Securities Office

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Securities Office

What you'll get:

The Securities Office serves as a gatekeeper for firms and their representatives wishing to sell securities to the public.

Who delivers it:
Justice Legal Registries Note: This service is delivered by
Who it is for:
Businesses, Individuals
Who to contact:
Deputy Superintendent, Registration and Filings
Phone: 1-867-767-9305
Fax: 1-867-873-0243
How to get more info:
Phone FaxWebsite MailE-mail In-Person
How to get the service:
Website MailE-mail In-Person
Staff available in:
Yellowknife

Additional Info:

In addition, the Securities Office reviews prospectuses and applications for exemptive relief and takes enforcement action against persons and companies who have violated securities laws.

Under the Passport System of Securities Administration, decisions and approvals can be made by the securities regulators of other provinces and territories in Canada and have an immediate and binding effect in the Northwest Territories.

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