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ASX Listing Rules

 

Below you will find a list of sections which are available for download in PDF format. PDF documents require Adobe Acrobat Reader.  

The sections are available to view only and cannot be printed.  

The Rules are available as subscription services by contacting our Authorised Publisher, LexisNexis at customer.relations@lexisnexis.com.au or via phone on 1800 772 772.

Chp Description
History of Listing Rules
Introduction
1 Admission
2 Quotation 
3 Continuous disclosure
4 Periodic disclosure
5 Additional reporting on mining and oil & gas production and exploration activities
6 Securities
7 Changes in capital and new issues
8 Transfers and registration
9 Restricted securities
10 Transactions with persons in a position of influence
11 Significant transactions
12 On-going requirements
13 Additional requirements for trusts
14 Meetings
15 Requirements for documents
16 Fees
17 Trading halts, suspension, removal
18 Application of listing rules
19 Interpretation and definitions
20 Self-listing of ASX

 


To complete online click on the Appendix number. The Appendix will open in Microsoft Word.

Appendix Description
1A

ASX Listing application and agreement

1B ASX Debt Listing application and agreement
1C ASX Foreign Exempt Listing application and agreement
2A Application for quotation of additional securities and agreement - Deleted. Please use 3B
3A Timetable
3B New issue announcement, application for quotation of additional securities and agreement
3C Announcement of buy-back
3D Changes relating to buy-back
3E Daily share buy-back notice
3F Final share buy-back notice
3X Initial Director's Interest Notice
3Y Change of Director's Interest Notice
3Z Final Director's Interest Notice
4A List of corporate governance matters
4B Half Yearly/Preliminary Final Report - Superseded. Please use Appendix 4D
4C Quarterly report for entities admitted on the basis of commitments
4D Half Year Report Period ending on or after 30 June 2003
4E Preliminary Final Report Period ending on or after 30 June 2003
4F Change of balance date 12 month period ending on or after 30 June 2003
4G Key to Disclosures - Corporate Governance Council Principles and Recommendations
5A Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves
5B Mining exploration entity quarterly report
6A Timetables
7A Timetables
8A Time limits
9A Restriction agreement
9B Restrictions on securities
15A Provisions required by rule 15.11.1
15B Provisions required by rule 15.11.1

 


Below you will find a list of guidance notes which are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

Chp GN Name of guidance note Date of re-issue
1 & 2 1 Applying for admission - ASX listings September 2014
1 2 Stapled securities September 2001
1 3 Co-operatives and mutual business entities September 2001
1 4 Foreign entities listing on ASX September 2014
1 5 CHESS Depository Interests (CDIs) March 2004
1 6 Trusts March 2002
1 7 US entities - Regulation S offerings on ASX March 2004
3 8 Continuous Disclosure: Listing Rules 3.1-3.1B January 2014
4 9 Disclosure of corporate governance practices July 2014
4 10 Review of operations and activities: listing rule 4.10.17 March 2003
9 11 Restricted securities and Voluntary Escrow March 2002
11 12 Significant Changes to Activities December 2013

11

13

Disposal of a major asset involving an entity to be listed: listing rule 11.4

September 2001

15 14 ASX Market Announcements Platform October 2012
16 15 ASX Listing Fees July 2014
16 15A ASX Schedule of Listing Fees July 2014
17 16 Trading Halts May 2013
17

Waivers and In-Principle Advice

May 2013
18 Market codes and trading procedures March 2004
19 Performance Shares

April 2014

20 ASX Online June 2012
21 Appeals October 2012
3 22 Director Disclosure of Interests and Transactions in Securities - Obligations of Listed Entities March 2002
4 23 Appendix 4c March 2002
10 24 Acquisition and disposal of assets between related parties: Listing Rule 10.1 - 10.10 June 2005
19 25 Exercise of Discretions March 2011
15 26 Management Agreements August 2008
12 27 Trading Policies January 2012
8 28 Transfers and Registration January 2011
29 (not yet issued)
30

Applying for Quotation of Additional Securities

January 2012
5 31 Reporting on Mining Activities December 2013
5 32 Reporting on Oil & Gas Activities December 2013
33 Removal of Entities from the ASX Official List January 2014

 


Waivers are available for download in PDF format. PDF documents require Adobe Acrobat Reader.

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005