Regulatory Instruments

Securities Law & Policy

The ASC uses a number of regulatory instruments to administer the requirements of Alberta's securities laws. Most regulatory instruments are numbered according to the Canadian Securities Administrators (CSA) numbering system. See CSA Staff Notice 11-312 (Revised) National Numbering System for more information. 

The Regulatory Instrument table below includes all current regulatory instruments created by the ASC including the ASC Rules (General). It does not include Miscellaneous Notices.

Alberta Securities Commission Rules (General) and Forms
Frequently Used Instruments
ASC Rules
Alberta Securities Commission Rules (General) and Forms
See all Alberta Securities Commission Rules (General) and Forms
Procedure and Related Matters [11-101 - 15-702]
Frequently Used Instruments
11-102
Passport System [MI]
13-501
Fees [ASC Rule]
15-501
Rules of Practice and Procedure for Commission Proceedings [ASC Rule]
See all Procedure and Related Matters [11-101 - 15-702]
Certain Capital Market Participants [21-101 - 25-404]
Frequently Used Instruments
21-101
Marketplace Operation [NI]
23-101
Trading Rules [NI]
23-103
Electronic Trading and Direct Electronic Access to Marketplaces [NI]
24-101
Institutional Trade Matching and Settlement [NI]
See all Certain Capital Market Participants [21-101 - 25-404]
Registration Requirements and Related Matters [31-101 - 35-101]
Frequently Used Instruments
31-103
Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
33-109
Registration Information [NI]
See all Registration Requirements and Related Matters [31-101 - 35-101]
Distribution Requirements [41-101 - 47-302]
Frequently Used Instruments
41-101
General Prospectus Requirements [NI]
44-101
Short Form Prospectus Distributions [NI]
45-102
Resale of Securities [NI]
45-106
Prospectus Exemptions [NI]
See all Distribution Requirements [41-101 - 47-302]
Ongoing Requirements for Issuers and Insiders [51-101 - 58-701]
Frequently Used Instruments
51-101
Standards of Disclosure for Oil and Gas Activities [NI]
51-102
Continuous Disclosure Obligations [NI]
52-107
Acceptable Accounting Principles and Auditing Standards [NI]
52-109
Certification of Disclosure in Issuers' Annual and Interim Filings [NI]
52-110
Audit Committees [NI]
52-112
Non-GAAP and Other Financial Measures Disclosure [NI]
55-104
Insider Reporting Requirements and Exemptions [NI]
58-101
Disclosure of Corporate Governance Practices [NI]
58-201
Corporate Governance Guidelines [National Policy]
See all Ongoing Requirements for Issuers and Insiders [51-101 - 58-701]
Take-over Bids and Special Transactions [61-101 - 62-701]
Frequently Used Instruments
62-103
The Early Warning System and Related Take-Over Bid and Insider Reporting Issues [NI]
62-104
Take-Over Bids and Issuer Bids [NI]
62-202
Take-Over Bids - Defensive Tactics [National Policy]
62-203
Take-Over Bids and Issuer Bids [National Policy]
See all Take-over Bids and Special Transactions [61-101 - 62-701]
Securities Transactions Outside the Jurisdiction [71-101 - 72-501]
Frequently Used Instruments
71-101
Multijurisdictional Disclosure System [NI]
71-102
Continuous Disclosure and Other Exemptions Relating to Foreign Issuers [NI]
See all Securities Transactions Outside the Jurisdiction [71-101 - 72-501]
Investment Funds [81-101 - 81-701]
Frequently Used Instruments
81-101
Mutual Fund Prospectus Disclosure [NI]
81-102
Investment Funds [NI]
81-104
CONTINUES to APPLY in QUEBEC ONLY Alternative Mutual Funds [MI]
81-105
Mutual Fund Sales Practices [NI]
81-106
Investment Fund Continuous Disclosure [NI]
81-107
Independent Review Committee for Investment Funds [NI]
See all Investment Funds [81-101 - 81-701]
Derivatives [91-101 - 96-932]
Frequently Used Instruments
91-101
Derivatives: Product Determination [MI]
93-101
Derivatives: Business Conduct [National Instrument]
93-102
Request for Comment Proposed NI 93-102 Derivatives: Registration and Proposed Related Companion Policy [CSA Notice]
96-101
Trade Repositories and Derivatives Data Reporting [MI]
See all Derivatives [91-101 - 96-932]
ASC Policy Statements [Old Number System]
Frequently Used Instruments
No documents found
See all ASC Policy Statements [Old Number System]
National Policy Statements [Old Number System]
Frequently Used Instruments
No documents found
See all National Policy Statements [Old Number System]
Uniform Act Policy
Frequently Used Instruments
No documents found
See all Uniform Act Policy
ASC Notices [Old Number System]
Frequently Used Instruments
No documents found
See all ASC Notices [Old Number System]
CSA Notices [Old Number System]
Frequently Used Instruments
No documents found
See all CSA Notices [Old Number System]