The Securities Act governs the sale and trading of securities in this jurisdiction. It sets out the requirements for individuals and companies to register as dealers or advisers selling securities to residents of the Northwest Territories. The Act also requires the filing of a prospectus prior to trading in any security unless the Registrar grants an exemption from this requirement. 

As a regulator, the primary mandate of the Securities Registry is to protect the investing public. The Registry serves as a gatekeeper for firms and their salespersons wishing to sell securities to the public. In addition, the Registry reviews prospectuses and applications for exemptive relief, takes enforcement action against persons and companies who have violated securities laws and provides various services to the public, such as:

• The filing of disclosure documents: once a document is accepted for filing, this information is available for review by members of the public.
• The registration of dealers, advisers and salespersons of securities: the identity of the registrants and what they are registered to sell is public information available from our office.
• Responding to investor complaints and providing investor education.

For more information, please contact:

Office of the Registrar of Securities

Postal Address Securities Registry Department of Justice Government of the Northwest Territories PO Box 1320 Yellowknife NT X1A 2L9 Canada	Courier Address Securities Registry Department of Justice Government of the Northwest Territories 1st Floor, Stuart M. Hodgson Building 5009-49th Street Yellowknife, NWT X1A 2L9 Canada
Phone: (867) 920-3318	Fax: (867) 873-0243