File a Complaint or Report an Investment Scam
Important: The Nova Scotia Securities Commission regulates activities involving securities and derivatives that occur in Nova Scotia or that involve Nova Scotian residents. Unless there is a connection to Nova Scotia, the Commission does not have the legal authority to intervene.
Are you concerned about how your investments or securities have been handled? Not sure about the company you invested in?
Enforcement Proceedings & Orders
The Commission has broad powers to enforce Nova Scotia securities laws.
We investigate allegations of misconduct in the capital markets and can initiate proceedings against individuals or companies suspected of violating securities law or acting contrary to the public interest. These enforcement proceedings are heard before the Commission.
Corporate Finance
The Corporate Finance branch regulates issuers selling securities and administers the disclosure system in Nova Scotia.
A significant form of disclosure is the prospectus. The prospectus is required to be filed and receipted in accordance with Nova Scotia securities laws before issuers are permitted to sell securities in Nova Scotia, subject to the availability of exemptions.
Registration & Compliance
Registration and compliance best practices and standards are the cornerstone of securities regulation.
The NSSC’s registration and compliance sections work hard to ensure that firms and individuals are registered to sell securities and that they are complying with securities laws in order to protect investors.
Securities Law & Policy
This section contains Nova Scotia securities legislation, regulation, rules, policies, and general orders. The Commission administers the Securities Act and has the authority to make legally binding rules.
Proposed rules and policies are published for public comment during their development. All proposed rules must be delivered to the Minister of Finance for review. Ministerial review is not required for policies.
For Investors
Jurisdictional Notice
The Nova Scotia Securities Commission regulates activities involving securities and derivatives that occur in Nova Scotia or that involve Nova Scotian residents.
