Information About Exemptions

Registrant & Market Regulation

Securities laws requirements contain a number of exemptions from the registration requirement. Some of the commonly relied upon exemptions are contained in the rules and orders listed below.

Rules and Orders Regarding Exemptions

NI 31-103    Registration Requirements, Exemptions and Ongoing Registrant Obligations
NI 35-101  Conditional Exemption from Registration for United States Broker-Dealers and Agents
Blanket Order
31-505		 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions 
Blanket Order
31-530		 Trades and Advice for US-Resident Clients: Dealer and Adviser Registration Exemptions
Blanket Order
31-532		 Temporary Exemptions from Certain Financial Statements and Information Delivery Requirements for Registrants
Blanket Order
31-533        		 Temporary Exemption from Client Focused Reforms Conflict of Interest Provisions of NI 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
Blanket Order 31-536       
 Alberta Small Business Finder’s Exemption 
ASC Policy
12-601                                         		 Applications to the ASC