Blanket Orders & Designation Orders

Securities Law & Policy

Designation Orders

Designation Orders are issued for the purpose of ensuring appropriate treatment of a particular matter that falls within Alberta securities laws. Most Designation Orders are made pursuant to section 10 of the Securities Act (Alberta), however, certain Rules also contemplate the issuance of Designation Orders. Current Designation Orders are listed below and can also be found, where relevant, in the Regulatory Instruments section of this website.

ASC Designation Orders currently in effect:

Designation of a Crowdfunding Offering Document under Multilateral Instrument 45-108 Crowdfunding as an Offering Memorandum
Status: Effective 31 October 2016
Certain products designated to be securities re certain orders and undertaking s10(1)

Status: Effective 31 October 2014
Certain mortgage investment entities designated not to be non-redeemable investment funds (except for registration)

Status: Effective 22 September 2014

Blanket Orders

Blanket Orders are issued for the purpose of providing mass exemptive relief (as opposed to providing an exemption for one individual or applicant) from a regulatory requirement. Current Blanket Orders are linked below and can also be found in the Regulatory Instruments section of this website. Blanket Orders that have expired or been revoked can also found in the Regulatory Instruments section, either on the history tab of the rule they affected, or on their own page.

ASC Blanket Orders currently in effect:

96-932

Coordinated Blanket Order 96-932 Temporary Exemptions from Certain Derivatives Data Reporting Requirements

Status: Effective 31 October 2024
93-930

Coordinated Blanket Order 93-930 Temporary exemptions for derivatives firms from certain obligations when transacting with certain investment funds and for senior derivatives managers from certain reporting obligations

Status: Effective 28 September 2024
31-930

Coordinated Blanket Order 31-930 Exemption to Allow Exempt Market Dealer Participation in Selling Groups in Offerings of Securities Under a Prospectus 

Status: Effective 20 June 2024
13-933 Coordinated Blanket Order 13-933 Temporary Exemption from the Requirement to Transmit a Report of Exempt Distribution Through SEDAR+ in Connection with Distributions of Eligible Foreign Securities to Permitted Clients

Status: Effective 21 July 2023
51-930

CSA Coordinate Blanket Order 51-930 Exemption from the Director Election Form of Proxy Requirement

Status: Effective 31 January 2023

 

24-506 		ASC Blanket Order 24-506 Exemption for certain Crypto Asset Trading Platforms to be Recognized as Clearing Agencies

Status: Effective 29 August 2022
81-509

ASC Blanket Order 81-509 Temporary Exemptions from the OEO Trailer Ban to Facilitate Dealer Rebates of Trailing Commissions and Client Transfers

Status: Effective 01 June 2022
46-502

ASC Blanket Order 46-502 Exemption from section 3(2) of the Business Corporations Act (Alberta)

Status: Effective 01 February 2022
44-501

ASC Blanket Order 44-501 Exemption from Certain Prospectus Requirements for Well-Known Seasoned Issuers - Varied 

Status: Effective 04 January 2022
52-501

ASC Blanket Order 52-501 Exemption from National Instrument 52-112 Non-GAAP and Other Financial Measures Disclosure

Status: Effective 02 December 2021
31-536

Alberta Small Business Finder’s Exemption - Varied

Status: Effective 10 November 2021

View Related Documents: 31-103

In order rely on the relief granted by Blanket Order 31-536 Alberta Small Business Finder’s Exemption, please complete and submit this electronic form.
45-539 Small Business Financing

Status: Effective 01 September 2021
51-520 

ASC Blanket Order 51-520 Exemption from section 150 of the Business Corporations Act (Alberta) - Varied

Status: Effective 21 July 2021
31-537

ASC Blanket Order 31-537 Transitional Relief related to the Deferred Sales Charge Option in Respect of Client Focused Reforms

Status: Effective 30 June 2021
45-538

Self-Certified Investor Prospectus Exemption - Varied

Status: Effective 31 March 2021

81-508

Exemption from National Instrument 81-104 Alternative Mutual Funds

Status: Effective 28 January 2021
31-535 Temporary Exemptions from Certain Financial Statements and Information Delivery Requirements for Registrants No. 2

Status: Effective 26 May 2020
81-507 Extension of Certain Filing, Delivery and Prospectus Renewal Requirements for Investment Funds with Deadlines During the Period from June 2 to September 30, 2020

Status: Effective 20 May 2020
51-519 Temporary Exemption from Certain Corporate Finance Requirements with Deadlines during the Period from June 2 to August 31, 2020

Status: Effective 20 May 2020
51-518 Temporary Exemptions from Certain Requirements to File or Send Securityholder Materials

Status: Effective 30 April 2020
81-506 Temporary Exemption from Borrowing Limit to Accommodate Redemption Requests for Mutual Funds Investing in Fixed Income Securities

Status: Effective 16 April 2020
31-533 Temporary Exemption from Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Status: Effective 16 April 2020
31-534 Temporary Exemption from Client Focused Reforms Relationship Disclosure Information Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations

Status: Effective 16 April 2020
24-505 Relief from Exception Reporting Requirement under National Instrument 24‑101 Institutional Trade Matching and Settlement - Varied

Status: Effective 02 July 2023
21-504 Relief from Reporting Requirements for Regulated Entities Carrying on Business in the Province of Alberta

Status: Effective 23 March 2020
31-532 Temporary Exemptions from Certain Financial Statements and Information Delivery Requirements for Registrants

Status: Effective 23 March 2020
51-517 Temporary Exemption from Certain Corporate Finance Requirements

Status: Effective 23 March 2020
81-505 Extension of Certain Filing, Delivery and Prospectus Renewal Requirements for Investment Funds

Status: Effective 23 March 2020
94-501 Exempting certain counterparties from mandatory clearing of derivatives- Varied

Status: Effective 20 August 2018
51-516 Exemption from Paper Delivery Requirements During a Postal Service Disruption-Varied

Status: Effective 05 July 2016
91-507 Over-the-Counter Trades in Derivatives

Status: Effective 01 February 2017
96-504 Relief from Data-Dissemination Deadline under MI 96-101

Status: Effective 20 January 2017
96-502 Exemption from Certain Derivatives Reporting Requirements under MI 96-101 Trade Repositories and Derivatives Data Reporting for Certain Financially-Settled Electricity-Based Derivatives

Status: Effective 22 November 2016
45-518 Form 45-106F1 - Exemption Regarding Certain Purchaser Information 

Status: Effective 30 June 2016

View Related Documents:45-320
96-501
 Exemptions from certain derivatives reporting requirements under MI 96-101 Trade Repositories and Derivatives Data Reporting

Status: Effective 15 December 2017

View Related Documents:96-101
51-514 Venture Issuers with Securities Listed on "Bolsa de Santiago, Venture"

Status: Effective 31 March 2015
31-530 Trades and Advice for US-Resident Clients: Dealer and Adviser Registration Exemptions

Status: Effective 26 March 2015

View Related Documents: 31-103
45-514 Certain Private Placements - Varied

Status: Amended 07 November 2017
15-504 Notice to Attend (Hearing): Authorization of Alternative Form

Status: Effective 11 June 2013
21-502 Exemption from Filing Time Requirement for Changes to Form 21-101F1 Exhibit N (fees)

Status: Effective 22 June 2011

View Related Documents: 21-101
2005/10/849 Exemption for trades in certain capital accumulation plans

Status: Effective 21 October 2005

View Related Documents: 45-106
21-501 Confidentiality for Forms that marketplaces and information processors are required to file under NI 21-101

Status: Effective 15 January 2003

View Related Documents: 21-101
01/11/1998 National Instrument 71-101 Multijurisdictional Disclosure System (Determination)

Status: Effective 01 November 1998

View Related Documents: 71-101