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

Decisions & Orders Relating to Registrants

Below you will find decisions and orders relating to exchanges, self-regulatory organizations, registrants and those seeking registration.

You can also find certain decisions and orders relating to enforcement matters and issuers by viewing their respective pages.

See more about Decisions & Orders Relating to Registrants



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Document Type
Document TitleDateDocument Type
PDFEOX Holdings LLC9/27/2017Settlement Agreement/Undertaking
PDFPrivest Wealth Management Inc.6/6/2017Settlement Agreement/Undertaking
PDFAlberta Watt Exchange Limited3/30/2017Order
PDFNetThruPut Inc.12/12/2016Order
PDFMadison Peak Securities Ltd. 4/22/2015Order
PDFGold Investment Management Ltd.10/24/2014Settlement Agreement/Undertaking
PDFFrank Capital Partners Inc.3/8/2012Order
PDFFrank Capital Partners Inc.2/24/2012ASC Decision
PDFHarrington Capital Partners Inc. and Kennedy, Blaine Russell2/16/2012ASC Decision
PDFSustainable Wealth Management Ltd and Derek Gates2/15/2011ASC Decision
PDFAppellant: D'ADDARIO, Frank; Respondent: TSX Venture Exchange 11/10/2009ASC Decision
PDFLAMONTAGNE, Dustin Rene John 10/1/2009ASC Decision
PDFALBINATI, Denis M. 6/8/2009ASC Decision
PDFExtended Short Sales Temporary Order10/6/2008Order
PDFAmended Temporary Order Regarding Short Sales9/23/2008Order
PDFAlberta Securities Commission Temporary Order Regarding Short Sales of Certain Inter-Listed Securities9/19/2008Order
PDFSentinel Financial Management Corp7/31/2008ASC Decision
PDFPHOOL, Sunil Kumar6/24/2008ASC Decision
PDFROBERT, Michael6/27/2007ASC Decision
PDFDOE, Jane5/14/2007ASC Decision
PDFLysalta Capital Development Corporation4/27/2004ASC Decision
PDFRecognition of Exchanges Located Outside Alberta for the Purposes of Trading Exchange Contracts 3/11/2004Order
PDFLysalta Capital Development Corporation1/30/2004ASC Decision
PDFPewter Financial Ltd.7/7/2003ASC Decision
PDFMillennium Financial Group Inc.6/23/2003ASC Decision