The Alberta Securities Commission (ASC) is the regulatory agency responsible for administering the province's securities laws. It is entrusted to foster a fair and efficient capital market in Alberta and to protect investors.  As a member of the Canadian Securities Administrators, the ASC works to improve, coordinate and harmonize the regulation of Canada's capital markets.

We develop and enforce securities regulation, and offer impartial educational information and resources to Albertans about the investing process.

Day with the Alberta Securities Commission

The ASC is looking to engage its constituency on a number of key issues that are impacting the Commission and Industry. To become part of this process, constituents are invited to join ASC staff for a Day with the Alberta Securities Commission on November 28, 2006. In addition to in-depth presentations, attendees will also have opportunity to take part in question and answer sessions with ASC staff. To learn more, or register, click here.

Prospectus Exempt Securities Dealer Survey

The ASC is participating in a nation-wide Canadian Securities Administrators’ initiative to harmonize and streamline the registration process.  One part of this process is a proposal to require persons who trade in prospectus exempt securities to register as a “Specialty Dealer”.  The proposal also includes imposing several requirements on these Specialty Dealers.

To determine the effect of the proposed changes, the ASC has developed a short survey aimed at gathering information about prospectus exempt securities dealers.  The survey takes approximately 10 - 15 minutes to complete and may be completed anonymously.

To participate in the survey, click here.

For further information about the proposal, click here.

ASC's Annual Report is now available

The ASC's 2006 Annual Report highlights our activities in the last fiscal year that help to foster a fair and efficient capital market in Alberta.