ASX Listing Rules

 

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Chp Description
  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
   
   

 


Appendix Description
1A ASX Listing Application and agreement
1B ASX Debt Listing Application
1C ASX Foreign Exempt Listing Application
2A Application for +Quotation of +Securities
3A Timetable
3A.1 Notification of Dividend / Distribution
3A.2 Notification of Interest Payment or 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 by way of In Specie Distribution of +Securities in Another Entity
3A.6 Notification of Call – No Liability Company or Call/Instalment – Entities Except No Liability Companies
3B New issue announcement, application for quotation of additional securities and agreement
3C Announcement of Buy-back (Except Minimum Holding Buy-back)
3D Changes Relating to Buy-back (Except Minimum Holding Buy-back)
3E Daily Share Buy-back Notice (Except Minimum Holding Buy-back and Selective Buy-back)
3F Final Share Buy-back Notice (Except Minimum Holding Buy-back)
3G Notification of Issue, Conversion or Payment up of Equity Securities
3X Initial Director's Interest Notice
3Y Change of Director’s Interest Notice
3Z Final Director’s Interest Notice
4A Statement of CDIs on Issue
4B Half Yearly/Preliminary Final Report - Superseded. Please use Appendix 4D
4C Quarterly Cash Flow Report for Entities Subject to Listing Rule 4.7B
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 or Oil and Gas Exploration Entity Quarterly Cash Flow Report
6A Timetables
7A Timetables
8A Time Limits
9A Restriction Deed
9B Restrictions on +Securities
9C Restriction notice
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.

GN Name of guidance note Date of re-issue
1 Applying for Admission - ASX listings  December 2019
2 Stapled Securities September 2001
3 Co-operatives and Mutuals Listing on ASX August 2020
4 Foreign Entities Listing on ASX August 2020
5 CHESS Depository Interests December 2019
6 Trusts March 2002
7 US Entities - Regulation S Offerings on ASX October 2015
8 Continuous Disclosure: Listing Rules 3.1-3.1B February 2020
9 Disclosure of Corporate Governance Practices January 2020
10 Review of Operations and Activities: Listing Rule 4.10.17 March 2003
11 Restricted Securities and Voluntary Escrow December 2019
12 Significant Changes to Activities August 2020
13 Spin-outs of Major Assets December 2019
14 ASX Market Announcements Platform August 2018
15 ASX Listing Fees July 2017
15A ASX Schedule of Listing Fees January 2020
16 Trading Halts August 2018
17 Waivers and In-Principle Advice December 2019
18 Market Codes and Trading Procedures March 2004
19 Performance Shares August 2020
20 ASX Online December 2019
21 The Restrictions on Issuing Equity Securities in Chapter 7 of the Listing Rules December 2019
22 Director Disclosure of Interests and Transactions in Securities - Obligations of Listed Entities March 2002
23 Quarterly Reports December 2019
24 Acquisitions and Disposals of Substantial Assets Involving Persons in a Position of Influence December 2019
25 Issues of Equity Securities to Persons in a Position of Influence December 2019
26 Management Agreements April 2015
27 Trading Policies August 2019
28 Reasonable Fees for Activities Covered by Listing Rule 8.14.1 December 2016
29 Applying for Admission – ASX Debt Listings December 2019
30 Notifying an Issue of Securities and Applying for Their Quotation December 2019
31 Reporting on Mining Activities December 2013
32 Reporting on Oil & Gas Activities December 2013
33 Removal of Entities from the ASX Official List December 2019
34 Naming Conventions for Debt and Hybrid Securities December 2019
35 Security Holder Resolutions January 2020

 

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

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