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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 or via phone on 1800 772 772. You can also sign up to LexisNexis ASX Alerts service; click here to subscribe for free.

Chp Description
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

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
3A.1 Notification of dividend/distribution
3A.2 Notification of interest payment & interest rate change
3A.3 Notification of reorganisation of capital - security consolidation or split
3A.4 Notification of reorganisation of capital - return of capital (cash)
3A.5 Notification of reorganisation of capital - return of capital (in specie distribution of securities)
3A.6 Notification of call - no liability company or call/installment - entities except no liability companies
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 - Deleted 30/09/01.  Refer to GN 9 - Disclosure of Corporate Governance Practices
4B Half Yearly/Preliminary Final Report - Superseded.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 December 2016
1 2 Stapled securities September 2001
1 3 Co-operatives and mutuals listing on ASX April 2015
1 4 Foreign entities listing on ASX December 2016
1 5 CHESS Depository Interests (CDIs) December 2016
1 6 Trusts March 2002
1 7 US entities - Regulation S offerings on ASX October 2015
3 8 Continuous Disclosure: Listing Rules 3.1-3.1B December 2016
4 9 Disclosure of corporate governance practices December 2016
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 2016



Disposal of a major asset involving an entity to be listed: Listing Rule 11.4

September 2001

15 14 ASX Market Announcements Platform December 2016
16 15 ASX Listing Fees December 2015
16 15A ASX Schedule of Listing Fees December 2016
17 16 Trading Halts December 2015

Waivers and In-Principle Advice

December 2015
  18 Market codes and trading procedures March 2004
  19 Performance Shares

April 2014

  20 ASX Online March 2016
  21 Withdrawn 24 December 2015  
3 22 Director Disclosure of Interests and Transactions in Securities - Obligations of Listed Entities March 2002
4 23 Quarterly Cash Flow Reports December 2016
10 24 Acquisition and disposal of assets between related parties: Listing Rules 10.1 - 10.10 June 2005
19 25 Withdrawn 30 April 2015  
15 26 Management Agreements April 2015
12 27 Trading Policies December 2016
8 28 Reasonable Fees for activities covered by Listing Rule 8.14.1 December 2016
  29 Applying for Admission – ASX Debt Listings December 2016

Applying for Quotation of Additional Securities

December 2016
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 December 2016
  34 Naming Conventions for Debt and Hybrid Securities August 2015


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