Securities Law and Policy

Securities Law and Policy

Alberta securities laws include the Securities Act & Regulation made under the Securities Act, and any decisions made by the Commission or by the Executive Director. The ASC administers Alberta securities laws to protect the public interest.

Read more about the Securities Act & Regulation

Frequently used instruments, rules and policies

21-101 Marketplace Operation [NI]
23-101  Trading Rules [NI] 
23-103  Electronic Trading [NI] 
24-101  Institutional Trade Matching and Settlement [NI] 
31-103              
 Registration Requirements, Exemptions and Ongoing Registrant Obligations [NI]
33-109  Registration Information 
41-101  General Prospectus Requirements [NI] 
45-106
 Prospectus and Registration Exemptions [NI] 
51-101  Standards of Disclosure for Oil and Gas Activities [NI] 
51-102
 Continuous Disclosure Obligations [NI] 

See all Regulatory Instruments

Visit Regulatory Updates for the latest developments in regulation. Industry and public consultation are important pieces of the regulatory process. Be a part of it by providing feedback on items that are available for public comment.