ASC Proceedings
ASC hearings may include enforcement proceedings, adjudication relating to contested take-over bids, and reviews and appeals of decisions made by ASC staff, exchanges or self-regulatory organizations.
ASC hearings are generally open to the public. If you are a party to, or otherwise involved in an ASC hearing, click here for important information.
Click here to view status of current and scheduled ASC hearings. COVID Update: All hearings are being reviewed and considered on a case-by-case basis.
The following information pertains to past ASC hearings. These may include:
- Notices, Decisions & Orders Relating to Enforcement (matters including alleged and proved capital-market misconduct and related appeals)
- Decisions & Orders Relating to Issuers (matters including disclosure filing deficiencies, exemptions for issuers and take-over bids)
- Decisions & Orders Relating to Registrants (matters including exemptions for applicants, exchange and self-regulatory organization issues and registration issues)