Regulatory Updates

What's new in regulation at the ASC? Check back often for the latest updates.

NOTE: Until rules or instruments become effective as evidenced by their publication in The Alberta Gazette (see section 225 of the Securities Act (Alberta)), they are subject to non-substantive changes. Should such changes occur, a revised version of the relevant rule or instrument will be published on this website.

Industry and public consultation is an important part of the regulatory process and provides good input into new or revised legislation. When the ASC or the Canadian Securities Administrators (CSA) believes new or revised regulation is required, they will typically publish the proposed new documents for public comment.

This icon identifies proposals that are currently available for public comment.

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May 2019

CSA Notice and Request for Comment Proposed Amendments relating to At-the-Market Distributions
CSA Notice and Request for Comment Proposed National Systems Renewal Program Rule and Related Amendments
Proposed Repeal and Replacement of Multilateral Instrument 13-102 System Fees for SEDAR and NRD

April 2019

CSA Notice and Request for Comment Proposed Amendments to National Instrument 21-101 Marketplace Operation and Proposed Changes to the related Companion Policy

March 2019

CSA Staff Notice 21-326 Guidance for Reporting Material Systems Incidents
CSA Staff Notice 21-325 Follow-up on Marketplace Systems Incidents
CSA Notice and Request for Comment Proposed National Instrument 25-102 Designated Benchmarks and Benchmark Administrators and Companion Policy
CSA Notice of Amendments to National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations Custody-Related Amendments
Continuation of ASC Blanket Order 31-505 Registration Exemption for Trades in Connection with Certain Prospectus-Exempt Distributions

February 2019

CSA Staff Notice 45-324 Update on the Start-up Crowdfunding Registration and Prospectus Exemptions
ASC Notice Amendments to ASC Rule 15 501 Rules of Practice and Procedure for Commission Proceedings