Reporting Issuer List

Individuals seeking information relating to a reporting issuer’s status may refer to the Reporting Issuer List below. The Commission maintains a reporting issuer list that identifies:
  • reporting issuers in New Brunswick;
  • New Brunswick reporting issuers that have been noted in default of certain requirements of the Securities Act; and
  • New Brunswick reporting issuers whose securities are the subject of a general cease trade order by the Commission.

Please read Local Policy 51-601 for further details.

The Reporting Issuer List is compiled on Friday of each week, and will appear on this website by the following second business day.

New Brunswick has adopted statutory reciprocal order provisions that provide for the automatic reciprocation of any order imposing sanctions, conditions, restrictions or requirements issued by another CSA regulator based on a finding or admission of a contravention of securities legislation or conduct contrary to the public interest.

 

FCNB will not issue a separate cease trade order (CTO) or variation, amendment or revocation of the CTO in these circumstances. As a result, the absence of an order against an issuer or person on the CTO Database in the jurisdiction with the statutory reciprocal order provision does not mean that trading for that issuer or person is not prohibited or restricted in that jurisdiction.

 

A CTO has effect in a jurisdiction that has a statutory reciprocal order provision even if the issuer is not reporting there. The reporting issuer list will be updated to reflect orders issued by FCNB. For cease trade orders issued by other securities regulatory authorities in Canada that may be effective in New Brunswick pursuant to section 184.1(2) of the Securities Act, refer to the national cease trade order database on the Canadian Securities Administrators website at www.csa-acvm.ca.


Reporting Issuer List

20 October 2017

 

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