Exemptions & Commission Orders
The exemptions branch is responsible for reviewing and advising the Commission with respect to applications for exemptions from various requirements of securities legislation, including the registration and prospectus requirements.
This section contains local orders, rulings and decisions issued by the Commission in connection with applications made under the Securities Act (Nova Scotia) and decisions made under the Mutual Reliance Review System (MRRS) where the Commission acted as the principal regulator.
For decisons made under MRRS where the Commission is not the principal regulator, please see our Links Page which contains links to the websites of the Securities Commission of the other jurisdictions.
Decisions made by the Commission resulting from an enforcement hearing or settlement agreement are published under Enforcement Proceedings on the Compliance & Enforcement section of this website.
Applications for exemptive relief should be forwarded to the attention of Shirley Lee.
Shirley Lee, Securities Analyst. Phone: (902) 424-5441 Facsimile: (902) 424-3624 leesp@gov.ns.ca
Beverley R. Hiscock, Secretary to the Chairman. Phone: (902) 424-5344 Facsimile: (902) 424-3624 hiscocbr@gov.ns.ca