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Law & Policy
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The New Brunswick Securities Commission is responsible for the administration of New Brunswick’s securities laws and has authority to make rules for the purposes of carrying out the Securities Act , Securities Act Amendments 2007 (Bill 62), Securities Act Amendments 2008 (Bill 52), Securities Act (consolidated).
New Brunswick’s securities laws consist of the Securities Act itself, any rules or regulations made under the Securities Act , and any decisions made by the Commission or its Executive Director. The New Brunswick Securities Commission also creates policy statements which outline the Commission’s viewpoint and practices related to the financial markets in New Brunswick.
The Securities Act is the statute that gives the New Brunswick Securities Commission its powers and duties and is the basis for New Brunswick’s securities laws. Securities regulations are created by the Lieutenant-Governor-in-Council. The General Regulation establishes the process the News Brunswick Securities Commission must follow to create rules and conduct hearings.
Regulatory Instruments contains a list of the different types of Instruments used to administer the requirements of New Brunswick securities laws.
By-Laws of the Commission includes the by-laws which govern the administration, management and conduct of NBSC affairs.
Delegations, Recognitions and MOUs contains information about the delegations of powers or duties, and the Memorandums of Understanding the Commission may enter into.
Miscellaneous Notices are published to keep market participants informed of important new developments in securities regulation.
Visit Proposed Rules and Policies to comment on Rules and Policies that are out for public comment.
Rules, Policies, Orders, Notices contains rules, instruments, policies, and other documents, both proposed and final.
The Self-Regulatory Organization (SRO) section contains information about SROs that are recognized by the Commission as well as Instruments out for public comment, Instruments in force, and Public Comments under review pertaining to SROs.
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