COVID-19

About the ASC

• ASC Strategic Plan
• Organizations the ASC Collaborates With
• Organization & governance
• ASC Members
• Executive Management
• Advisory Committees
• Careers
• Career Opportunities
• Hear From Our People
• Why Choose the ASC
• New Employees & Students
• FAQs
• Accessing Records
• Frequently Asked Questions
• Terms used in this website
• Contact Us

Complain or Report

• File an Investor Complaint
• Office of the Whistleblower

Securities Law & Policy

• Act & Regulation
• Regulatory Instruments
• Regulatory Updates
• Authorizations & Memorandums of Understanding
• Blanket Orders & Designation Orders

Issuer Regulation

• Reporting Issuer List
• Oil & Gas
• Financing Dashboards
• Exempt Financing
• Exemption Orders
• Fees & Filing Deadlines
• Participation Fees
• Fee Calculator for Reports of Exempt Distribution
• Refund Request Form
• FAQs
• Ongoing Disclosure
• Insider Reporting
• Cease Trade Orders
• Decisions and Orders

Financial Innovation in the Capital Markets

Registrant & Market Regulation

• Alberta-Based Registrant List
• Registrant Toolkit
• How to Apply
• Frequently Used Forms & Fees
• Reference Resource for Exempt Market Dealers
• Information about Exemptions
• Client Focused Reforms
• Client Relationship Manager Advising Representatives
• Education
• Research
• 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 Money by Selling Securities
• Key Terms
• Frequently Asked Questions
• Going Public
• Intro to Raising Capital Using Prospectus Exemptions
• Common Capital Raising Prospectus Exemptions
• Considerations when Investing