Act, Regulation & Rules 

View Act & Regulation.

ASC General Rules

The ASC Rules (General) are a series of rules that correspond to the Securities Act.

2796793 v2 - ASC RULES GENERAL AS AT MARCH 17 2008.pdfAlberta Securities Commission Rules (General)3/17/2008
2755253 v5 - ASC NOTICE RE AMENDMENTS TO ASC RULES -GENERAL.pdfASC Notice of amendments to ASC Rules (General) - published 15 Feb 20083/17/2008
16111__2512543_v3_-_BOR_S213_Certain_MFDA_Members.pdfBlanket Order Re: Certain MFDA Members: Trades in Non-Mutual Fund Securities6/22/2007
_2377297_v1_-_LOCAL_AMENDMENTS_TO_ASC_RULE_-_PUBLISHED_DEC_21,_2006.pdfProposed Rule amendments to s. 1, 6, 76, 77, 85 to 98, 101 to 111, 114 to 119, Forms 4B, 12, 13, 14 15 and 40 and proposed repeal of ASC Rules 45-101, 44-801, 44-802, 44-803, 71-801 and proposed repeal of ASC Policy Statements 1.2, 4.1, 4.3, 4.4, 4.5, 4.6
_2420642_v1_-_APPENDIX_H_-_AMENDMENT_TO_ASC_GENERAL_RULE.pdfRule amendments to Section 31 (arising from amendments to NI 81-107)
_2246872 v1 - ASC Notice and Publication for Comment - Pro.pdfASC Notice and Publication for Comment re proposed amendments to ASC Rules (General) consequential to statutory amendments relating to Civil Liability for Secondary Market Disclosure8/1/2006
_2299990_v1_-_NOTICE_RE_81-501_with_Appendices.pdfASC Notice and Request for Comment re proposed repeal of ASC Rule 81-501 Interim Continuous Dislcosure and Proxy Solicitation Requirements for Investment Funds9/28/2006
_2386946_v1_-_ASC_NOTICE_RE_REPEAL_-ASC_RULE_81-501_-_DEC_1,_06.pdfASC Notice of repeal of ASC Rule 81-501 Interim Continuous Dislcosure and Proxy Solicitation Requirements for Investment Funds, repeal of Parts 11 and 12 of the ASC Rules (General) and repeal of Forms 27, 28 and 30 in the ASC Rules11/30/2006
15281__2390579_v1_-_ASC_NOTICE_OF_AMENDTS_TO_PART_16.1_ASC_RULES_(GEN)-_EFF_DEC_31,06.pdfASC Notice of amendment to ASC Rules (General) re addition of Part 16.1 relating to Civil Liability for Secondary Market Disclosure12/30/2006
_1718233_v1_-_CONSQ_AMDTS_TO_MUTUAL_FUNDS-March_30,_2005.pdfRule amendments arising from the implementation of ASC Rule 81-5013/29/2005
_1429497_v2_-_AMENDMENT_TO_ASC_RULES_s6,_s144,_s145_MARCH_30,_2004.pdfRule amendments to s.6 and s. 144 and repeal of s. 1453/29/2004
_1252706_v1_-_NOTICE_OF_CONSEQUENTIAL_AMENDMENTS_-_June_16,_2003.pdfASC notice of repeal of ASC Form 20 and ASC Rule 45-802 and summary of statutory amendments relating to prospectus and registration exemptions - published 13 Jun 2003
_1197832_v2_-_ASC_NOTICE_.pdfASC notice of amendments to s. 28 - published 25 Apr 2003
_1151141_v2_-_REPEAL_OF_FORM_20_AND_ASC_RULE_45-802.pdfProposed repeal of ASC Form 20 and ASC Rule 45-802 - Published 28 Mar 2003
_1150263__v3_-_CONSEQUENTIAL_RULE_AMENDMENTS.pdfProposed consequential rule amendments in response to statutory amendments in the Securities Amendment Act, 2003 relating to prospectus and registration exemptions - published 28 Mar 2003
1173999 v1 - ASC NOTICE RE AMENDMENTS.pdfASC notice of proposed consequential amendments to ASC General Rules - published 28 Mar 2003
_1137206_v1_-_REPEAL_OF_ASC_RULE_54_RE_33-109_-_FEB_-03.pdfRepeal of rule s. 542/20/2003
_1120133_v1_-_REPEAL_OF_ASC_RULES_47-48-53-Feb_21-03.pdfRepeal of rule s. 47, 48 and 532/20/2003
_1187152_v2_-_RULE_28_AMENDMENT_-_EFF_APRIL_30,_2003.pdfRule amendment to s. 284/29/2003
_1151141_v3_-_REPEAL_OF_FORM_20_AND_ASC_RULE_45-802.pdfRepeal of Form 20 and ASC Rule 45-8026/15/2003
_1150263_v4_-_Amendments_1,66,122,125-6-7-8-9-Frm_43.pdfRule amendments to s. 1, 66, 122, 125, 126, 127, 128, 129, Form 437/15/2003
_1276255_v1_-_INTERIM_AMENDMENT_RULE_TO_S_88,_89,_90,_91_Sept_30_03.pdfInterim amendment and subsequent repeal of ASC Rules (General) to s. 88.1, 89, 90 and 919/29/2003
AMENDMENT_TO_FORM_20_-_FEB_2002.pdfRule amendment to form 203/29/2002
Rule_Am_to_S_171_eff_June_12,_2002.pdfRule amendment to s. 1716/11/2002
REPEAL_OF_ASC_RULE_S_120.pdfRepeal of rule s. 1208/30/2002
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Act

The Securities Act (Alberta), RSA 2000 cS-4, is the statute that establishes Alberta's securities laws and gives the Alberta Securities Commission its powers and duties. The Revised Statutes of Alberta (RSA) 2000 came into effect on January 1, 2002. Since that revision, the Act was amended in 2003, 2005, 2006 and 2007.

The Securities Amendment Act, 2006 (Bill 25) received royal assent on May 24, 2006, and comes into force on proclamation. Most provisions have now been proclaimed into force effective as of the dates shown below

Sections proclaimed in force:

 

Effective Date:

Numerous sections

Order in Council 277/2006

July 1, 2006

Section 29

Order in Council 436/2006

September 15, 2006

Section 43

Order in Council 524/2006

November 1, 2006

Civil Liability for Secondary Market Disclosure

Order in Council 615/2006

December 31, 2006

Numerous sections

Order in Council 27/2008

February 1, 2008

Numerous sections

Order in Council 42/2008

March 17, 2008

The remaining sections will be proclaimed in due course; these are set out in the Securities Amendment Act, 2006 (unproclaimed sections only).

The Securities Amendment Act, 2007 (Bill 21) received royal assent on April 20, 2007, when a number of its provisions came into force. The provisions listed in section 26 will come into force upon proclamation; these are set out in the Securities Amendment Act, 2007 (unproclaimed sections only).

Regulation

Securities Regulations are laws made by the Lieutenant Governor in Council. The current Securities Regulations establish fees payable to the ASC for specific filings and the process the ASC must follow to make rules.

On August 23, 2006, the Securities Amendment Regulation was made. This amends the ASC Fee Schedule by increasing fees over a three-year period effective on October 1, 2006, April 1, 2007 and April 1, 2008. The fees currently in effect are set out in the Securities Regulations.