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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).

Reporting Issuer List

The Alberta Securities Commission (ASC) maintains a Reporting Issuer list that identifies:

  • reporting issuers in Alberta;
  • Alberta reporting issuers that have been noted in default of certain requirements of Alberta securities laws;
  • Alberta reporting issuers whose securities are the subject of a general cease trade order by the ASC;
  • Alberta reporting issuers whose securities are the subject of a general cease trade order by another securities regulatory authority in Canada.

    The ASC compiles this list at the close of business each business day. The ASC then posts the list on the website by 11 a.m. Mountain Time the following business day. To review further details of the Reporting Issuer list and default codes, please see ASC Policy 51-601 and default codes. Additional information may be obtained by:

    • reviewing the filings made by the reporting issuer on SEDAR;
    • contacting the reporting issuer directly;
    • reviewing the Commission website; or
    • reviewing the national cease trade order database located on the CSA website.

    Every effort is made to ensure the accuracy of information included in the reporting issuer's list; however, the accuracy of the list cannot be guaranteed. A reporting issuer that does not appear on this list or that has inappropriately been noted in default should contact the ASC promptly. If appropriate, the list will be revised as necessary.

    Please note: any list on this website with a date prior to September 11, 2006 represents a previously used weekly Defaulting Reporting Issuer list, which only lists reporting issuers the ASC identified as being in default of s. 141 of the Securities Act.

    Tip: The title of these documents contain the date, so use the Document Title Search to find a specific day or year. To search for 2006, 2005 and 2004 use .06, .05 and .04.