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Copyright © Alberta Securities Commission 2023
Alberta Securities Commission Logo
checkfirst
CAREERS
CONTACT
CHECK REGISTRATION AB-based firms
COVID-19
  • COVID-19
About the ASC
  • About the ASC
  • ASC Strategic Plan
  • How we developed our 2021-2023 Strategic Plan
  • Organizations the ASC Collaborates With
  • Organization & governance
  • ASC Members
  • Executive Management
  • Advisory Committees
  • Careers
  • Career Opportunities
  • Hear From Our People
  • Why Choose the ASC
  • New Employees & Students
  • FAQs
  • Accessing Records
  • Frequently Asked Questions
  • Terms used in this website
  • Contact Us
Complain or Report
  • Complain or Report
  • File an Investor Complaint
  • Office of the Whistleblower
Securities Law & Policy
  • Securities Law & Policy
  • Act & Regulation
  • Regulatory Instruments
  • Regulatory Updates
  • Authorizations & Memorandums of Understanding
  • Blanket Orders & Designation Orders
Issuer Regulation
  • Issuer Regulation
  • Reporting Issuer List
  • Energy Matters
  • Financing Dashboards
  • Exempt Financing
  • Exemption Orders
  • Issuer Toolkit
  • Fees & Filing Deadlines
  • Participation Fees
  • Fee Calculator for Reports of Exempt Distribution
  • Refund Request Form
  • FAQs
  • Ongoing Disclosure
  • Insider Reporting
  • Cease Trade Orders
  • Decisions and Orders
  • Auditor Oversight Organization
Innovation in Finance (Sandbox)
  • Innovation in Finance (Sandbox)
Registrant & Market Regulation
  • Registrant & Market Regulation
  • Alberta-Based Registrant List
  • 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 & Information Processors
  • Regulatory Reform of Over-the-Counter Derivatives
  • Exemption Orders
  • Decisions & Orders
Small Business
  • 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
Enforcement
  • Enforcement
  • ASC Proceedings
  • Appearing Before the ASC
  • Electronic Document Guidelines
  • Remote Hearing Guidelines
  • Status of Current Proceedings
  • Other proceedings
  • Unpaid Orders
  • Notices, Decisions & Orders
  • File an Investor Complaint
  • Office of the Whistleblower
  • Automatic Reciprocation
News & Publications
  • News & Publications
  • News Releases
  • Reports & Publications
  • Investor Alerts
  • Investment Caution List
  • Events & Presentations
  • Weekly Updates

Learn more about what the ASC is doing to support market participants and investors.

Learn More
        
Copyright & Disclaimer
Privacy Statement
Copyright © Alberta Securities Commission 2023

Research

Registrant & Market Regulation
  • Alberta-Based Registrant List
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  • Self-Regulatory Organizations
  • Exchanges, Alternative Trading Systems, Clearing Agencies, Trade Repositories & Information Processors
  • Regulatory Reform of Over-the-Counter Derivatives
  • Exemption Orders
  • Decisions and Orders

CSA Summary Report: 2016-2019 Investor Research Findings on the Impact of CRM2 and POS on Investor Knowledge, Attitudes, and Behaviour

CRM2/POS 3-Year tracking study September 2019 Report - Annual Tracking

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600, 250 - 5th St SW,
Calgary, AB T2P 0R4

(403) 297-6454

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Copyright © Alberta Securities Commission 2023
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Copyright & Disclaimer Privacy Statement
Copyright © Alberta Securities Commission