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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada, with the exception of those registered solely with the Ontario Securities Commision (OSC).

Exempt Financings

In certain situations, it may not be necessary for a company to prepare a prospectus to raise capital. Where appropriate, a company can rely on an exemption from the prospectus requirements, financing through what is called a private placement. The majority of financings carried out in the Alberta market are through private placements. Read more about commonly used exemptions.

A report of exempt distribution must be filed within 10 days of the trade. A set of conditions called "resale rules" apply to private placements, which can include a hold period on the securities.

Note: In September 2005, Form 45-103F4 was replaced by Form 45-106F1 - Report of Exempt Distribution. (Previously, Form 45-103F4 replaced the Form 20 in June 2003).

Our website is updated every Friday afternoon to reflect any Exempt Financing transactions filed and processed with us. Our expected processing time is 10 business days. During the update, full searching abilities may not be available.

Certain information regarding exempt financing applications is available to the public upon request. To do so, click here.​​​​

  
  
  
  
  
ANTRIM BALANCED MORTGAGE FUND LTD.6/29/2018NI 45-106 2.9(2.1)06/20/2018 - 06/26/2018$750,268.00
DENTALCORP OVERBITE LTD.6/29/2018NI 45-106 2.306/29/2018$99,993.00
LIBERTY INVESTMENTS LTD.6/29/2018NI 45-106 2.306/26/2018$50,000.00
NORTHERN ALLIANCE FINANCIAL CORPORATION6/29/2018NI 45-106 2.306/20/2018$4,264.94
PARAGON CAPITAL CORP. INC.6/29/2018NI 45-106 2.506/25/2018$0.00
RHOCORE INCOME TRUST6/29/2018NI 45-106 2.306/25/2018$0.00
RYDE FINANCIAL LTD.6/29/2018NI 45-106 2.3 , 2.506/29/2018$1,900,437.50
SKYLINE APARTMENT REAL ESTATE INVESTMENT TRUST6/29/2018NI 45-106 2.306/19/2018$60,000.00
ADVENTUS OPPORTUNITY FUND6/28/2018NI 45-106 2.306/18/2018 - 06/22/2018$553,943.60
AGRIOS GLOBAL HOLDINGS LTD.6/28/2018NI 45-106 2.306/20/2018$50,000.00
CEDAR PEAKS MANAGEMENT CORP.6/28/2018NI 45-106 2.306/18/2018$0.00
CEDAR PEAKS MANAGEMENT CORP.6/28/2018NI 45-106 2.303/05/2018 - 06/18/2018$412,500.00
CENTRAL EUROPEAN PETROLEUM LTD.6/28/2018NI 45-106 2.306/18/2018 - 06/21/2018$507,437.00
HIKU BRANDS COMPANY LTD.6/28/2018NI 45-106 2.306/22/2018$600,000.00
HUDSON RESOURCES INC.6/28/2018NI 45-106 2.306/20/2018$500,949.90
INFINITY FINANCIAL CORP.6/28/2018NI 45-106 2.506/22/2018$35,000.00
MACMHAOL-ONFAIDH (MACALONEY) BREWERS & DISTILLERS LTD.6/28/2018NI 45-106 2.9(2.1)06/25/2018$10,075.00
MAJESTA MINERALS INC.6/28/2018NI 45-106 2.306/28/2018$184,367.00
SUNDIAL GROWERS INC.6/28/2018NI 45-106 2.306/20/2018$999,999.00
SUNDOG OIL & GAS INC.6/28/2018NI 45-106 2.3 , 2.506/25/2018$436,999.65
92 RESOURCES CORP.6/27/2018NI 45-106 2.1206/18/2018$50,000.00
CANALASKA URANIUM LTD.6/27/2018NI 45-106 2.306/20/2018$0.00
GREEN THUMB INDUSTRIES INC.6/27/2018NI 45-106 2.506/06/2018$15,000.00
JIULIAN RESOURCES INC.6/27/2018NI 45-106 2.306/15/2018$21,000.00
KV MORTGAGE FUND LTD.6/27/2018NI 45-106 2.3 , 2.9(2.1)06/19/2018$310,000.00
LIBERTY INVESTMENTS LTD.6/27/2018NI 45-106 2.306/21/2018$50,000.00
NEW AGE METALS INC.6/27/2018NI 45-106 2.506/19/2018$20,000.00
NORTH ARROW MINERALS INC.6/27/2018NI 45-106 2.306/19/2018$546,400.00
PREVENT HEALTH CARE INTERNATIONAL LIMITED6/27/2018NI 45-106 2.306/14/2018$585,000.00
QUESTRADE, INC.6/27/2018NI 45-106 2.306/20/2018 - 06/25/2018$182,698.54
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