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The national registration search contains the names of all individuals and firms who are registered to sell securities in Canada.

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Designation Orders

Designation Orders are issued for the purpose of ensuring appropriate treatment of a particular matter that falls within Alberta securities laws. Most Designation Orders are made pursuant to section 10 of the Securities Act (Alberta), however, certain Rules also contemplate the issuance of Designation Orders. Current Designation Orders are linked below and can also be found, where relevant, in the Regulatory Instruments section of this website.

ASC Designation Orders currently in effect:

Designation of a Crowdfunding Offering Document under Multilateral Instrument 45-108 Crowdfunding as an Offering Memorandum

Status:
Effective 31 October 2016
Certain products designated to be securities re certain orders and undertaking s10(1)

Status:
Effective 31 Oct 2014
Certain mortgage investment entities designated not to be non-redeemable investment funds (except for registration)

Status:
Effective 22 Sep 2014

Blanket Orders

Blanket Orders are issued for the purpose of providing mass exemptive relief (as opposed to providing an exemption for one individual or applicant) from a regulatory requirement. Current Blanket Orders are linked below and can also be found in the Regulatory Instruments section of this website. Blanket Orders that have expired or been revoked can also found in the Regulatory Instruments section, either on the history tab of the rule they affected, or on their own page.

ASC Blanket Orders currently in effect:

81-504 Mutual Fund Audits

Status:
Effective 07 June 2017
94-501 Exempting certain counterparties from mandatory clearing of derivatives

Status:
Effective 04 Oct 2017
91-507 Over-the-Counter Trades in Derivatives

Status:
Effective 01 Feb 2017
96-504 Relief from Data-Dissemination Deadline under MI 96-101

Status:
Effective 20 Jan 2017
96-502 Exemption from Certain Derivatives Reporting Requirements under MI 96-101 Trade Repositories and Derivatives Data Reporting for Certain Financially-Settled Electricity-Based Derivatives

Status:
Effective 22 Nov 2016
45-518 Form 45-106F1 - Exemption Regarding Certain Purchaser Information

Status:
Effective 30 Jun 2016

View Related Documents: 45-320
96-501 Exemptions from certain derivatives reporting requirements under MI 96-101 Trade Repositories and Derivatives Data Reporting

Status:
Effective 17 Jun 2016

View Related Documents: 96-101
24-504 Exemption from Clearing Agency Recognition

Status:
Effective 31 Oct 2015
31-531 Exemptions from Certain CRM2 Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Status:
Effective 15 Jun 2015

View Related Documents: 31-103
51-514 Venture Issuers with Securities Listed on "Bolsa de Santiago, Venture"

Status:
Effective 31 Mar 2015
31-530 Trades and Advice for US-Resident Clients: Dealer and Adviser Registration Exemptions

Status:
Effective 26 Mar 2015

View Related Documents: 31-103
45-514 Certain Private Placements

Status:
Effective 20 Nov 2014
31-528 Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for IIROC Members

Status:
Effective 29 May 2014

View Related Documents:
31-103
31-529 Relief from Certain CRM2 Requirements Prescribed by NI 31-103 for MFDA Members

Status:
Effective 29 May 2014

View Related Documents:
31-103
15-504 Notice to Attend (Hearing): Authorization of Alternative Form

Status: Effective 11 Jun 2013
21-502 Exemption from Filing Time Requirement for Changes to Form 21-101F1 Exhibit N (fees)

Status: Effective 22 Jun 2011

View Related Documents: 21-101
31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions

Status:
Effective 27 Mar 2010

View Related Documents:
31-103

In order to rely on the relief granted by Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus Exempt Distributions, please use the link below that will direct you to the British Columbia Securities Commission e-filing system for such purposes: Blanket Order 31-505 Appendix B Filings
2005/10/849 Exemption for trades in certain capital accumulation plans

Status:
Effective 21 Oct 2005

View Related Documents:
45-106
21-501 Confidentiality for Forms that marketplaces and information processors are required to file under NI 21-101

Status:
Effective 15 Jan 2003

View Related Documents:
21-101
01/11/1998 National Instrument 71-101 Multijurisdictional Disclosure System (Determination)

Status:
Effective 01 Nov 1998

View Related Documents:
71-101
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