ASX Market 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.

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 10A AQUA Products and the AQUA Trading Market
Section 10B AQUA Quote Display Board
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
ASX Market Rule Guidance Notes
Cross Reference Tables