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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).

Regulatory Developments

What's new in regulation at the ASC? Check back often for the latest updates.

NOTE: Until rules or instruments become effective as evidenced by their publication in The Alberta Gazette (see section 225 of the Securities Act (Alberta)), they are subject to non-substantive changes. Should such changes occur, a revised version of the relevant rule or instrument will be published on this website.

Industry and public consultation is an important part of the regulatory process and provides good input into new or revised legislation. When the ASC or CSA believe new or revised regulation is required, they will typically publish the proposed new documents for public comment.

This icon identifies proposals that are currently available for public comment.

October 2018

  1. CSA Notice and Request for Comment – Proposed Amendments to NI 24-102 and 24-102CP
  2. CSA Staff Notice 11-338 CSA Market Disruption Coordination Plan
  3. CSA Staff Notice 51-357 Staff Review of Reporting Issuers in the Cannabis Industry
  4. CSA Notice of Amendments Modernization of Investment Fund Product Regulation – Alternative Mutual Funds
  5. CSA Staff Notice 45-308 (Revised) Guidance for Preparing and Filing Reports of Exempt Distribution under National Instrument 45-106 Prospectus Exemptions

September 2018

  1. ASC Notice and Request for Comment - Blanket Order 45-520 Facilitating Access to Capital by Community Economic Development Corporations
  2. Request for Comment Proposed Amendments to National Instrument 81-105 Mutual Fund Sales Practices and Related Consequential Amendments
  3. Request for Comment Proposed NI 52-112 Non-GAAP and Other Financial Measures Disclosure and Related CP and Related Proposed Consequential Amendments and Changes

August 2018

  1. Revocation of ASC Blanket Order 45-519 Prospectus Exemptions for Resale Outside Canada
  2. ASC Notice of Repeal and Replacement of ASC Rule 72-501 Distributions to Purchasers Outside Alberta

July 2018

  1. CSA Staff Notice 51-355 Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2018 and March 31, 2017

June 2018

  1. CSA Notice and Request for Comment Proposed Amendments to NI 31-103 and 31-103 CP

April 2018

  1. CSA Staff Notice 51-354 Report on Climate change-related Disclosure Project

March 2018

  1. CSA Staff Notice 31-353 OBSI Joint Regulators Committee Annual Report for 2017
  2. CSA Staff Notice 51-353 Update on CSA Consultation Paper 51-404 Considerations for Reducing Regulatory Burden for Non-Investment Fund Reporting Issuers