Legal Subject Guide with Legal Citation: Securities

BC's securities law. Gives the BC Securities Commission its powers & duties.

An organization of securities commissions around the world established to cooperate to promote high standards of regulation, to exchange information and to unite to establish standards and effective surveillance of international securities transactions.

A forum for securities regulators in Europe established to respond to the challenges of creating a European single market in financial services.

An international and voluntary organization devoted to investor protection whose membership consists of state, provincial, and territorial securities administrators in the United States, Puerto Rico, Canada, and Mexico.

The largest securities-industry self-regulatory organization in the United States.

U.S. securities regulatory and enforcement agency which administers and enforces federal securities laws in order to protect investors, and to maintain fair, honest, and efficient markets.

Includes disclosure standards (Part IV-Maintaining a Listing)

Links to the Filing Guide and TSX's Policy Statement on Timely Disclosure and Related Guidelines (June 2004) and Accompanying Notes (June 2004).

Part 3 (Policy 3.1-3.5) Continuous Disclosure and Corporate Governance.

CNSX is an innovative new stock exchange for trading the equity securities of emerging companies

Provides a new trading forum for listed companies that have fallen below TSX Venture's ongoing listing standards.

Specializes in financial derivatives market, clearing services and IT business solutions.

Canadian and U.S. markets are linked.

IIROC is the national self-regulatory organization that oversees all investment dealers and trading activity on debt and equity marketplaces in Canada.

The MFDA is the national self-regulatory organization (SRO) for the distribution of the Canadian mutual fund industry.

Its mission is to ensure that the financial sector professionals whose operations it governs act in the interest of consumers by offering them products and services that protect and stimulate the growth of their family assets.

(CIPF) protects clients' cash and securities held in an IDA, Toronto Stock Exchange, Canadian Venture Exchange or Montreal Exchange member firm if the firm becomes financially insolvent.

Is the issuer, clearinghouse, and guarantor of exchange-traded interest rate and equity derivative contracts traded in Canada.

Canada's financial intelligence unit, is an independent agency, reporting to the Minister of Finance, who is accountable to Parliament for the activities of the Centre. It was established and operates within the ambit of the Proceeds of Crime (money Laundering) and Terrorist Financing Act (PCMLTFA) and its Regulations.

The Canadian Coalition for Good Governance promotes good governance practices in Canadian public companies and the improvement of the regulatory environment to best align the interests of boards and management with those of their shareholders, and to promote the efficiency and effectiveness of the Canadian capital markets.

A filing system developed for the Canadian Securities Administrators.

System for Electronic Disclosure by Insiders (SEDI) includes reports on securities holdings and trading of insiders of Canadian public companies.

The National Registration Database (NRD) is an electronic database containing registration information for dealers, underwriters, advisers and individuals registered under securities and commodity futures legislation in Canada. NRD is also a system used by applicants and registrants to electronically submit certain applications, notices and other registration information to securities regulatory authorities and self-regulatory organizations.

EDGAR includes disclosure documents that public companies are required to file with the U.S. Securities and Exchange Commission.

You can determine if a company has been issued a CTO by a provincial securities commission, or you can check the status of an existing CTO, by searching the Company Cease Trade Order Database. The database contains the names of all companies that issue securities whose securities have been recently or previously cease-traded by a securities commission in Canada in the regions indicated. The Other CTO database contains individuals or companies who have been ordered to cease trading in certain circumstances.