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* 1. To help us identify the types of market participants responding to this survey, please indicate all of the following that apply to you.

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* 2. (optional) To better understand our survey results, please enter any personal information you are comfortable submitting. 

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* 3. Please indicate the extent to which you agree or disagree with the following statement:

It would be helpful if the ASC were to provide information and resources to start-up and early-stage Alberta businesses on capital raising options and the capital raising process.

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* 4. If you agreed with question #3, please identify any of the following efforts that you think would be helpful:

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* 5. Please indicate the extent to which you agree or disagree with the following statement:

It would be helpful if the ASC were to provide more general information to investors considering investing in start-ups and early stage Alberta businesses. 

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* 6. If you agreed with question #5, please identify any of the following efforts that you think would be helpful:

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* 7. Please indicate the extent to which you agree or disagree with the following statement: 

It would be helpful if the ASC were to expand the definition of accredited investor to include educated, experienced investors.

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* 8. If the ASC were to expand the accredited investor exemption to include educated, experienced investors, what type of education, coupled with experience, would be appropriate?

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* 9. Please indicate the extent to which you agree or disagree with the following statement: 

A technology solution (e.g., a database of accredited investors) should be pursued to address the compliance challenges associated with confirming accredited investor (or similar) status.

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* 10. Given that the policy rationale for the accredited investor exemption is “ability to withstand loss”, if the accredited investor exemption was expanded, would it be appropriate to limit the amount that an experienced, educated investor could lose?

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* 11. Please indicate the extent to which you agree or disagree with the following statement: 

The ASC should reduce the compliance costs for registered dealers when dealing with accredited investors e.g., providing an exemption from the know-your-client and suitability requirements when a registered dealer is dealing with an experienced accredited investor.

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* 12. Please indicate the extent to which you agree or disagree with the following statement: 

The ASC should adopt a registration exemption to exempt finders, in certain circumstances, from the requirement to be registered as a dealer.

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* 13. Please indicate the extent to which you agree or disagree with the following statement:

It would be helpful if securities regulators addressed the compliance burdens of registered dealers.

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* 14. If you think that the compliance burden of registered dealers should be addressed, please identify any of the following efforts that you think would be helpful:

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* 15. Please indicate the extent to which you agree or disagree with the following statement: 

 Further steps should be taken to facilitate angel investor investment funds.

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* 16. Please indicate the extent to which you agree or disagree with the following statement: 

A publicly traded fund focused on innovative businesses and available to retail investors would be beneficial.

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* 17. Please indicate the extent to which you agree or disagree with the following statement: 

Efforts need to be taken to address the regulatory burden associated with Alberta businesses trading in foreign capital markets.

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* 18. If efforts should be taken to address the regulatory burden associated with accessing foreign capital markets, which foreign markets are most significant:

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* 19. Please indicate the extent to which you agree or disagree with the following statement: 

An organized marketplace for secondary trading among institutional or accredited investors in the securities of non-public companies should be pursued.

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* 20. Please indicate the extent to which you agree or disagree with the following statement: 

Similar to the United States, the ASC should allow a semi-public market that allows secondary trading by retail investors of the securities of companies that provide less ongoing disclosure than typically required of a public company (reporting issuer).

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* 21. Please indicate the extent to which you agree or disagree with the following statement: 

Further efforts should be taken to facilitate crowd-lending and peer-to-peer lending in Alberta.

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* 22. Please identify any other recommendations you have and include any other comments you wish to share.

(If you have extensive comments or ideas to share with the ASC, please consider submitting a comment letter to:  new.economy@asc.ca.)

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