Reporting issuers list

General

Why do some reporting issuers not appear on the reporting issuers list?

Some reporting issuers do not have a SEDAR+ profile due to extended inactivity and so are not reflected on the reporting issuers list on SEDAR+. If you would like to confirm the reporting issuer status or default information of an issuer that does not appear on the reporting issuers list on SEDAR+, contact the respective securities regulatory authority for more information.

How can I perform analysis on the reporting issuers list?

The reporting issuers list can be exported into csv format in order to conduct analysis. Click on the ‘Export’ button above the ‘Filter by name or profile number’ field.

Will the CSA jurisdictions continue to publish their local reporting issuers lists on their local websites?

The approach may vary by jurisdiction, depending on whether a jurisdiction determines it is necessary to continue publishing its local reporting issuers list.

For information on how to access a CSA jurisdiction’s local reporting issuers list read Where can I find a CSA jurisdictions’ reporting issuers list?

The CSA jurisdictions may discontinue publishing their local reporting issuers lists at any time, if it is determined that their local lists are no longer required.

Where can I find historical records about an issuer’s reporting issuer status or default information?

SEDAR+ does not track historical reporting issuer status or default information. It only presents current information. For historical reporting issuer status or default information a user would need to refer to a local jurisdiction’s website, if such information is maintained on their website, or contact the securities regulatory authority directly.

Why does an issuer’s reporting jurisdictions on the reporting issuers list not always match the issuer’s reporting jurisdictions on its profile?

The reporting jurisdiction information on the reporting issuer list is entered and maintained separately by the securities regulatory authorities, while the reporting jurisdiction information on the profile is maintained by the issuer. This allows a securities regulatory authority to keep the reporting jurisdiction information on the reporting issuers list accurate and up-to-date even if the profile information is not correct.

Where can I find a CSA jurisdictions’ local reporting issuers lists?

If a CSA jurisdiction determines it is necessary to continue publishing its local reporting issuers list, it can be accessed at the following links:

• Alberta Securities Commission – Reporting Issuers List
• Autorité des marchés financiers – Reporting Issuers List
• British Columbia Securities Commission – Issuers in Default
• Government of Yukon – Reporting Issuers in Default
• Manitoba Securities Commission – Reporting Issuers List
• New Brunswick Securities Commission – Reporting Issuers List
• Newfoundland and Labrador Securities Commission – Reporting Issuers List
• Northwest Territories – Reporting Issuers List
• Nova Scotia Securities Commission – Defaulting Issuers
• Nunavut – Reporting Issuers in Default List
• Ontario Securities Commission – Reporting Issuers List
• PEI Securities Office – Reporting Issuers List
• Saskatchewan Financial Services Commission – Reporting Issuers Search

Where can I find a list of shareholder meeting dates?

Refer to the TMX list of shareholder meetings.

How often is the data on the reporting issuers list updated?

The CSA jurisdictions update their respective reporting issuer status and default information on SEDAR+ according to the following schedule:

Cease trade orders

If an enforcement department issues a cease trade order against a reporting issuer, will it be reflected on the reporting issuers list?

Yes. Cease trade orders issued by any ruling body and posted on SEDAR+ against a reporting issuer will trigger an ‘Active cease trade order’ flag on the reporting issuer’s profile.  The result is a ‘Yes’ appearing under the ‘Active cease trade order’ column on the reporting issuers list. This includes cease trade orders issued by an enforcement department of a securities regulatory authority. 

How can I distinguish a general cease trade order (CTO) vs a management cease trade order (MCTO) on the reporting issuers list?

If a reporting issuer is subject to a general CTO, such as a failure-to-file cease trade order, where all trading in the securities of the reporting issuer must cease, the reporting issuer will have a ‘Yes (OF)’ notation under the ‘Active cease trade order’ column on the reporting issuers list.

If a reporting issuer is subject to an MCTO or an order that only prohibits the reporting issuer from trading in certain securities, and other trading in the reporting issuer’s securities can continue, the reporting issuer will have a ‘Yes (BY)’ notation under the ‘Active cease trade order’ column on the reporting issuers list.

If a reporting issuer is subject to both a general CTO and an MCTO, the reporting issuer will have a ‘Yes (BY/OF)’ notation under the ‘Active cease trade order’ column on the reporting issuers list.

Does the reporting issuers list show the jurisdictions where a cease trade order has effect?

No. The reporting issuers list discloses whether a reporting issuer is subject to an active cease trade order (including management cease trade order) in any CSA jurisdiction.

A ‘Yes’ link will appear in the Active cease trade order column if an active cease trade order exists. Clicking on the ‘Yes’ link will take you to the Cease trade orders tab on the reporting issuer’s profile where you can view additional information about the cease trade orders. This tab will only disclose information about the jurisdictions that have issued the cease trade order, not the jurisdictions where the cease trade order has effect.

For more information, read How do I determine where a CTO has effect?