Recent rule amendments
There are regular updates to the operating rules of the ASX markets and clearing and settlement facilities. The information set out below provides details about recent changes to those rules.
The Rulebooks are also available to view online:
| Effective date | Amendment | Notice/Update |
| 01/01/24 | Updates to ASX Listing Rules Guidance Notes 15 and 15A | |
| 01/07/23 | Update to ASX Listing Rules Guidance Note 15A | Lised@Compliance Update - 05/23 (item 2) |
| 01/01/23 | Updates to ASX Listing Rules Guidance Note 15A | no notice |
| 01/07/22 | Updates to Chapter 5, Chapter 19 and Guidance Note 32 of the ASX Listing Rulebook - reporting requirements for oil and gas entities. | ASX Notice 0697.22.06 |
| 01/07/22 | Updates to ASX Listing Rules Guidance Note 15A | no notice |
| 08/10/21 | Updates to:
| Compliance Update 09/21 (item 2) |
| 01/07/21 | Guidance Note 15a for FY22 | no notice |
| 05/06/21 | On 5 June 2021, ASX amended its Listing Rules to incorporate changes relating to (among other things) its online forms,
| Compliance Update 04/21
|
| 12/03/21 | On 12 March 2021, ASX released an updated version of Guidance Note 19 Performance Securities (“GN 19”). | Compliance Update 02/21
|
| 09/12/20 | On 9 December 2020, ASX released updates to ASX Listing Rules Guidance Notes 5 Chess Depositary Interests and 8 Continuous Disclosure: Listing Rules 3.1 – 3.1B. Mark-ups of the changes are available at: Guidance Notice 5 - mark-ups and Guidance Notice 8 - mark-ups. | Compliance Update 12/20
|
| 28/08/20 | Updates to Guidance Notes 3 Co-operatives and Mutuals Listing on ASX, 4 Foreign Entities Listing on ASX, 12 Significant Changes to Activities and 19 Performance Securities. | Compliance update 09/20
|
| 28/02/20 | Update to Guidance Note 8 Continuous Disclosure: Listing Rules 3.1 – 3.1B | Compliance Update 02/20 (item 1) |
| 01/01/20 | Updates to:
| no notice |
| 01/01/20 | Listing fees: Guidance Note 15A | no notice |
| Effective date | Amendment | Notice/update |
| 15/04/24 | Amendments to facilitate ETP naming convention updates | |
| 25/03/24 | Addition of Cancel_Only Session State and amendment to Equity Options Session State Times | ASX Notice 0229.24.03 |
| 22/03/24 | Update to Guidance Note 5 – Suspension and Termination of Participants | ASX Notice 0282.24.03 |
| 11/03/24 | Procedure amendment – removal of “ST” and “STLT” condition codes | ASX Notice 0201.24.02 |
| 04/03/24 | Update to Guidance Note 1 - Admission as a Participant | ASX Notice 0204.24.03 |
| 19/02/24 | Removal of redundant rules relating to futures products, and miscellaneous changes to contemporise the rulebook | ASX Notice 0049.24.01 |
| 19/02/24 | Changes to ASX Trade cancellation rules for Equity Options | ASX Notice 0047.24.01 |
| 15/12/23 | Update to Guidance Note 08 - Notification Obligations | ASX Notice 1366.23.12 |
| 03/11/23 | Update to the list of Reliable Pricing Framework entities: Procedure 7100 | ASX Notice 1097.23.10 |
| 21/07/23 | Qualifying Cancellation Range consent time | ASX Notice 0710.23.07 |
| 28/11/22 | Changes to Trade Cancellation Policy | ASX Notice 1302.22.11 |
| 30/05/22 | Amendment: Procedures, Section 7 and Schedule 10A | ASX Notice 0600.22.06 |
| 24/01/22 | Package of Miscellaneous Procedure Amendments | ASX Notice 1756.21.12 |
| 04/01/22 | Amendment: Procedure 4025 – Order to Trade Ratio | ASX Notice 1706.21.11 |
| 22/09/21 | Amendment: Rule & Procedure Amendments – Section 7 , Procedure 7100 and 10A.3.3 of Schedule 10A | ASX Notice 1318.21.09 |
| 07/05/21 | Amendment: Introduction of 8 new ETO Class and associated ETO Special Size rule amendment | ASX Notice 0555.21.04 |
| 09/12/20 | On 9 December 2020, ASX released an update to ASX Operating Rule Guidance Note 12 Warrant and Aqua Product Liquidity Requirements to reflect the changes made earlier in the year to ASIC’s guidance in ASIC Information Sheet IS 230. Mark-up showing the amendments | no notice |
| 03/12/20 | Temporary Exemption to Special Crossing of Exchange Traded Options for 15-17 December 2020 | ASX Notice: 1606.20.12 |
| Effective date | Amendment | Notice/update |
| 06/05/24 | Exchange for Physical (EFP) and Block Trade Procedure Changes | ASX Notice 0334.24.04 |
| 04/03/24 | Update to Guidance Note 1 - Admission as a Participant | ASX Notice 0204.24.03 |
| 19/02/24 | Updates to Procedure 2500.1 Determination of Daily Settlement Price | ASX Notice 0050.24.01 |
| 19/02/24 | ASX Grains Approved Bulk Handlers | ASX Notice 1313.23.12 |
| 01/02/24 | ASX 90-Day Bank Accepted Bills: Removal of back four (Gold) contracts | ASX Notice 0070.24.01 |
| 15/12/23 | Update to Guidance Note 08 - Notification Obligations | ASX Notice 1366.23.12 |
| 08/11/23 | Temporary change to Block Trade thresholds for Australian and New Zealand Electricity Futures and Options | ASX Notice 1156.23.11 |
| 02/10/23 | ASX Electricity Futures and Options - strike increment & Daily Settlement Price methodology |
ASX Electricity Futures and Options Contracts - Daily Settlement Price Methodology |
| 21/07/23 | Fallback provisions for Australian and New Zealand Bank Bill Futures and Qualifying Cancellation Range consent time | |
| 28/11/22 | Changes to Trade Cancellation Policy | ASX Notice 1301.22.11 |
| 1/11/22 | Clarification of Daily Settlement Price Procedures for Electricity Futures Contracts and Gas Futures Contracts | ASX Notice 1075.22.09 |
| 17/10/22 | 3 Year Bond Futures minimum price increment increase | ASX Notice 1117.22.10 |
| 29/07/22 | Delisting of Wallumbilla Natural Gas Futures Contracts (GJ/GK) from the ASX 24 Trading Platform | ASX Notice 0792.22.07 |
| 24/01/22 | Package of Miscellaneous Procedure Amendments | ASX Notice 1756.21.12 |
| 04/01/22 | Amendment: Procedure 4025 – Order to Trade Ratio | ASX Notice 1706.21.11 |
| 15/11/21 | Review of ASX 24 Interest Rate Futures Expiry Position Limits | ASX Notice 1621.21.1 |
| 7/06/21 | 4800 | ASX Notice 0602.21.05 |
| 9/04/21 | Amendment to Procedure 3200.8 and 4022 outlines the treatment of off tick order fills | ASX Notice 0271.21.03 |
| 22/03/21 | Australian Electricity Futures Contracts amended to reflect new 5 minute spot electricity settlement price from 1 October 2021. | ASX Notice 0193.21.02 |
| 27/11/20 | ASX 5 Year Treasury Bond Future Operating Rules | ASX Notice 1402.20.11 |
| 18/08/20 | S&P/ASX 200 Sector Index Futures - Change to Block Trading Procedures | ASX Notices |
| 07/08/20 | ASX 24 Schedules - Australian Base Load Electricity Cap Futures Contract – Additional expiry and change of margining methodology. | ASX notice 0770.20.07 |
| 03/8/20 | 3 and 10 Year Bond Tick Increment Procedure update, and; Amendment to Expiry Settlement Time for cash settled 90 Day Bank Bill Futures Contract | ASX Notices 0878.20.08 0890.20.08 |
| 01/07/20 | De-listing of Eastern Australia (EA) Canola Futures and Options Contracts | ASX Notice 0467.20.05 |
| Effective date | Amendment | Notice/update |
| 22/03/24 | Update to Guidance Note 12 – Trust Accounts | ASX Notice 0282.24.03 |
| 04/03/24 | Update to Guidance Note 1 - Admission as a Participant | ASX Notice 0204.24.03 |
| 19/02/24 | Removal of redundant rules relating to futures products, and miscellaneous changes to contemporise the rulebook | ASX Notice 0049.24.01 |
| 15/12/23 | Update to Guidance Note 08 - Notification Obligations | ASX Notice 1366.23.12 |
| 25/07/22 | Minor amendments made to the ASX Clear Risk Consultative Committee (RCC) framework in the Procedures to enable all ASX Clear participants to participate in the RCC if they choose to do so. | Mark up document |
| 15/07/22 | Amendments to ASX Clear Operating Rules Procedures and ASX Settlement Operating Rules Procedures – changes for AMOs | ASX Notice 0731.22.07 |
| 09/05/22 | Amendment: Guidance Note 13 - Managing liquidity requirements | ASX Notice 0520.22.05 |
| 24/01/22 | Package of Miscellaneous Procedure Amendments | ASX Notice 1756.21.12 |
| 16/08/21 | Changes to ASX Clear Operating Rules regarding trust and client segregated accounts | ASX Notice 1092.21.08 |
| 07/05/21 | Amendment: Introduction of 8 new ETO Class and associated ETO Special Size rule amendment | ASX Notice 0555.21.04 |
| 23/11/20 | Amendments to ASX Clear Operating Rules - National Stock Exchange of Australia Limited (NSX) commencement of Trade Acceptance Service in respect of their listed CHESS eligible Financial Products | ASX Notice 1517.20.11 |
| 06/07/20 | Default Management Enhancements to Operating Rules of ASX CS facility licensees. | ASX notice 0716.20.07 |
| 28/02/20 | Minor Amendments to ASX Clear Operating Rule Procedures – Form C3 (Transfer of Collateral between Participants) | ASX Notice 0149.20.02 |
| Effective date | Amendment | Notice/update |
| 15/04/24 | Amendments to facilitate ETP naming convention updates | ASX Notice 0254.24.03 |
| 04/03/24 | Update to Guidance Note 1 - Admission as a Participant | ASX Notice 0204.24.03 |
| 15/12/23 | Update to Guidance Note 08 - Notification Obligations | ASX Notice 1366.23.12 |
| 15/07/22 | Amendments to ASX Clear Operating Rules Procedures and ASX Settlement Operating Rules Procedures – changes for AMOs | ASX Notice 0731.22.07 |
| 24/01/22 | Package of Miscellaneous Procedure Amendments | ASX Notice 1756.21.12 |
| 12/12/21 | ASX Settlement Operating Rules Procedures amendments | ASX Notice 1816.12.12 |
| 08/10/21 | Guidance Note 13, ASX Settlement Operating Rules | ASX Notice 1395.21.10 |
| 15/06/21 | ASX Settlement Operating Rules Procedures Amendment - FOR TAGs | ASX Notice: 0757.21.06 |
| 01/06/21 | “FOR” Financial Products: Keypath Education International Inc.– Procedures: Schedule 1 | ASX Notice: 0696.21.06 |
| 29/03/21 | “FOR” Financial Products: Computershare Limited – Procedures: Schedule 1 | ASX Notice: 0378.21.03 |
| 23/12/20 | “FOR” Financial Products: Omni Bridgeway Limited – Procedures: Schedule 1 | ASX Notice 1756.20.12 |
| 25/11/20 | “FOR” Financial Products: Pivotal Systems Corporation. – Procedures: Schedule 1 | ASX Notice 1488.20.11 |
| 23/11/20 | Amendments to ASX Settlement Operating Rules - National Stock Exchange of Australia Limited (NSX) commencement of Trade Acceptance Service in respect of their listed CHESS eligible Financial Products | ASX Notice 1517.20.11 |
| 26/10/20 | “FOR” Financial Products: Zebit, Inc. – Procedures: Schedule 1 | ASX notice 1332.20.10 |
| 09/09/20 | “FOR” Financial Products: PointsBet Holdings Limited – Procedures: Schedule 1 | ASX 1085.20.09 |
| 24/08/20 | “FOR” Financial Products: Tabcorp Holdings Limited – Procedures: Schedule 1 | ASX notice 0987.20.08 |
| 19/08/20 | “FOR” Financial Products: Coronado Global Resources Inc. – Procedures: Schedule 1 | ASX notice 0973.20.08 |
| 14/08/20 | “FOR” Financial Products: Sydney Airport – Procedures: Schedule 1 | ASX Notice 0948.20.08 |
| 06/07/20 | Default Management Enhancements to Operating Rules of ASX CS facility licensees. | ASX notice 0716.20.07 |
| 07/04/20 | “FOR” Financial Products: Osprey Medical Inc – Procedures: Schedule 1 | ASX Notice 0300.20.04 |
| 06/03/20 | "FOR" Financial Products: Coronado Global Resources Inc - Procedures: Schedule 1 | ASX Notice 0178.20.02 |
| Effective date | Amendment | Notice/update |
| 04/03/24 | Update to Guidance Note 1 - Admission as a Participant | ASX Notice 0204.24.03 |
| 15/12/23 | Update to Guidance Note 08 - Notification Obligations | ASX Notice 1366.23.12 |
| 27/06/22 | ASX OTC Clearing – OTC fallback rate provisions and OTC product eligibility enhancements | ASX Notice 0680.22.06 |
| 01/02/22 | DM Auction Framework and extension of existing default indemnity | ASX Notice 1881.21.12 |
| 24/01/22 | Package of Miscellaneous Procedure Amendments | ASX Notice 1756.21.12 |
| 29/11/21 | Clarifying ownership of cash and securities lodged as margin | ASX Notice 169.21.11 |
| 04/10/21 | ASX OTC Clearing – 2021 ISDA Interest Rate Derivatives Definitions | ASX notice 1364.21.09 |
| 06/07/20 | Default Management Enhancements to Operating Rules of ASX CS facility licensees. | ASX notice 0716.20.07 |
| 06/07/20 | Multilateral Compression – ASX OTC Clearing | ASX notice 0722.20.07 |
| Effective date | Amendment | Notice/update |
| 06/07/20 | Default Management Enhancements to Operating Rules of ASX CS facility licensees. | ASX notice 0716.20.07 |
| Effective date | Amendment | Notice/update |
| 24/01/22 | Package of Miscellaneous Procedure Amendments | ASX Notice 1756.21.12 |
| 15/09/21 | Amendment to Austraclear Limited Procedures Determinations and Practice Notes & Section 2, 3.3, 13.2, Schedule A, Schedule C1; Austraclear Systems Regulations & Section 13.2 | ASX notice 1202.21.09 |
| 01/07/21 | Amendments to the Austraclear Regulations and Austraclear Regulations Procedures, Determinations and Practice Notes | ASX notice 0726.21.06 |
| 01/03/21 | Austraclear to introduce new Linked Settlement functionality and Market Repo enhancements | ASX notice 0096.21.02 |
| 06/07/20 | Default Management Enhancements to Operating Rules of ASX CS facility licensees. | ASX notice 0716.20.07 |
| 30/06/20 | Austraclear payment of interest where interest rates are negative: Procedures 11.0.03 & 11.1 | ASX Notice 0695.20.06 |
| Effective date | Amendment | Notice/update |
| 26/02/24 | Amendment to US settlement bank investment loss allocation | ASX Notice 0143.24.02 |
| 01/11/22 | Allocation of US settlement bank investment losses under the ASX Recovery Rules | ASX Notice 1164.22.10 |
