Regulatory Instrument Details
ASC Rules Alberta Securities Commission Rules (General) and Forms
ASC Rules
Number
Title
Regulatory Instrument Type
Date Type
Date
ASC Rules General
Alberta Securities Commission Rules (General) - Consolidated Version
As Amended - ASC Rule - 10/31/2024
ASC Rule
As Amended
10/31/2024
Form 1
Summons to a Witness Pursuant to Section 28, 29, or 42 of the Securities Act
Effective - Form - 07/31/2010
Form
Effective
07/31/2010
Form 3
Summons for Examination Before a Person Designated Under Section 82 of the Securities Act
Effective - Form - 07/31/2010
Form
Effective
07/31/2010
Form 4
Report by a Registered Owner of Securities Beneficially Owned by an Insider Under Section 183 of the Securities Act
Effective - Form - 07/31/2010
Form
Effective
07/31/2010
Form 5
Report by Management Company Under Section 191 of the Securities Act
Effective - Form - 07/31/2010
Form
Effective
07/31/2010
Form 6
Endorsement of Warrant Under Section 196(1) of the Securities Act
Effective - Form - 07/31/2010
Form
Effective
07/31/2010
Proposed Amendments Related to ASC Rules
No documents found
Number
Title
Regulatory Instrument Type
Status
Date
15-702
Expenses and Allowances for Summonsed Witnesses
Published - ASC Notice - 05/11/2017
ASC Notice
Published
05/11/2017
Number
Title
Regulatory Instrument Type
Status
Date
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to Instrument - 10/31/2024
Amendments to Instrument
Effective
10/31/2024
Implementation of Amendments to ASC Rules General
Published - ASC Notice - 10/17/2024
ASC Notice
Published
10/17/2024
Proposed Amendments to ASC Rules General
Published - ASC Notice - 08/16/2024
ASC Notice
Published
08/16/2024
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to Instrument - 10/30/2023
Amendments to Instrument
Effective
10/30/2023
13-503
Expired - Temporary Exemption from Requirements to Manually Sign Documents
Expired - Blanket Order - 10/30/2023
Blanket Order
Expired
10/30/2023
13-503
Variation of Blanket Order 13-503
Expired - Miscellaneous - 10/30/2023
Miscellaneous
Expired
10/30/2023
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 06/01/2017
Amendments to ASC Rule
Effective
06/01/2017
Implementation of Amendments to the ASC Rules (General)
Published - ASC Notice - 05/11/2017
ASC Notice
Published
05/11/2017
ASC Rules
Request for Comment Proposed Amendments to ASC Rules (General)
Published - ASC Notice - 02/16/2017
ASC Notice
Published
02/16/2017
ASC Rules General
Amendments to ASC Rules (General) (arising from MI 62-104)
Effective - Amendments to ASC Rule - 05/09/2016
Amendments to ASC Rule
Effective
05/09/2016
ASC Rules General
Amendments to ASC Rules (General) (arising from Derivatives related amendments to the Securities Act)
Effective - Amendments to ASC Rule - 10/31/2014
Amendments to ASC Rule
Effective
10/31/2014
Rule Amendments Relating to Derivatives Regulation Consequential to Proclamation of the Securities Amendment Act, 2014
Published - ASC Notice - 10/21/2014
ASC Notice
Published
10/21/2014
Proposed Rule Amendments Relating to Derivatives Regulation
Proposed - ASC Notice - 07/24/2014
ASC Notice
Proposed
07/24/2014
15-502
Revoked - Notice to Attend (Hearing)
Revoked - Blanket Order - 06/11/2013
Blanket Order
Revoked
06/11/2013
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 12/31/2012
Amendments to ASC Rule
Effective
12/31/2012
ASC Rules General
Alberta Securities Commission Rules (General) and Forms
Effective - ASC Rule - 07/31/2010
ASC Rule
Effective
07/31/2010
Form 1
Summons to a Witness Before a Person Appointment Under Section 41 of the Securities Act
Repealed - Form - 07/31/2010
Form
Repealed
07/31/2010
Form 38
Management Companies Report Under Section 191
Repealed - Form - 07/31/2010
Form
Repealed
07/31/2010
Form 37
Report by a Registered Owner of Securities Beneficially Owned by an Insider
Repealed - Form - 07/31/2010
Form
Repealed
07/31/2010
Form 8
Summons to a Witness Before a Person Designated Under Section 82 of the Securities Act
Repealed - Form - 07/31/2010
Form
Repealed
07/31/2010
ASC Rules General
ASC Notice re Repeal and Replacement of Alberta Securities Commission Rules (General)
Published - ASC Notice - 07/16/2010
ASC Notice
Published
07/16/2010
ASC Rules General
Amendments to ASC Rules (General) (arising from ASC Rule 45-511)
Effective - Amendments to ASC Rule - 06/04/2010
Amendments to ASC Rule
Effective
06/04/2010
ASC Rules General
Amendments to ASC Rules (General) (arising from NI 55-104)
Effective - Amendments to ASC Rule - 04/30/2010
Amendments to ASC Rule
Effective
04/30/2010
ASC Rules General
ASC Notice and Request for Comment re proposed repeal and replacement of ASC Rules (General)
Published - ASC Notice - 04/23/2010
ASC Notice
Published
04/23/2010
ASC Rules General
ASC Notice and Request for Comment re proposed amendments to ASC Rules (General) (arising from proposed ASC Rule 45-511
Published - ASC Notice - 02/12/2010
ASC Notice
Published
02/12/2010
ASC Rules General
ASC Notice of amendments to ASC Rules (General) (arising from NI 55-104)
Published - ASC Notice - 01/22/2010
ASC Notice
Published
01/22/2010
Form 3
Application for Registration as Dealer, Adviser or Underwriter
Repealed - Form - 09/28/2009
Form
Repealed
09/28/2009
ASC Rules General
Amendments to ASC Rules (General) (arising from amendments to NI 45-106)
Effective - Amendments to ASC Rule - 09/28/2009
Amendments to ASC Rule
Effective
09/28/2009
Form 5
Application for Renewal of Registration as Dealer, Adviser or Underwriter
Repealed - Form - 09/28/2009
Form
Repealed
09/28/2009
Form 10
Repealed - Annual Questionnaire to be Completed by a Portfolio Manager for its Auditor
Repealed - Form - 09/28/2009
Form
Repealed
09/28/2009
Form 11
Repealed - Application for Recognition as an Exempt Purchaser
Repealed - Form - 09/28/2009
Form
Repealed
09/28/2009
Form 6
Application for Renewal of Registration as Salesman
Repealed - Form - 09/28/2009
Form
Repealed
09/28/2009
ASC Rules General
Amendments to ASC Rules (General) (arising from NI 31-103)
Effective - Amendments to ASC Rule - 09/28/2009
Amendments to ASC Rule
Effective
09/28/2009
ASC Rules General
Proposed amendments to ASC Rules (General) (arising from proposed amendments to NI 52-107) [original proposal was to be effective January 1, 2011]
Published - Proposed Amendments to ASC Rule - 09/25/2009
Proposed Amendments to ASC Rule
Published
09/25/2009
ASC Rules General
ASC Notice of amendments to ASC Rules (General) (arising from NI 31-103)
Published - ASC Notice - 09/08/2009
ASC Notice
Published
09/08/2009
ASC Rules General
ASC Notice and Request for Comment re proposed amendments to ASC Rules (General) (arising from NI 31-103)
Effective - ASC Notice - 07/17/2009
ASC Notice
Effective
07/17/2009
Form 4B
Personal Information Form for Directors, Officers, Promoters and Control Persons
Repealed - Form - 03/17/2008
Form
Repealed
03/17/2008
2012 ABASC 160
Revocation of Certain Prospectus-Related Blanket Orders
Effective - Revocation Order - 03/17/2008
Revocation Order
Effective
03/17/2008
ASC Rules General
Amendments to ASC Rules (General) (arising from amendments to NI 41-101)
Effective - Amendments to ASC Rule - 03/17/2008
Amendments to ASC Rule
Effective
03/17/2008
Form 14
Information Required in Prospectus of a Natural Resource Issuer
Repealed - Form - 03/17/2008
Form
Repealed
03/17/2008
Form 35
Notice of Intention to Make an Issuer Bid
Repealed - Form - 03/17/2008
Form
Repealed
03/17/2008
Form 12
Information Required in Prospectus of an Industrial Issuer
Repealed - Form - 03/17/2008
Form
Repealed
03/17/2008
Form 13
Information Required in Prospectus of a Finance Company
Repealed - Form - 03/17/2008
Form
Repealed
03/17/2008
Form 15
Information Required in Prospectus of a Mutual Fund
Repealed - Form - 03/17/2008
Form
Repealed
03/17/2008
42-501
Interim Relief from s. 109 of ASC Rules (General)
Revoked - Blanket Order - 03/17/2008
Blanket Order
Revoked
03/17/2008
ASC Rules General
ASC Notice of Amendments to ASC Rules (General) (Effective 17 March 2008)
Published - ASC Notice - 02/15/2008
ASC Notice
Published
02/15/2008
ASC Rules General
Amendments to ASC Rules (General) (arising from repeal of NP 48)
Effective - Amendments to ASC Rule - 12/31/2007
Amendments to ASC Rule
Effective
12/31/2007
ASC Rules General
ASC Notice of amendments to ASC Rules (General) re addition of Part 16.1 relating to Civil Liability for Secondary Market Disclosure
Published - ASC Notice - 12/30/2006
ASC Notice
Published
12/30/2006
ASC Rules General
ASC Notice of amendments to ASC Rules (General) (arising from repeal of ASC Rule 81-501)
Published - ASC Notice - 12/01/2006
ASC Notice
Published
12/01/2006
Form 27
Material Change Report Under Section 118(1) of the Securities Act
Repealed - Form - 12/01/2006
Form
Repealed
12/01/2006
ASC Rules General
Amendments to ASC Rules (General) (arising from amendments to NI 81-107
Effective - Amendments to ASC Rule - 11/01/2006
Amendments to ASC Rule
Effective
11/01/2006
ASC Rules General
ASC Notice and Request for Comment re proposed amendments to ASC Rules (General) (arising from proposed repeal of ASC Rule 81-501)
Published - ASC Notice - 09/28/2006
ASC Notice
Published
09/28/2006
ASC Rules General
ASC Notice and Request for Comment re proposed amendments to ASC Rules (General) (arising from statutory amendments relating to Civil Liability for Secondary Market Disclosure)
Published - ASC Notice - 08/01/2006
ASC Notice
Published
08/01/2006
ASC Rules General
Amendments to ASC Rules (General) (arising from NI 51-101)
Repealed - Amendments to ASC Rule - 06/30/2005
Amendments to ASC Rule
Repealed
06/30/2005
ASC Rules General
Amendments to ASC Rules (General) (arising from ASC Rule 81-501)
Effective - Amendments to ASC Rule - 03/30/2005
Amendments to ASC Rule
Effective
03/30/2005
ASC Rules General
Notice of Blanket Order 42-501
Published - ASC Notice - 04/23/2004
ASC Notice
Published
04/23/2004
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 03/29/2004
Amendments to ASC Rule
Effective
03/29/2004
ASC Rules General
Amendments to ASC Rules (General) (arising from statutory amendments relating to prospectus and registration exemptions)
Effective - Amendments to ASC Rule - 07/16/2003
Amendments to ASC Rule
Effective
07/16/2003
ASC Rules General
Amendments to ASC Rules (General) (arising from statutory amendments relating ro prospectus and registration exemptions)
Effective - Amendments to ASC Rule - 07/16/2003
Amendments to ASC Rule
Effective
07/16/2003
ASC Rules General
Amendments to ASC Rules (General) (arising from statutory amendments relating to prospectus and registration exemptions)
Effective - Amendments to ASC Rule - 06/16/2003
Amendments to ASC Rule
Effective
06/16/2003
ASC Rules General
Amendments to ASC Rules (General) (arising from statutory amendments relating to prospectus and registration exemptions)
Effective - Amendments to ASC Rule - 06/16/2003
Amendments to ASC Rule
Effective
06/16/2003
ASC Rules General
ASC Notice of amendments to ASC Rules (General) (arising from statutory amendments relating to prospectus and registration exemptions)
Published - ASC Notice - 06/13/2003
ASC Notice
Published
06/13/2003
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 04/30/2003
Amendments to ASC Rule
Effective
04/30/2003
ASC Rules General
ASC Notice of amendments to ASC Rules (General)
Published - ASC Notice - 04/25/2003
ASC Notice
Published
04/25/2003
ASC Rules General
ASC Notice of amendments to ASC Rules (General) (arising from statutory amendments relating to prospectus and registration exemptions)
Published - ASC Notice - 03/28/2003
ASC Notice
Published
03/28/2003
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 02/21/2003
Amendments to ASC Rule
Effective
02/21/2003
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 02/21/2003
Amendments to ASC Rule
Effective
02/21/2003
09/18/1991
Section 53 and Form 7 of the Securities Regulation
Superseded - Blanket Order - 02/21/2003
Blanket Order
Superseded
02/21/2003
Form 4
Uniform Application for Registration/Approval
Repealed - Form - 02/21/2003
Form
Repealed
02/21/2003
Form 7
Applications for Amendment of Registration as Dealer, Adviser or Underwriter
Repealed - Form - 02/21/2003
Form
Repealed
02/21/2003
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 11/30/2002
Amendments to ASC Rule
Effective
11/30/2002
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 08/31/2002
Amendments to ASC Rule
Effective
08/31/2002
Form 16
Escrow Agreement for a Natural Resource Issuer
Repealed - Form - 06/30/2002
Form
Repealed
06/30/2002
Form 17
Escrow Agreement for an Issuer other than a Natural Resource Issuer
Repealed - Form - 06/30/2002
Form
Repealed
06/30/2002
Form 18
Acknowledgment by Transferee of Securities in Escrow
Repealed - Form - 06/30/2002
Form
Repealed
06/30/2002
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 06/12/2002
Amendments to ASC Rule
Effective
06/12/2002
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 03/30/2002
Amendments to ASC Rule
Effective
03/30/2002
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 01/01/2002
Amendments to ASC Rule
Effective
01/01/2002
ASC Rules General
ASC Notice of amendment to ASC Rules (General)
Published - ASC Notice - 12/14/2001
ASC Notice
Published
12/14/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 11/13/2001
Amendments to ASC Rule
Effective
11/13/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 11/13/2001
Amendments to ASC Rule
Effective
11/13/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 11/13/2001
Amendments to ASC Rule
Effective
11/13/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 11/13/2001
Amendments to ASC Rule
Effective
11/13/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 11/13/2001
Amendments to ASC Rule
Effective
11/13/2001
ASC Rules General
ASC Notice and Request for Comment re amendments ASC Rules (General)
Published - ASC Notice - 10/17/2001
ASC Notice
Published
10/17/2001
33-701
ASC Notice and Request for Comment re proposed amendments to ASC Rules (General)
Published - ASC Notice - 08/10/2001
ASC Notice
Published
08/10/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 05/15/2001
Amendments to ASC Rule
Effective
05/15/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 05/01/2001
Amendments to ASC Rule
Effective
05/01/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 03/31/2001
Amendments to ASC Rule
Effective
03/31/2001
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 09/01/2000
Amendments to ASC Rule
Effective
09/01/2000
ASC Rules General
ASC Notice of amendments to ASC Rules (General)
Published - ASC Notice - 08/31/2000
ASC Notice
Published
08/31/2000
Form 15A
Information Required in Summary Statement of a Mutual Fund
Repealed - Form - 06/15/2000
Form
Repealed
06/15/2000
ASC Rules General
Amendments to ASC Rules (General)
Effective - Amendments to ASC Rule - 06/15/2000
Amendments to ASC Rule
Effective
06/15/2000
ASC Rules General
ASC Notice and Request for Comment re proposed amendments to ASC Rules (General) (arising from formation of the CDNX)
Published - ASC Notice - 03/10/2000
ASC Notice
Published
03/10/2000
Form 29
Repealed - Finance Company Questionnaire and Financial Report
Repealed - Form - 03/01/1999
Form
Repealed
03/01/1999
Form 41
Repealed - Contents of Annual Information Form
Repealed - Form - 07/01/1993
Form
Repealed
07/01/1993
Form 42
Repealed - Contents of Short Form Prospectus
Repealed - Form - 07/01/1993
Form
Repealed
07/01/1993
News Releases Related to ASC Rules
No documents found