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About the ASC

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Complain or Report

• File an Investor Complaint
• Office of the Whistleblower

Securities Law & Policy

• Act & Regulation
• Regulatory Instruments
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• Miscellaneous Notices
• Blanket Orders & Designation Orders

Issuer Regulation

• Oil & Gas
• Exempt Financing
• Exemption Orders
• Fees & Filing Deadlines
• Ongoing Disclosure
• Insider Reporting
• Reporting Issuer List
• Cease Trade Orders
• Decisions and Orders

Financial Innovation in the Capital Markets

Registrant & Market Regulation

• Registrant Toolkit
• How to Apply
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• Information about Exemptions
• Education
• Self-Regulatory Organizations
• Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories
• Regulatory Reform of Over-the-Counter Derivatives
• Exemption Orders
• Decisions & Orders

Small Business

• Raising Capital for Small Businesses
• Common Capital Raising Exemptions
• Considerations when Investing in a New Business