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600, 250 - 5th St SW, Calgary, AB T2P 0R4
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Financial Innovation in the Capital Markets


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Learn more about what the ASC is doing to support market participants and investors.

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Copyright © Alberta Securities Commission 2021
Alberta Securities Commission Logo
checkfirst
CAREERS
CONTACT
CHECK REGISTRATION CSA/ACVM
COVID-19
  • COVID-19
About the ASC
  • 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
  • Complain or Report
  • File an Investor Complaint
  • Office of the Whistleblower
Securities Law & Policy
  • Securities Law & Policy
  • Act & Regulation
  • Regulatory Instruments
  • Regulatory Updates
  • Authorizations & Memorandums of Understanding
  • Miscellaneous Notices
  • Blanket Orders & Designation Orders
Issuer Regulation
  • Issuer Regulation
  • 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
  • Reporting Issuer List
  • Cease Trade Orders
  • Decisions and Orders
Financial Innovation in the Capital Markets
  • Financial Innovation in the Capital Markets
Registrant & Market Regulation
  • Registrant & Market Regulation
  • 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
  • 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
Enforcement
  • Enforcement
  • ASC Proceedings
  • Appearing Before the ASC
  • Electronic Document Guidelines
  • Remote Hearing Guidelines
  • Status of Current Proceedings
  • Other proceedings
  • Unpaid Orders
  • Notices, Decisions & Orders
  • File an Investor Complaint
  • Office of the Whistleblower
  • Automatic Reciprocation
News & Publications
  • News & Publications
  • News Releases
  • Reports & Publications
  • Investor Alerts
  • Events & Presentations
  • Weekly Updates

Learn more about what the ASC is doing to support market participants and investors.

Learn More
        
Copyright & Disclaimer
Privacy Statement
Copyright © Alberta Securities Commission 2021

Frequently Used Forms and Fees

Registrant & Market Regulation
  • Registrant Toolkit
    • How to apply
    • Frequently used forms and fees
    • Reference Resource for EMDs
    • Information about exemptions
    • Client Focused Reforms
    • CRM 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 and Orders
  • Investor Calling Program
 

Forms

 31-103F1          Calculation of Excess Working Capital
 31-103F2  Submission to Jurisdiction and Appointment of Agent for Service
 31-103F3  Use of Mobility Exemption
 31-103F4

 Net Asset Value Adjustments
 Appendix B – Subordination Agreement

 33-109F5  Change of Registration Information
 33-109F6  Firm Registration
   Revised Suppression of Terrorism and UN Sanctions Reporting Form (Published 22 Feb 2018)

See all current Regulatory Instruments

Regulatory and NRD User Fees

ASC Staff will contact the firm by telephone or email upon receipt of the application package and when the firm has been set up in pending state on NRD. The firm will be requested to resubmit fees through the firm’s Electronic Fund Transfer account with CDS/NRD. For more information on fees, refer to the links below:

See NRD Fees

See Regulatory Fees

Contact

600, 250 - 5th St SW,
Calgary, AB T2P 0R4

(403) 297-6454

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