ASX Market Rules - prior to 31 March 2008

PLEASE NOTE: This version of the ASX Market Rules is OUT OF DATE.

The following version of the ASX Market Rules, from before the implementation of the new Disciplinary Processes and Appeals Rulebook, has been provided as part of the Transitional Provisions of the new rulebook.

To view the current ASX Market Rules, click here.

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.

Description
Section 1 Introduction and General Rules
Section 2 Definitions and Interpretation
Section 3 Participants and Representatives
Section 4 Rights and Obligations of Market Participants and Responsible Executives
Section 5 Clearing and Settlement Arrangements
Section 6 Capital Requirements
Section 7 Relationship with Clients and Dealing for Employees and Related Persons
Section 8 Designated Trading Representatives and Accreditation of Advisers
Section 9 Legal Description of Classes of Financial Products
Section 10 Warrants
Section 11 DTP Products
Section 12 Trading Permission
Section 13 Trading Obligations of Trading Participants
Section 14 Market Suspensions, Technical Failure and other Orderly Market Powers
Section 15 Trade Errors, Cancellations and Dealing Disputes
Section 16 Cash Market Products and Cash Only Combinations
Section 17 Crossings - Cash Market Products
Section 18 Special Crossings - Cash Market Products
Section 19 Short Selling - Cash Market Products
Section 20 Takeover Bids, Schemes and Buy-Backs Conducted On-Market
Section 21 Derivatives Market Contracts and Derivatives Combinations
Section 22 Crossings - Derivatives Market Products
Section 23 Market Makers - Derivatives Market Contracts
Section 24 Exchange for Physical (EFP) Transactions - Futures
Section 25 Trading Restrictions and Limits - Derivatives Market Contracts
Section 26 Wholesale Loan Securities
Section 27 Overseas Market Linkages
Section 28 Supervision, Disciplinary Matters, Tribunal Proceedings and Appeals
Section 29 Transitional Arrangements for existing ASX Participants and ASXF Participants
Section 30 Transitional Arrangements for existing ASX Participating Organisations relying on Affiliate Basis of Recognition
Section 31 Trading Platform
Section 32 ITS Transitional Provisions
Schedule 1A - Risk Based Capital Requirements
Schedule 1A - Annexures
Schedule 1B NTA Requirements
Schedule 2-7 - Futures Contracts
Schedule 8 - Delivery and Settlement of Non CS Approved Products
Schedule 9 - Rules of Division 3 - Compensation Arrangements
Schedule 10 - Market Bid Agreement - Minimum Terms
ASX Market Rule Procedures
ASX Market Rule Procedures - Appendices
Guidance Note 1 - Prevention of Manipulative Trading 
Guidance Note 2 - Record of Action and Announcement
Guidance Note 3 - Reporting to Clients - Confirmations 
Guidance Note 4 - New Clients 
Guidance Note 5 - New Clients - Electronic Client Agreements 
Guidance Note 6 - Management Requirements 
Guidance Note 7 - Management Requirements - Good Fame & Character
Guidance Note 8 - Insurance Requirements 
Guidance Note 9 - Expiry of Unexercised Deliverable Warrants 
Guidance Note 10 - Disciplinary Proceedings 
Guidance Note 11 - Client Order Priority 
Guidance Note 12 - Client Money & Property - Client Funds 
Guidance Note 13 - Prohibition of Advice to Clients 
Guidance Note 14 - Trade Errors, Error Disputes and Cancellations 
Guidance Note 15 - Waivers of ASX Market Rules - Participants
Guidance Note 16 - Waivers of ASX Market Rules - Warrant 
Guidance Note 17 - Spread of Warrant Holders 
Guidance Note 18 - Disciplinary Tribunal Sanction Guidelines 
Guidance Note 19 - Automated Order Processing - Certification 
Guidance Note 20 - Crossings of Traded Products 
Guidance Note 21 - Automated Order Processing - Authorised Persons 
Guidance Note 22 - Automated Order Processing - Operational Requirements  
Guidance Note 23 - New Clients or Clients Trading 
Guidance Note 24 - Fees and other charges - Self Assessment 
Guidance Note 25 - Monitoring Compliance - Investigations 
Guidance Note 26 - ASX Approach to Privacy Laws 
Guidance Note 27 - Ongoing Compliance & Supervision  
Guidance Note 28 - Product Disclosure Statements 
Guidance Note 29 - Managed Discretionary Accounts 
Guidance Note 30 - Risk Management Framework 
Guidance Note 31 - Client Agreements - Requirement 
Guidance Note 32 - Bulk Authorisation of Index Arbitrage Orders 
Guidance Note 33 - Trading Records 
Guidance Note 34 - Designation of Approved Short Sale Products
Guidance Note 35 - Notification of Regulatory Action