to foster fair and efficient capital markets and confidence in their integrity.

Securities Class Action Clearinghouse

Provides detailed information relating to the prosecution, defense, and settlement of U.S. federal class action securities fraud litigation. Includes an Index of Filings of 1659 issuers that have been named in U.S. federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995. Also contains copies of more than 2000 complaints, briefs, filings, and other litigation-related materials filed in these cases. Maintained by the Stanford University Law School.

SEDAR

Publicly accessible information and documents filed electronically with various Canadian securities commissions by Canadian public companies, mutual funds and third parties. Includes annual reports, annual information forms, management proxy circulars, material change reports, etc. Maintained on behalf of the Canadian Securities Administrators.

U.S. Securities and Exchange Commission

Website of SEC, the agency whose primary mission is to protect investors and maintain the integrity of the securities markets in the U.S. Provides searchable access to EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, that performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others (such as mutual funds) who are required by law to file forms with the SEC. Also has links to securities laws and regulations.