Skip Ribbon Commands
Skip to main content
or
Check registration (?)

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).

Proposed Amendments Related to ASC Rules

No documents found
NumberDocument TitleRegulatory Instrument TypeStatusDate
ASC Rules
General
PDFAmendments to ASC Rules (General)Amendments to ASC RuleEffective6/1/2017
PDFImplementation of Amendments to the ASC Rules (General)ASC NoticePublished5/11/2017
ASC Rules PDFRequest for Comment Proposed Amendments to ASC Rules (General)ASC NoticePublished2/16/2017
ASC Rules
General
PDFAmendments to ASC Rules (General) (arising from MI 62-104)Amendments to ASC RuleEffective5/9/2016
ASC Rules
General
PDFAmendments to ASC Rules (General) (arising from Derivatives related amendments to the Securities Act)Amendments to ASC RuleEffective10/31/2014
PDFRule Amendments Relating to Derivatives Regulation Consequential to Proclamation of the Securities Amendment Act, 2014ASC NoticePublished10/21/2014
PDFProposed Rule Amendments Relating to Derivatives Regulation ASC NoticeProposed7/24/2014
15-502PDFRevoked - Notice to Attend (Hearing) Blanket OrderRevoked6/11/2013
ASC Rules
General
PDFAmendments to ASC Rules (General)Amendments to ASC RuleEffective12/31/2012
Form 2PDFAffidavit of ServiceFormRepealed7/31/2010
Form 8PDFSummons to a Witness Before a Person Designated Under Section 82 of the Securities ActFormRepealed7/31/2010
Form 25PDFPut Option ContractFormRepealed7/31/2010
Form 26PDFCall Option ContractFormRepealed7/31/2010
Form 37PDFReport by a Registered Owner of Securities Beneficially Owned by an InsiderFormRepealed7/31/2010
Form 38PDFManagement Companies Report Under Section 191FormRepealed7/31/2010
Form 39PDFWarrant EndorsementFormRepealed7/31/2010
Form 1PDFSummons to a Witness Before a Person Appointment Under Section 41 of the Securities ActFormRepealed7/31/2010
ASC Rules
General
PDFAlberta Securities Commission Rules (General) and FormsASC RuleEffective7/31/2010
ASC Rules
General
PDFASC Notice re Repeal and Replacement of Alberta Securities Commission Rules (General)ASC NoticePublished7/16/2010
ASC Rules
General
PDFAmendments to ASC Rules (General) (arising from ASC Rule 45-511)Amendments to ASC RuleEffective6/4/2010
ASC Rules
General
PDFAmendments to ASC Rules (General) (arising from NI 55-104)Amendments to ASC RuleEffective4/30/2010
ASC Rules
General
PDFASC Notice and Request for Comment re proposed repeal and replacement of ASC Rules (General)ASC NoticePublished4/23/2010
ASC Rules
General
PDFASC Notice and Request for Comment re proposed amendments to ASC Rules (General) (arising from proposed ASC Rule 45-511 ASC NoticePublished2/12/2010
ASC Rules
General
PDFASC Notice of amendments to ASC Rules (General) (arising from NI 55-104)ASC NoticePublished1/22/2010
Form 3PDFApplication for Registration as Dealer, Adviser or UnderwriterFormRepealed9/28/2009