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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 i​nstruments 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 l​egis​lation. Wh​en the ASC or CSA bel​ieve new or revised regulation is required, they will typically publish the proposed new documents for pub​lic comment.

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

December 2017

  1. CSA Staff Notice 23-320 Consideration of the Markets in Financial Instruments Directive (MiFID II) Unbundling Requirements on the Regulatory Requirements in Canada
  2. CSA Staff Notice 21-320 Update: National Instrument 21-101 Marketplace Operation and Related Companion Policy - Dealing with Government Debt Transparency
  3. ASC Notice Changes to Companion Policy 45-517 Prospectus Exemption for Small Businesses
    1. Joint CSA Staff Notice 31-351, IIROC Notice 17-0229, MFDA Bulletin #0736-M – Complying with requirements regarding the Ombudsman for Banking Services and Investments

    November 2017

    1. ASC Notice 45-703 Report on the use of the Family, Friends and Business Associates Prospectus Expemption
    2. ASC Notice Repeal and Replacement of Alberta Securities Commission Rule 71-801 Implementing the Multijurisdictional Disclosure System

    October 2017

    1. CSA Consultation Paper 52-404 Approach to Director and Audit Committee Member Independence
    2. CSA Staff Notice 33-321 Cyber Security and Social Media
    3. CSA Notice 51-352 Issuers with U.S. Marijuana-Related Activities
    4. ASC Notice regarding ASC Policy 15-601 Credit for Exemplary Cooperation in Enforcement Matters
    5. CSA Notice 58-309 Staff Review of Women on Boards and in Executive Officer Positions - Compliance with NI 58-101 Disclosure of Corporate Governance Practices

    September 2017

    1. ASC Notice Proposed Repeal and Replacement of Alberta Securities Commission Rule 71-801 Implementing the Multijurisdictional Disclosure System

    August 2017

    1. CSA Staff Notice 24-316 Feedback on CSA Consultation Paper 24-402 Policy Considerations for Enhancing Settlement Discipline in a T+2 Settlement Cycle Environment

    July 2017

    1. CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations and National Instrument 33-109 Registration Information And Related Policies and Forms