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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.​​​​

For exemptions reported in 2018 and processed by the ASC, please see the table below.

For exemptions reported since 2007 and processed by the ASC, please open this file.​​​​

  
  
  
  
  
AVENUE LIVING AGRICULTURAL LAND TRUST2/4/2019NI 45-106 2.501/23/2019$153,200.00
AVENUE LIVING REAL ESTATE CORE TRUST2/4/2019NI 45-106 2.3 , 2.9(1) , 2.9(2) , 2.9(2.1)01/24/2019$43,000.00
CALVERT HOME MORTGAGE INVESTMENT CORPORATION2/4/2019NI 45-106 2.301/25/2019 - 01/31/2019$796,192.68
CAPLINK FINANCIAL CORPORATION2/4/2019NI 45-106 2.302/04/2019$275,250.00
FRIEDBERG MERCANTILE GROUP LTD.2/4/2019NI 45-106 2.301/18/2019$262,754.46
FRIEDBERG MERCANTILE GROUP LTD.2/4/2019NI 45-106 2.301/25/2019$443,351.50
PARAGON CAPITAL CORP. INC.2/4/2019NI 45-106 2.3 , 2.502/01/2018$965,000.00
VENTRIPOINT DIAGNOSTICS LTD.2/4/2019NI 45-106 2.301/25/2019$245,000.00
AMERICAN CREEK RESOURCES LTD.2/1/2019NI 45-106 2.3 , 2.501/24/2019$100,000.00
BMW CANADA INC.2/1/2019NI 45-106 2.301/28/2019$12,997,790.00
CEDAR PEAKS MANAGEMENT CORP.2/1/2019NI 45-106 2.302/01/2019$0.00
FREEDOM CANNABIS INC.2/1/2019NI 45-106 2.301/24/2019$2,217,004.80
GREEN SKY LABS INC.2/1/2019NI 45-106 2.301/22/2019$519,750.00
PARAGON CAPITAL CORP. INC.2/1/2019NI 45-106 2.3 , 2.501/29/2018$2,115,000.00
SOLARVEST BIOENERGY INC.2/1/2019NI 45-106 2.301/23/2019 - 01/31/2019$270,000.00
TREZ CAPITAL PRIME TRUST2/1/2019NI 45-106 2.301/28/2019$51,000.00
TREZ CAPITAL YIELD TRUST2/1/2019NI 45-106 2.9(2.1)01/24/2019$15,000.00
TREZ CAPITAL YIELD TRUST US (CANADIAN $)2/1/2019NI 45-106 2.9(2.1)01/25/2019$81,000.00
TRIUMPH REAL ESTATE INVESTMENT FUND II2/1/2019NI 45-106 2.9(2.1)01/23/2019$30,000.00
URBANSTAR HORSE CREEK DEVELOPMENT PH2 LTD.2/1/2019NI 45-106 2.301/30/2019$0.00
VICTORY RESOURCES CORPORATION2/1/2019NI 45-106 2.301/29/2019$75,000.00
ACUITY POOLED HIGH INCOME FUND1/30/2019NI 45-106 2.301/02/2018 - 12/31/2018$4,000.00
ALITIS MORTGAGE PLUS POOL1/30/2019NI 45-106 2.304/27/2018 - 12/31/2018$650,000.00
BLACK CREEK GLOBAL LEADERS CORPORATE CLASS1/30/2019NI 45-106 2.305/01/2018 - 12/31/2018$66,645.50
BLACKROCK BALANCED MODERATE INDEX DC FUND1/30/2019NI 45-106 2.301/05/2018 - 12/31/2018$1,379,381.36
BLACKROCK CANADA ALL GOVERNMENT BOND INDEX FUND1/30/2019NI 45-106 2.302/27/2018 - 05/01/2018$277,645,098.09
BLACKROCK CANADA CREDIT-SCREENED BOND FUND1/30/2019NI 45-106 2.302/27/2018 - 04/09/2018$271,384,480.27
BLACKROCK CANADA LEVERED LONG PROVINCIAL BOND INDEX FUND1/30/2019NI 45-106 2.301/31/2018 - 11/30/2018$283,291.27
BLACKROCK CANADA LONG BOND INDEX FUND1/30/2019NI 45-106 2.301/12/2018 - 12/31/2018$124,858,930.46
BLACKROCK CANADA UNIVERSE BOND INDEX FUND1/30/2019NI 45-106 2.301/02/2018 - 12/31/2018$129,974,640.17
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