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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.

July 2018

  1. CSA Notice of Amendments to NI 45-106 and Changes to CP45-106
  2. Continuous Disclosure Review Program Activities for the fiscal years ended March 31, 2018 and March 31, 2017

June 2018

  1. CSA Staff Notice 21-324 Information Processor for Exchange-Traded Securities other than Options
  2. CSA Notice and Request for Comment Proposed Amendments to NI 31-103 and 31-103 CP
  3. CSA Staff Notice 81-330 Status Report on Consultation on Embedded Commissions and Next Steps
  4. CSA Notice and Second Request for Comment Proposed NI 93-101 Derivatives: Business Conduct and Related CP
  5. CSA Staff Notice 46-308 Securities Law Implications for Offerings of Tokens

May 2018

  1. CSA Staff Notice and Request for Comment 21-323 Proposal for Mandatory Post-Trade Transparency of Trades in Government Debt Securities and Proposed Amendments to NI 21-101 Marketplace Operation and Related CP

April 2018

  1. CSA Notice and Request for Comment Proposed NI 93-102 Derivatives: Registration and Related CP
  2. 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