Annotated Alberta Securities Legislation

Front Cover
CCH Canadian Limited, 2002 - Securities - 1926 pages
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Contents

Tables of Concordance
xxvii
Policy No Page
xxx
SECURITIES ACT
1
Definitions
7
Instrument No Page
11
Affiliation
16
Registration
44
Instrument No Page
45
Form No Page 19 Surety Bond
421
Report under Section 1321 of the Act
425
20A Report under Section 130 Repealed by Alta Reg 28692 s 5218
428
Report under Section 109 of the Act Repealed by the Commission effective November 30 2001
429
Statement of Material Facts Repealed by the Commission effective June 15 2000
434
Put Option Contract
435
Material Change Report under Section 1461 of the Securities Act
437
Annual Filing of Reporting Issuer
441

Registration
49
Registration by Executive Director 77 Suspension cancellation and restrictions
50
Voluntary surrender 79 Further application 80 Application
51
Address for service 82 Further information 83 Nonresidents
52
Notice of changes
53
Exemptions From Registration
54
Exemption of certain advisors
55
Exemption of trades hy certain parties 87 Exemption of trades in certain securities
62
Exemption of trades in certain exchange contracts 89 Exemption of certain underwriters
64
Part 7Trading in Securities and Exchange Contracts Generally 90 Requirements for confirmation of trade 91 Attendance on or calls to residences 92 ...
65
Prohibited transaction
66
Dealer as principal 95 Disclosure by advisors 96 Disclosure by registered dealer 97 Disclosure by registered dealer
67
Provision of risk disclosure statement 99 Use of name 100 Holding out 101 Representations
69
Margin contracts 103 Declaration of short position
70
Rights of beneficial owners
71
Advertising and sales material Part 8Trading in Exchange Contracts
72
Trading on recognized exchange etc 107 Form of exchange contract 108 Trading on recognized exchange 109 Recognition of exchange Part 9 Dist...
73
Preliminary prospectus adverse material change
75
Prospectus material change 116 Certificates
76
Underwriters certificate 118 Statement of Rights 119 Other forms of prospectus
78
Receipts for prospectuses and referrals
79
Time limits on distributions
80
Distribution of previously issued securities
81
Distribution Generally 123 Distribution of material 124 Distribution of preliminary prospectus 125 Distribution list
82
Defective preliminary prospectus 127 Material given on distribution 128 Order to cease trading 129 Obligation to deliver prospectus
83
Revocation of purchase Part 11 Exemptions From Prospectus Requirements 131 Exemptions from prospectus requirements
84
Filing report of the trade 133 Filing offering memorandum 134 First trades are distributions 135 Deemed distribution 136 First trades are distributions
91
Exception from deemed distribution 138 Exception from deemed distribution
94
First trades are distribution 140 Exemptions from prospectus requirements 111 Reporting issuer default 142 Reporting issuer time 143 Exemptions o...
97
Discretionary exemptions 145 Reporting issuer by declaration
98
Continuous Disclosure 146 Disclosure of material changes
99
Disclosure of material fact or change
100
Interim financial statement
101
Comparative financial statements
102
Delivery of financial statements 151 Exemptions for reporting issuers 152 Filing of information circular
103
Section Page
104
Voting proxies
105
TakeOver Bids and Issuer Bids 158 Interpretation
106
Acting jointly or in concert 160 Deemed references 161 Exemptions takeover bids
110
Exemptions issuer bids
112
Exchange bids
113
Acquisition by offeror
114
Restrictions on offeror 166 Rules for bids
116
Payment in cash 168 Identical consideration 169 Bid circular
118
Variation of terms 171 Form and contents 172 Directorscircular
119
Additional circulars
120
Form and contents 175 Commencement of bids
121
News release 177 News release
122
Insider Trading and SelfDealing LSI Interpretation 182 Reports of insider
126
Report of a legal owner 184 Interpretation
127
Loans and investments of mutual funds
128
Indirect investment 187 Discretionary exemption 188 Permitted investment mutual fund 189 Fees on investment 190 Standard of care
129
Filing by management companies 192 Portfolio managers 193 Trades bv mutual fund insiders
130
Enforcement 194 General offences and penalties
131
Interpretation
134
Extraprovincial warrant 197 Declaration of noncompliance
135
Cease trading order
136
Administrative penalty 200 Filing decision with Court 201 Limitation period 202 Payment of costs
137
Civil Liability 203 Civil liability prospectus
138
Civil liability offering memorandum
140
Civil liability circular
141
Liability of dealer or offerer 207 Liability material fact or change
143
Action by the Executive Director
146
Rescission of contact 210 Rescission by purchase mutual fund
148
Limitation period Part 18 General Provisions 212 Compliance with another jurisdiction
149
General exemption 214 Revoke or vary decisions 215 Selfincrimination 216 Requirement to disclose personal information
150
Sending of document 218 Admissibility of certified statements 219 Applications to a court 220 Service on Commission 221 Filing and confidentiality
151
Immunities
152
Lieutenant Governor in Council regulations
153
Commission rules 225 Publication of rules
158
Evidence re rule 227 Application of regulations and rules 228 Incorporation by reference 229 Exemption from a regulation or rule 230 Offence 231...
159
SECURITIES REGULATION
161
ALBERTA SECURITIES COMMISSION GENERAL RULES
171
Disclosure of securities beneficially owned
181
Part 9Disfribution Generally
227
Part 16Civil Liability Revoked by the Commission effective June
252
Uniform Application for RegistrationApproval
264
4B Personal Information Form for Directors Officers Promoters and Control
276
Application for Renewal of Registration as Dealer Adviser
283
Summons to a Witness
291
Application for Recognition as an Exempt Purchaser
297
Information Required in Prospectus of a Finance Company 323
358
Information Required in Prospectus of a Mutual Fund
386
ISA Information Required in a Summary Statement of a Mutual Fund
408
Escrow Agreement for an Issuer Other than a Natural Resource Issuer
416
Finance Company Questionnaire and Financial Report Repealed by the Commission effective March 1 1999
448
Information Circular
449
Takeover Bid Circular
460
Directors Circular 467
477
Notice of Intention to Make an Issuer Bid
485
Insider Report Repealed by the Commission effective October
488
Report by a Registered Owner of Securities Beneficially Owned by an Insider
489
Report under Section 191 of the Act
491
Endorsement of Warrant
494
Statement of Executive Compensation
495
Offering Memorandum
502
NATIONAL AND ASC POLICY DOCUMENTS
507
CERTAIN CAPITAL MARKET PARTICIPANTS
573
21101F4 Cessation of Operations Report for Alternative Trading System Form
601
21101F6 Cessation of Operations Report for Information Processor Form
607
REGISTRATION REQUIREMENTS AND RELATED MATTERS
659
Instrument No Page
664
19A Distribution of Mutual Funds by Financial Institutions Rescinded
668
33105CP Underwriting Conflicts Companion Policy
680
35101F1 Form of Submission to Jurisdiction and Appointment of Agent for Service
704
DISTRIBUTION REQUIREMENTS
713
Preliminary prospectus 112 Receipt for preliminary prospectus 113 Prospectus and supplemental material
719
43101F Technical Report Form
733
Instrument No Page
785
44101F1 AIFForm
831
44101F3 Short Form Prospectus Form
846
44101CP Short Form Prospectus Distributions Companion Policy
869
44102CP Shelf Distributions Companion Policy
937
44103CP PostReceipt Pricing Companion Policy
951
45101F Information Required in a Rights Offering Circular Form
976
45102F1 Report Made under Subsection 2 71 of Multilateral Instrument 45102
999
45103F1 Offering Memorandum for NonQualifying Issuers Form
1015
45103F2 Offering Memorandum for Qualifying Issuers Form
1028
45103F3 Risk Acknowledgment Form
1037
46201F Escrow Agreement Form
1070
46501F1 Escrow Agreement for a Junior Capital Pool Issuer ASC Form
1098
ONGOING REQUIREMENTS FOR ISSUERS AND INSIDERS
1117
Instrument No Page
1143
54101F1 Explanation To Clients And Client Response Form Form
1177
54101F8 Legal Proxy Form
1190
55102F1 Insider Profile Form
1221
55102F6 Insider Report Form
1236
Instrument No Page
1255
TAKEOVER BIDS AND SPECIAL TRANSACTIONS
1265
SECURITIES TRANSACTIONS OUTSIDE THE JURISDICTION
1299
71101F1 Forms of Submission to Jurisdiction and Appointment of Agent
1328
72501CP Distributions to Purchasers Outside Alberta ASC Companion Policy
1348
81101F1 Contents of Simplified Prospectus Form 1358
1409
81102CP Mutual Funds Companion Policy
1470
81105CP Mutual Fund Sales Practices Companion Policy
1506
Instrument No Page
1519
NATIONAL POL ICY STATEMENTS
1529
Unacceptable Auditors
1536
Maintenance of Provincial Trading Records Rescinded April 1 1999
1543
Policy No Page 20 Trading in Unqualified Securities Securities in Primary Distribution in Of her Jurisdictions Rescinded April 1 1999
1544
InHouse Funds Repealed January 1 1988
1545
Acceptance or Rejection of Subscriptions for Fund Shares or Units Repealed January 1 1988
1546
Investment Restrictions Options Repealed January
1548
Mutual Funds Investing in Mortgages
1549
Processing of Seasoned Prospectuses Rescinded April 30 2001
1552
Scope of Distribution Rescinded December
1557
Takeover Bids Defensive Tactics Rescinded August 4 1997
1558
Shareholder Communication
1565
Advertising of Securities on Radio or Television Interim Policy
1581
Policy 43 is still in draft form 44 Rules for Shelf Prospectus Offerings and for Pricing Offerings After the Prospectus is Receipted Rescinded Decemb...
1583
Policy 46 is still in draft form 47 Prompt Offering Qualification System Rescinded December 31 2000
1584
SelfRegulatory Organization Membership
1591
Reservations in an Auditors Report
1593
Changes in the Ending Date of a Financial Year and in Reporting Status
1597
CANADIAN SECURITIES ADMINISTRATORS NOTICES
1613
UNIFORM ACT POLICIES
1635
Policy No Page
1738
Rights Offerings Repealed July 25 2001
1768
CONFLICTS OF INTEREST
1782
ALBERTA SECURITIES COMMISSION BLANKET ORDERS
1797
Order No Page
1816
ALBERTA SECURITIES COMMISSION NOTICES
1851
Repealed effective February 16 1993
1857
Filing and Review of Material Contracts Referred to in Prospectuses
1864
Registration Notice No 1
1870
Acceptable Auditors for Audited Financial Statements
1876
Disruption of Mail Service
1884
TOPICALINDEX
1889
Copyright

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