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About the ASC

• ASC Strategic Plan
• Organizations the ASC Collaborates With
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Complain or Report

• File an Investor Complaint
• Office of the Whistleblower

Securities Law & Policy

• Act & Regulation
• Regulatory Instruments
• Regulatory Updates
• Authorizations & Memorandums of Understanding
• Miscellaneous Notices
• Blanket Orders & Designation Orders

Issuer Regulation

• Oil & Gas
• Financing Dashboards
• Exempt Financing
• Exemption Orders
• Fees & Filing Deadlines
• Participation Fees
• Fee Calculator for Reports of Exempt Distribution
• Refund Request Form
• FAQs
• Ongoing Disclosure
• Insider Reporting
• Reporting Issuer List
• Cease Trade Orders
• Decisions and Orders

Financial Innovation in the Capital Markets

Registrant & Market Regulation

• Registrant Toolkit
• How to Apply
• Frequently Used Forms & Fees
• Reference Resource for Exempt Market Dealers
• Information about Exemptions
• Client Focused Reforms
• Client Relationship Manager Advising Representatives
• Education
• Research
• Self-Regulatory Organizations
• Exchanges, Alternative Trading Systems, Clearing Agencies & Trade Repositories
• Regulatory Reform of Over-the-Counter Derivatives
• Exemption Orders
• Decisions & Orders

Small Business

• Raising Money by Selling Securities
• Key Terms
• Frequently Asked Questions
• Going Public
• Intro to Raising Capital Using Prospectus Exemptions
• Common Capital Raising Prospectus Exemptions
• Considerations when Investing