Regulatory Instruments
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
Procedure and Related Matters [11-101 - 15-702]
Frequently Used Instruments
11-102
13-501
Certain Capital Market Participants [21-101 - 25-404]
Frequently Used Instruments
21-101
23-101
Distribution Requirements [41-101 - 47-302]
Frequently Used Instruments
45-102
45-106
Ongoing Requirements for Issuers and Insiders [51-101 - 58-701]
Frequently Used Instruments
52-110
Take-over Bids and Special Transactions [61-101 - 62-701]
Frequently Used Instruments
Investment Funds [81-101 - 81-701]
Frequently Used Instruments
81-102
Derivatives [91-101 - 96-932]
Frequently Used Instruments
National Policy Statements [Old Number System]
Frequently Used Instruments
No documents found