NSX National Stock Exchange of Australia

BUSINESS RULES

The NSX Business Rules are to be used by NSX member brokers while Participants of NSX. The NSX Business Rules are provided in Adobe Acrobat format and are divided into sections.
From time to time the NSX issues Practice Notes which explain the operation of certain rules. NSX recommends that the latest practice notes be obtained and are read in conjunction with these rules.

DOCUMENTS

Business Rules - Complete - Effective Date April 2011

Broker Forms

ASIC Market Integrity Rules

NSX Participants are also governed by the ASIC Market Integrity Rules. The above NSX Business Rules must also be read in conjunction with the ASIC Market Integrity Rules.

The Corporations Amendment (Financial Market Supervision) Act 2010 provides for a new type of rule called market integrity rules. These rules are made by ASIC and apply to market operators, market participants, other prescribed entities and financial products traded on the relevant markets.

The following ASIC market integrity rules were made on 1 August 2010 and are based on legislation and regulations as at 1 August 2010. ASIC's approach in making market integrity rules has been to not change the substance of the pre-existing obligations that apply to participants of the relevant markets at this time.

ASIC is responsible for supervising compliance with these rules.

The relevant documents are the ASIC Market Integrity Rules (NSXA Market), ASIC Market Integrity Rule Appendix (Comparison of NSXA Business Rules and ASIC Market Integrity Rules NSXA Market) and Regulatory Guide 215: Guidance on ASIC market integrity rules for NSXA and SIM VSE markets.

The latest documents can be found on the ASIC Market Integrity Rules Website.

ASIC Market Integrity Documents - 2010

ASIC NSXA Market Integrity Rules 20100801

ASIC NSXA Market Integrity Rules Appendix 20100801

ASIC Regulatory Guide 215 Guidance on market integrity rules for NSXA 1August2010