Registry Office (SEC)
As a regulator, the primary mandate of the Registry Office is to assist and supervise trading companies. The Registry serves as a gatekeeper for firms and their salespersons intending to sell securities to the public. The Registry reviews prospectuses and applications for exemptive relief, takes 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.
The Securities Act is the governing law regulating the sale and trading of securities in the United States securities markets. It defines the requirements for registration and providing services for individual and corporate entities.