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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:

Recent ASX Listing Rules amendments

14/04/14 New rights issue timetables – Rules 1, 3, 6, 7 & 19; Appendices 3A, 6A & 7A Listed Entities Update 03/14
(item 4)
03/02/14 Listing Fees – Guidance Notes 15 & 15A no notice
01/01/14 Changes re long-term suspended entities – Guidance Note 8 & new Guidance Note 33 Media Release 28/11/13
01/12/13 Mineral reserves and resources reporting – Rules 1, 2, 3, 4, 5, 12 & 19; Appendix 5A; GNs 1 & 12; new GNs 31 & 32 Listed Entities Update 08/13
01/07/13 Listing Fees – Guidance Notes 15 & 15A Listed Entities Update 03/13

Recent ASX Operating Rules amendments

14/04/14 New rights issue timetables – Rule 2113 Listed Entities Update 03/14
(item 4)
14/04/14 Changes to ETO Crossing Rule Procedures– Procedure 4060 ASX Notice 0189.14.03
21/03/14 mFund Settlement Service ASX Notice 0024.14.02
12/03/14 New Guidance Notes 2, 5, 6, 8 & 11 ASX Notice 0176.14.03
17/02/14 Ultra-high denomination Security Types – Procedures 4060, 4810 & 7100 ASX Trade Circular 0051.14.02
17/02/14 Changes to ETO Crossing Procedures – Procedures 4810 & 7100 Circular 005/14
25/11/13 Application of Regulatory Halts – Procedures 3200 & 3260 Circular 555/13
25/11/13 Centre Point Enhancements – Procedures 4022, 4024 & 4032 Circular 553/13
08/10/13 BookBuild – Rules 2100, 4000, 4040, 4900-4950, 6800 & 7100; Procedures 3200, 3210, 3260, 3500, 4030, 4910-40 & 7100; Appendices 4013, 4910 & 4940 Circular 473/13
19/08/13 Operational Requirements & AOP Certifications – Procedures 1000(g) & 1401(a) Circular 451/13
Attachment A
05/08/13 New Guidance Note 4 – Waivers and In-Principle Advice Circular 419/13
Attachment A
08/07/13 Block Special Crossings – Procedures 3500, 4810 & 7100 Circular 377/13
Attachment A
08/07/13 Participant notification to ASX of Authorised Signatories – Procedure 6510 Circular 289/13

Recent ASX 24 Operating Rules amendments

25/03/14 CFD final trading days: Appendices 2.81.1 & 2.82 ASX Notice 0231.14.03
17/03/14 Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX Notices
0152.14.03
0154.14.03
12/03/14 New Guidance Notes 2, 5, 6 & 8 ASX Notice 0176.14.03
26/02/14 Increase to ASX 3 and 10 Year Treasury Bond Futures Position Limits: Procedure 3400 ASX 24 Notice 008/14
20/01/14 Amendments to the Single Session Options Cancellation Ranges: Procedure 3200 ASX 24 Notice 229/13
27/12/13 Exchange for Physical Transactions – Procedure Enhancements: Procedure 4800 ASX 24 Notice 202/13
20/12/13 Delisting ASX Wool contracts: Appendices 2.70.1, 2.70.2 & 2.71.1 ASX 24 Notice 230/13
16/12/13 Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX 24 Notice 216/13
ASX 24 Notice 218/13
09/12/13 ASX New Zealand Electricity Futures and Options – New contracts: Schedules 2.61, 2.62A, 2.65 & 2.67; Procedure 3200; Appendices 2.61.2.1-2, 2.62A.1.1-2, 2.65.1.1-2 & 2.67.1.1-2 ASX 24 Notice 190/13
02/12/13 Agricultural Derivatives – Change to Trading Hours: Appendices 2.70.1, 2.70.2, 2.71, 2.77.1-10 ASX 24 Notice 200/13
21/10/13 VIX Futures: new Schedule 2.46; Procedures 2500, 3200 & 4820; Appendix 2.46 ASX 24 Notice 175/13
14/10/13 Sector Futures: new Schedules 2.47 & 2.48; Procedures 2500, 3200, 4401, 4800 & 4820; new Appendices 2.47 & 2.48 ASX 24 Notice 175/13
16/09/13 Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures ASX 24 Notice 154/13
ASX 24 Notice 155/13
09/09/13 New contract – Average Rate Options over Base Load Calendar Quarter Electricity Futures: Schedule 2.66; Appendices 2.66.1.1-4 ASX 24 Notice 140/13
05/08/13 New Guidance Note 4 – Waivers and In-Principle Advice ASX 24 Notice 137/13
Attachment A
05/08/13 Updated Settlement Lists for the 3 Month Overnight Index Swap Futures contract and 3 and 10 Year New Zealand Government Stock Futures contracts – Appendices 2.27.1, 2.28.1 & 2.35.1 ASX 24 Notice 126/13
ASX 24 Notice 127/13
08/07/13 Participant notification to ASX of Authorised Signatories – Procedure 6510 ASX 24 Notice 104/13
01/07/13 Block Trading NZ 90 Day Bank Bill Futures and 3 Month Overnight Index Swap Futures: Procedure 4820 ASX 24 Notice 098/13

Recent ASX Clear Operating Rules amendments

12/03/14 New Guidance Notes 2, 5, 6 & 8 ASX Notice 0176.14.03
13/12/13 Removing duplicated auditor's report requirement: Procedure 4.4.3 no notice
08/08/13 Multiple Participant IDs ASX Clear Notice 061/13
05/08/13 New Guidance Note 4 – Waivers and In-Principle Advice ASX Clear Notice 060/13
Attachment A
02/08/13 Changes to ASX Clear Operating Rules: amendment of the definition of Direct Participant; removal of Dual Capital Requirements for ASX Clear NTA Participants that are also ASX Clear (Futures) Participants ASX Clear Notice 065/13
02/08/13 Admission of Licensed Banks as Participants: Rules 2, 3, 4, 5, 18 & 19; Procedures 3, 4 & 5; Annexure 6 ASX Clear Notice 064/13

Recent ASX Settlement Operating Rules amendments

17/04/14 Updated Settlement Facilitation Service: Procedure 2 ASX Notice 0370.14.04
14/04/14 New rights issue timetables – Rules 8.26.1, 10.22.1 & 11.31.6 Listed Entities Update 03/14
(item 4)
21/03/14 mFund Settlement Service ASX Notice 0024.14.02
19/03/14 "FOR" Financial Products: inclusion of Spark Infrastructure Group – Procedures: Schedule 1 ASX Notice 0230.14.03
12/03/14 New Guidance Notes 2, 5, 6 & 8 ASX Notice 0176.14.03
26/02/14 "FOR" Financial Products: inclusion of Billabong International Limited – Procedures: Schedule 1 ASX Notice 0110.14.02
07/02/14 "FOR" Financial Products: removal of Linktone Ltd – Procedures: Schedule 1 Bulletin 024/14
20/01/14 Definition of Approved Market Operator: Procedure 2 Bulletin 702/13
Attachment A
13/09/13 "FOR" Financial Products: inclusion of Linktone Ltd – Procedures: Schedule 1 Bulletin 427/13
06/09/13 "FOR" Financial Products: removal of Universal Biosensors Inc. – Procedures: Schedule 1 Bulletin 396/13
08/08/13 Multiple Participant IDs Bulletin 367/13
05/08/13 New Guidance Note 4 – Waivers and In-Principle Advice Bulletin 350/13
Attachment A
02/08/13 Admission of Licensed Banks as Participants: Rules 2, 4 & 12; Procedure 4 Bulletin 371/13
19/07/13 "FOR" Financial Products: inclusion of ALS Limited – Procedures: Schedule 1 Bulletin 318/13
01/07/13 "FOR" Financial Products: removal of 5 financial products – Procedures: Schedule 1 Bulletin 283/13

Recent ASX Clear (Futures) Operating Rules amendments

07/04/14 OTC Clearing Client Protection Model provisions: OTC Rules 1, 2, 4, Schedule 1; OTC Handbook 4, Schedules 1 & 7 ASX Notice 0192.14.03
24/02/14 ASX 24 Agricultural Derivatives: Change to Open Interest Procedures 46.3 & 46.5 ASX 24 Notice 007/14
11/02/14 Client Clearing Operating Rules ASX 24 Notice 005/14
16/08/13 Introduction of "Cover 2" Financial Resources – Procedure 7.1 ASX 24 Notice 145/13
02/08/13 Amendments to ASX Clear (Futures) Operating Rules 1.1, 3.4, 8 and Schedule 9 ASX 24 Notice 142/13
01/07/13 OTC Interest Rate Derivatives Clearing ASX 24 Notice 120/13
01/07/13 Designation of assets in the event of a default: Procedure 7.1 ASX 24 Notice 124/13
01/07/13 OTC Commitments during Transition: OTC Rules Schedule 2 ASX 24 Notice 125/13

Recent ASX Enforcement and Appeals Rulebook amendments

No recent amendments.

Recent Austraclear Regulations amendments

05/07/13 ASX Collateral: new Rule 28 + consequential amendments Austraclear Notice 130/13

 

1 August 2010: New Operating Rules for ASX and SFE

On 1 August 2010 new operating rules were introduced for the ASX and SFE markets. The SFE market was renamed the ASX 24 and this name has been used in the new Rules.

A document explaining the changes, along with copies of the new Rules and associated Procedures are available as follows:

ASX Operating Rules ASX 24 Operating Rules
ASX Operating Rules Schedules ASX 24 Schedule 1
ASX Operating Rules Procedures ASX 24 Procedures
ASX Operating Rules Procedures Appendices ASX 24 Procedures Appendices

Please note that the formatting and page numbers for these rules and procedures are not yet finalised, but the content and rule and procedure numbers will not change.

Consequential changes to other rulebooks:

ASX Enforcement and Appeals Rulebook(previously called the Australian Securities Exchange Disciplinary Processes and Appeals Rulebook)

ASX Clear Operating Rules(previously called the ACH Clearing Rules)

ASX Settlement Operating Rules(previously called the ASTC Settlement Rules)

ASX Clear (Futures) Operating Rules (previously called the Clearing Rules of SFE Clearing)

Austraclear Regulations

ASX Listing Rules