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ASX Operating 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.

As a consequence of the transfer of certain supervisory powers to ASIC in August 2010, the Guidance Notes marked * and corresponding rules are overseen by ASIC. The remaining Guidance Notes continue to be overseen by ASX.

*Guidance Note 1 - Prevention of Manipulative Trading  Now overseen by ASIC

Guidance Note 2 - Record of Action Announcement

*Guidance Note 3 - Reporting to Clients - Confirmations  Now overseen by ASIC

*Guidance Note 4 - New Clients  Now overseen by ASIC

*Guidance Note 5 - New Clients - Electronic Client Agreements  Now overseen by ASIC

*Guidance Note 6 - Management Requirements  Now overseen by ASIC

*Guidance Note 7 - Management Requirements - Good Fame & Character  Now overseen by ASIC

*Guidance Note 8 - Insurance Requirements  Now overseen by ASIC

Guidance Note 9 - Expiry of Unexercised Deliverable Warrants
Replaced by ASX Operating Rules GN 11 - Obligations on the Expiry of a Warrant

*Guidance Note 11 - Client Order Priority  Now overseen by ASIC

*Guidance Note 12 - Client Money & Property - Client Funds  Now overseen by ASIC
Replaced by ASX Clear Operating Rules GN 12 - Trust and Client Segregated Accounts

*Guidance Note 13 - Prohibition of Advice to Clients  Now overseen by ASIC

Guidance Note 15 - Waivers of ASX Market Rules - Participants
Replaced by ASX Operating Rules GN 04 - Waivers and In-Principle Advice

Guidance Note 17 - Spread of Warrant Holders
Replaced by ASX Operating Rules GN 12 - Warrant and AQUA Product Liquidity Requirements

*Guidance Note 19 - Automated Order Processing - Certification  Now overseen by ASIC

*Guidance Note 21 - Automated Order Processing - Authorised Persons  Now overseen by ASIC

*Guidance Note 22 - Automated Order Processing - Operational Requirements  Now overseen by ASIC

*Guidance Note 23 - New Clients or Clients Trading  Now overseen by ASIC

Guidance Note 25 - Monitoring Compliance - Investigations

Guidance Note 26 - ASX Approach to Privacy Laws
Replaced by ASX Operating Rules GN 06 - Privacy Matters

*Guidance Note 27 - Ongoing Compliance and Supervision  Now overseen by ASIC

*Guidance Note 29 - Managed Discretionary Accounts  Now overseen by ASIC

*Guidance Note 31 - Client Agreements - Requirements  Now overseen by ASIC

Guidance Note 32 - Bulk Authorisation of Index Arbitrage Orders
Replaced by ASX Operating Rules GN 14 - Maintenance of an Orderly Market When Executing Index Arbitrage Orders

*Guidance Note 33 - Trading Records  Now overseen by ASIC

Guidance Note 35 - Notification of Regulatory Action
Replaced by ASX Operating Rules GN 8 - Notification Obligations

Guidance Note 36 - End-Clients Using Margined Financial Products - Risks For Participants
Replaced by ASX Clear Operating Rules GN 11 - Settlement Risks for Participants where Financial Products are Controlled by Third Parties

Guidance Note 37 - Maintenance of an Orderly Market When Closing Out Settlement Failures
Replaced by ASX Operating Rules GN 13 - Maintenance of an Orderly Market When Closing Out Settlement Failures

All

Name Size Upload Date
September 16-30, 2020
Waiver
85KB 22/10/2020
September 1-15, 2020
Waiver
85KB 12/10/2020
August 16-31, 2020
Waiver
85KB 24/09/2020
July 16-31, 2020
Waiver
85KB 20/08/2020
July 1-15, 2020
85KB 04/08/2020
June 16-30, 2020
94KB 20/07/2020
June 1-15, 2020
85KB 06/07/2020
May 1-15, 2020
Waiver
86KB 29/06/2020
April 16-30, 2020
Waiver
460KB 29/06/2020
May 16-31, 2020
Waiver
102KB 24/06/2020
April 1-15, 2020
Waiver
85KB 05/05/2020
March 16-31, 2020
Waiver
85KB 21/04/2020
March 1-15, 2020
waivers
85KB 01/03/2020
February 16-29, 2020
waivers
85KB 16/02/2020
February 1-15, 2020
waivers
85KB 01/02/2020
January 16-31, 2020
waivers
134KB 16/01/2020
January 1-15, 2020
Waivers
134KB 01/01/2020
December 16-31, 2019
Waivers
134KB 16/12/2019
December 1-15, 2019
Waivers
134KB 01/12/2019
November 16-30, 2019
Waivers
196KB 16/11/2019
November 1-15, 2019
Waivers
134KB 01/11/2019
October 16-31, 2019
Waivers
1MB 16/10/2019
October 1-15, 2019
Waivers
134KB 01/10/2019
September 16-30, 2019
Waivers
134KB 16/09/2019
September 1-15, 2019
Waivers
134KB 01/09/2019
August 16-31, 2019
Waivers
134KB 16/08/2019
August 1-15, 2019
Waivers
134KB 01/08/2019
July 16-31, 2019
Waivers
134KB 16/07/2019
July 1-15, 2019
Waivers
134KB 01/07/2019
June 16-30, 2019
Waivers
134KB 16/06/2019
June 1-15, 2019
Waivers
134KB 01/06/2019
May 16-31, 2019
Waivers
134KB 16/05/2019
May 1-15, 2019
Waivers
134KB 01/05/2019
April 16-30, 2019
Waivers
134KB 16/04/2019
April 1-15, 2019
Waivers
134KB 01/04/2019
March 16-31, 2019
Waivers
134KB 16/03/2019
March 1-15, 2019
Waivers
134KB 01/03/2019
February 16-28, 2019
Waivers
134KB 16/02/2019
February 1-15, 2019
Waivers
134KB 01/02/2019
January 16-31, 2019
Waivers
134KB 16/01/2019
January 1-15, 2019
Waivers
134KB 01/01/2019
December  16-31, 2018
Waivers
134KB 16/12/2018
December 1-15, 2018
Waivers
134KB 01/12/2018
November 16-30, 2018
Waivers
134KB 16/11/2018
November 1-15, 2018
Waivers
134KB 01/11/2018
October 16-31, 2018
Waivers
134KB 16/10/2018
October 1-15, 2018
Waivers
134KB 01/10/2018
September 16-30, 2018
Waivers
134KB 16/09/2018
September 1-15, 2018
Waivers
134KB 01/09/2018
August 16-31, 2018
Waivers
134KB 16/08/2018
August 1-15, 2018
Waivers
134KB 01/08/2018
July 16-31, 2018
Waivers
134KB 16/07/2018
July 1-15, 2018
Waivers
134KB 01/07/2018
June 16-30, 2018
Waivers
134KB 16/06/2018
June 1-15, 2018
Waivers
134KB 01/06/2018
May 16-31, 2018
Waivers
134KB 16/05/2018
May 1-15, 2018
Waivers
135KB 01/05/2018
April 16-30, 2018
Waivers
134KB 16/04/2018
April 1-15, 2018
Waivers
134KB 01/04/2018
March 16-31, 2018
Waivers
134KB 16/03/2018
March 1-15, 2018
Waivers
134KB 01/03/2018
February 16-28, 2018
Waivers
134KB 16/02/2018
February 1-15, 2018
Waivers
134KB 01/02/2018
January 16-31, 2018
Waivers
134KB 16/01/2018
January 1-15, 2018
Waivers
134KB 01/01/2018
December 16-31, 2017
Waivers
134KB 16/12/2017
December 1-15, 2017
Waivers
134KB 01/12/2017
November 16-30, 2017
Waivers
134KB 16/11/2017
November 1-15, 2017
Waivers
134KB 01/11/2017
October 16-31, 2017
Waivers
134KB 16/10/2017
October 1-15, 2017
Waivers
134KB 01/10/2017
September 16-30, 2017
Waivers
196KB 16/09/2017
September 1-15, 2017
Waivers
134KB 01/09/2017
August 16-31, 2017
Waivers
134KB 16/08/2017
August 1-15, 2017
Waivers
134KB 01/08/2017
July 16-31, 2017
Waivers
134KB 16/07/2017
July 1-15, 2017
Waivers
134KB 01/07/2017
June 16-30, 2017
Waivers
134KB 16/06/2017
June 1-15, 2017
Waivers
134KB 01/06/2017
May 16-31, 2017
Waivers
134KB 16/05/2017
May 1-15, 2017
Waivers
134KB 01/05/2017
April 16-30, 2017
Waivers
134KB 16/04/2017
April 1-15, 2017
Waivers
134KB 01/04/2017
March 16-31, 2017
Waivers
134KB 16/03/2017
March 1-15, 2017
Waivers
134KB 01/03/2017
February 16-28, 2017
Waivers
134KB 16/02/2017
February 1-15, 2017
Waivers
134KB 01/02/2017
January 16-31, 2017
Waivers
134KB 16/01/2017
January 1-15, 2017
Waivers
134KB 01/01/2017
December 16-31, 2016
Waivers
134KB 16/12/2016
December 1-15, 2016
Waivers
134KB 01/12/2016
November 16-30, 2016
Waivers
134KB 16/11/2016
November 1-15, 2016
Waivers
134KB 01/11/2016
October 16-31, 2016
Waivers
134KB 16/10/2016
October 1-15, 2016
Waivers
134KB 01/10/2016
September 16-30, 2016
Waivers
134KB 16/09/2016
September 1-15, 2016
Waivers
134KB 01/09/2016
August 16-31, 2016
Waivers
134KB 16/08/2016
August 1-15, 2016
Waivers
134KB 01/08/2016
July 16-31, 2016
Waivers
134KB 16/07/2016
July 1-15, 2016
Waivers
134KB 01/07/2016
June 16-30, 2016
Waivers
134KB 16/06/2016
June 1-15, 2016
Waivers
134KB 01/06/2016
May 16-31, 2016
Waivers
134KB 16/05/2016
May 1-15, 2016
Waivers
134KB 01/05/2016
April 16-30, 2016
Waivers
134KB 16/04/2016
April 1-15, 2016
Waivers
131KB 01/04/2016
March 16-31, 2016
Waivers
131KB 16/03/2016
March 1-15, 2016
Waivers
132KB 01/03/2016
February 16-29, 2016
Waivers
129KB 16/02/2016
February 1-15, 2016
Waivers
129KB 01/02/2016
January 16-31, 2016
Waivers
129KB 16/01/2016
January 1-15, 2016
Waivers
129KB 01/01/2016
December 16-31, 2015
Waivers
193KB 16/12/2015
December 1-15, 2015
Waivers
129KB 01/12/2015
November 16-30, 2015
Waivers
192KB 16/11/2015
November 1-15, 2015
Waivers
129KB 01/11/2015
October 16-31, 2015
Waivers
129KB 16/10/2015
October 1-15, 2015
Waivers
129KB 01/10/2015
September 16-30, 2015
Waivers
129KB 16/09/2015
September 1-15, 2015
Waivers
129KB 01/09/2015
August 16-31, 2015
Waivers
129KB 16/08/2015
August 1-15, 2015
Waivers
129KB 01/08/2015
July 16-31, 2015
Waivers
251KB 16/07/2015
July 1-15, 2015
Waivers
129KB 01/07/2015
June 16-30, 2015
Waivers
129KB 16/06/2015
June 1-15, 2015
Waivers
129KB 01/06/2015
May 16-31, 2015
Waivers
130KB 16/05/2015
May 1-15, 2015
Waivers
130KB 01/05/2015
April 16-30, 2015
Waivers
129KB 16/04/2015
April 1-15, 2015
Waivers
129KB 01/04/2015
March 16-31, 2015
Waivers
193KB 16/03/2015
March 1-15, 2015
Waivers
129KB 01/03/2015
February 16-28, 2015
Waivers
130KB 16/02/2015
February 1-15, 2015
Waivers
129KB 01/02/2015
January 16-31, 2015
Waivers
129KB 16/01/2015
January 1-15, 2015
Waivers
129KB 01/01/2015
December 16-31, 2014
Waivers
129KB 16/12/2014
December 1-15, 2014
Waivers
129KB 01/12/2014
November 16-30, 2014
Waivers
195KB 16/11/2014
November 1-15, 2014
Waivers
129KB 01/11/2014
October 16-31, 2014
Waivers
129KB 16/10/2014
October 1-15, 2014
Waivers
129KB 01/10/2014
September 16-30, 2014
Waivers
129KB 16/09/2014
September 1-15, 2014
Waivers
129KB 01/09/2014
August 16-31, 2014
Waivers
129KB 16/08/2014
August 1-15, 2014
Waivers
129KB 01/08/2014
July 16-31, 2014
Waivers
129KB 16/07/2014
July 1-15, 2014
Waivers
129KB 01/07/2014
June 16-30, 2014
Waivers
249KB 16/06/2014
June 1 - 15, 2014
Waivers
129KB 01/06/2014
May 16-31, 2014
Waivers
190KB 16/05/2014
May 1-15, 2014
Waivers
130KB 01/05/2014
April 16-30, 2014
Waivers
129KB 16/04/2014
April 1-15, 2014
Waivers
133KB 01/04/2014
March 16-31, 2014
Waivers
133KB 16/03/2014
March 1-15, 2014
Waivers
133KB 01/03/2014
February 16-28, 2014
Waivers
133KB 16/02/2014
February 1-15, 2014    
Waivers
132KB 01/02/2014
January 16-31, 2014
Waivers
199KB 16/01/2014
January 1-15, 2014
Waivers
133KB 01/01/2014
December 16-31, 2013
Waivers
132KB 16/12/2013
December 1-15, 2013
Waivers
132KB 01/12/2013
November 16-30, 2013
Waivers
198KB 16/11/2013
November 1-15, 2013
Waivers
132KB 01/11/2013
October 16-31, 2013
Waivers
132KB 16/10/2013
October 1-15, 2013
Waivers
129KB 01/10/2013
September 16-30, 2013
Waivers
132KB 16/09/2013
September 1-15, 2013
Waivers
132KB 01/09/2013
August 16-31, 2013
Waivers
132KB 16/08/2013
August 1-15, 2013
Waivers
132KB 01/08/2013
July 16-31, 2013
Waivers
132KB 16/07/2013
July 1-15, 2013
Waivers
132KB 01/07/2013
June 16-30, 2013
Waivers
132KB 16/06/2013
June 1-15, 2013
Waivers
132KB 01/06/2013
May 16-31, 2013
Waivers
133KB 16/05/2013
May 1-15, 2013
Waivers
133KB 01/05/2013
April 16-30, 2013
Waivers
132KB 16/04/2013
April 1-15, 2013
Waivers
132KB 01/04/2013
March 16-31, 2013
Waivers
132KB 16/03/2013
March 1-15, 2013
Waivers
133KB 01/03/2013
February 16-28, 2013
Waivers
133KB 16/02/2013
February 1-15, 2013
Waivers
133KB 01/02/2013
January 16-31, 2013
Waivers
132KB 16/01/2013
January 1-15, 2013
Waivers
133KB 01/01/2013
December 16-31, 2012
Waivers
132KB 16/12/2012
December 1-15, 2012
Waivers
132KB 01/12/2012
November 16-30, 2012
Waivers
132KB 16/11/2012
November 1-15, 2012
Waivers
132KB 01/11/2012
October 16-31, 2012
Waivers
317KB 16/10/2012
October 1-15, 2012
Waivers
132KB 01/10/2012
September 16-30, 2012
Waivers
132KB 16/09/2012
September 1-15, 2012
Waivers
132KB 01/09/2012
August 16-31, 2012
Waivers
132KB 16/08/2012
August 1-15, 2012
Waivers
132KB 01/08/2012
July 16-31, 2012
Waivers
143KB 16/07/2012
July 1-15, 2012
Waivers
132KB 01/07/2012
June 16-30, 2012
Waivers
132KB 16/06/2012
June 1-15, 2012
Waivers
131KB 01/06/2012
May 16-31, 2012
Waivers
133KB 16/05/2012
May 1-15, 2012
Waivers
133KB 01/05/2012
April 16-30, 2012
Waivers
198KB 16/04/2012
April 1-15, 2012
Waivers
132KB 01/04/2012
March 16-31, 2012
Waivers
321KB 16/03/2012
March 1-15, 2012
Waivers
133KB 01/03/2012
February 16-29, 2012
Waivers
133KB 16/02/2012
February 1-15, 2012
Waivers
133KB 01/02/2012
January 16-31, 2012
Waivers
133KB 16/01/2012
January 1-15, 2012
Waivers
133KB 01/01/2012
December 16-31, 2011
Waivers
132KB 16/12/2011
December 1-15, 2011
Waivers
133KB 01/12/2011
November 16-30, 2011
Waivers
193KB 16/11/2011
November 1-15, 2011
Waivers
132KB 01/11/2011
October 16-31, 2011
Waivers
198KB 16/10/2011
October 1-15, 2011
Waivers
133KB 01/10/2011
September 16-30, 2011
Waivers
132KB 16/09/2011
September 1-15, 2011
Waivers
132KB 01/09/2011
August 16-31, 2011
Waivers
133KB 16/08/2011
August 1-15, 2011
Waivers
133KB 01/08/2011
July 16-31, 2011
Waivers
198KB 16/07/2011
July 1-15, 2011
Waivers
133KB 01/07/2011
June 16-30, 2011
Waivers
132KB 16/06/2011
June 1-15, 2011
Waivers
132KB 01/06/2011
May 16-31, 2011
Waivers
133KB 16/05/2011
May 1-15, 2011
Waivers
133KB 01/05/2011
April 16-30, 2011
Waivers
133KB 16/04/2011
April 1-15, 2011
Waivers
133KB 01/04/2011
March 16-31, 2011
Waivers
133KB 16/03/2011
March 1-15, 2011
Waivers
133KB 01/03/2011
February 16-28, 2011
Waivers
133KB 16/02/2011
February 1-15, 2011
Waivers
133KB 01/02/2011
January 16-31, 2011
Waivers
193KB 16/01/2011
January 1-15, 2011
Waivers
133KB 01/01/2011
December 16-31, 2010
Waivers
133KB 16/12/2010
December 1-15, 2010
Waivers
133KB 01/12/2010
November 16-30, 2010
Waivers
133KB 16/11/2010
November 1-15, 2010
Waivers
127KB 01/11/2010
October 16-31, 2010
Waivers
126KB 16/10/2010
October 1-15, 2010
Waivers
127KB 01/10/2010
September 16-30, 2010
Waivers
247KB 16/09/2010
September 1-15, 2010
Waivers
127KB 01/09/2010
August 16-31, 2010
Waivers
127KB 16/08/2010
August 1-15, 2010
Waivers
127KB 01/08/2010
July 16-30, 2010
Waivers
193KB 16/07/2010
July 1-15, 2010
Waivers
128KB 01/07/2010
June 16-30, 2010
Waivers
127KB 16/06/2010
June 1-15, 2010
Waivers
127KB 01/06/2010
May 16-31, 2010
Waivers
128KB 16/05/2010
May 1-15, 2010
Waivers
128KB 01/05/2010
April 16-30, 2010
Waivers
127KB 16/04/2010
April 1-15, 2010
Waivers
128KB 01/04/2010
March 16-31, 2010
Waivers
128KB 16/03/2010
March 1-15, 2010
Waivers
128KB 01/03/2010
February 16-28, 2010
Waivers
128KB 16/02/2010
February 1-15, 2010
Waivers
128KB 01/02/2010
January 16-31, 2010
Waivers
128KB 16/01/2010
January 1-15, 2010
Waivers
128KB 01/01/2010
December 16-31, 2009
Waivers
127KB 16/12/2009
December 1-15, 2009
Waivers
128KB 01/12/2009
November 16-30, 2009
Waivers
127KB 16/11/2009
November 1-15, 2009
Waivers
127KB 01/11/2009
October 16-31, 2009
Waivers
128KB 16/10/2009
October 1-15, 2009
Waivers
128KB 01/10/2009
September 16-30, 2009
Waivers
127KB 16/09/2009
September 1-15, 2009
Waivers
127KB 01/09/2009
August 16-31, 2009
Waivers
127KB 16/08/2009
August 1-15, 2009
Waivers
127KB 01/08/2009
July 16-31, 2009
Waivers
128KB 16/07/2009
July 1-15, 2009
Waivers
128KB 01/07/2009
June 16-30, 2009
Waivers
127KB 16/06/2009
June 1-15, 2009
Waivers
194KB 01/06/2009
May 16-31, 2009
Waivers
194KB 16/05/2009
May 1-15, 2009
Waivers
128KB 01/05/2009
April 16-30, 2009
Waivers
191KB 16/04/2009
April 1-15, 2009
Waivers
126KB 01/04/2009
March 16-31, 2009
Waivers
126KB 16/03/2009
March 1-15, 2009
Waivers
126KB 01/03/2009
February 16-28, 2009
Waivers
126KB 16/02/2009
February 1-15, 2009
Waivers
126KB 01/02/2009
January 16-31, 2009
Waivers
126KB 16/01/2009
January 1-15, 2009
Waivers
126KB 01/01/2009
December 16-31, 2008
Waivers
125KB 16/12/2008
December 1-15, 2008
Waivers
190KB 01/12/2008
November 16-30, 2008
Waivers
126KB 16/11/2008
November 1-15, 2008
Waivers
126KB 01/11/2008
October 16-31, 2008
Waivers
126KB 16/10/2008
October 1-15, 2008
Waivers
126KB 01/10/2008
September 16-30, 2008
Waivers
126KB 16/09/2008
September 1-15, 2008
Waivers
126KB 01/09/2008
August 16-31, 2008
Waivers
126KB 16/08/2008
August 1-15, 2008
Waivers
126KB 01/08/2008
July 16-31, 2008
Waivers
126KB 16/07/2008
July 1-15, 2008
Waivers
126KB 01/07/2008
June 16-30, 2008
Waivers
126KB 16/06/2008
June 1-15, 2008
Waivers
126KB 01/06/2008
May 16-31, 2008
Waivers
127KB 16/05/2008
May 1-15, 2008
Waivers
127KB 01/05/2008
April 16-30, 2008
Waivers
126KB 16/04/2008
April 1-15, 2008
Waivers
126KB 01/04/2008
March 16-31, 2008
Waivers
126KB 16/03/2008
March 1-15, 2008
Waivers
126KB 01/03/2008
February 16-29, 2008
Waivers
126KB 16/02/2008
February 1-15, 2008
Waivers
126KB 01/02/2008
January 16-31, 2008
Waivers
126KB 16/01/2008
January 1-15, 2008
Waivers
126KB 01/01/2008
December 16-31, 2007
Waivers
126KB 16/12/2007
December 01-15, 2007
Waivers
126KB 01/12/2007
November 16-30, 2007
Waivers
126KB 16/11/2007
November 01-15, 2007
Waivers
126KB 01/11/2007
October 16-31, 2007
Waivers
1MB 16/10/2007
October 01-15, 2007
Waivers
151KB 01/10/2007
September 16-30, 2007
Waivers
321KB 16/09/2007
September 01-15, 2007
Waivers
151KB 01/09/2007
August 16-31, 2007
Waivers
151KB 16/08/2007
August 01-15, 2007
Waivers
151KB 01/08/2007
Jul-07
Waivers
29KB 01/07/2007
Jun-07
Waivers
29KB 01/06/2007
May-07
Waivers
29KB 01/05/2007
Apr-07
Waivers
29KB 01/04/2007
Mar-07
Waivers
29KB 01/03/2007
Feb-07
Waivers
29KB 01/02/2007
Jan-07
Waivers
29KB 01/01/2007
Dec-06
Waivers
29KB 01/12/2006
Nov-06
Waivers
29KB 01/11/2006
Oct-06
Waivers
29KB 01/10/2006
Sep-06
Waivers
29KB 01/09/2006
Aug-06
Waivers
29KB 01/08/2006
Jul-06
Waivers
29KB 01/07/2006
Jun-06
Waivers
29KB 01/06/2006
May-06
Waivers
29KB 01/05/2006
Apr-06
Waivers
29KB 01/04/2006
Mar-06
Waivers
100KB 01/03/2006
Feb-06
Waivers
29KB 01/02/2006
Jan-06
Waivers
50KB 01/01/2006
Dec-05
Waivers
50KB 01/12/2005
Nov-05
Waivers
101KB 01/11/2005
Oct-05
Waivers
377KB 01/10/2005
Sep-05
Waivers
424KB 01/09/2005
Aug-05
Waivers
487KB 01/08/2005
Jul-05
Waivers
377KB 01/07/2005
Apr-05
Waivers
323KB 01/04/2005
Mar-05
Waivers
255KB 01/03/2005

Warrant & AQUA Product Issuer

Name Size Upload Date
September 16-30, 2020
Waiver
85KB 22/10/2020
September 1-15, 2020
85KB 12/10/2020
August 16-31, 2020
Waiver
85KB 24/09/2020
August 1-15, 2020
85KB 08/09/2020
July 16-31, 2020
Waiver
85KB 20/08/2020
June 16-30, 2020
85KB 06/08/2020
July 1-15, 2020
85KB 04/08/2020
June 1-15, 2020
85KB 06/07/2020
May 1-15, 2020
Waiver
86KB 29/06/2020
April 16-30, 2020
Waiver
85KB 29/06/2020
May 16 -31, 2020
Waiver
86KB 24/06/2020
April 1-15, 2020
Waiver
85KB 05/05/2020
March 16-31, 2020
Waiver
85KB 21/04/2020
March 1-15, 2020
waivers
85KB 01/03/2020
February 16-29, 2020
waivers
85KB 16/02/2020
February 1-15, 2020
waivers
85KB 01/02/2020
January 16-31, 2020
waivers
134KB 16/01/2020
January 1-15, 2020
Waivers
134KB 01/01/2020
December 16-31, 2019
Waivers
134KB 16/12/2019
December 1-15, 2019
Waivers
134KB 01/12/2019
November 16-30, 2019
Waivers
134KB 16/11/2019
November 1-15, 2019
Waivers
134KB 01/11/2019
October 16-31, 2019
Waivers
134KB 16/10/2019
October 1-15, 2019
Waivers
134KB 01/10/2019
September 16-30, 2019
Waivers
134KB 16/09/2019
September 1-15, 2019
Waivers
134KB 01/09/2019
August 16-31, 2019
Waivers
134KB 16/08/2019
August 1-15, 2019
Waivers
134KB 01/08/2019
July 16-31, 2019
Waivers
134KB 16/07/2019
July 1-15, 2019
Waivers
134KB 01/07/2019
June 16-30, 2019
Waivers
134KB 16/06/2019
June 1-15, 2019
Waivers
134KB 01/06/2019
May 16-31, 2019
Waivers
134KB 16/05/2019
May 1-15, 2019
Waivers
134KB 01/05/2019
April 16-30, 2019
Waivers
134KB 16/04/2019
April 1-15, 2019
Waivers
134KB 01/04/2019
March 16-31, 2019
Waivers
134KB 16/03/2019
March 1-15, 2019
Waivers
134KB 01/03/2019
February 16-28, 2019
Waivers
134KB 16/02/2019
February 1-15, 2019
Waivers
134KB 01/02/2019
January 16-31, 2019
Waivers
134KB 16/01/2019
January 1-15, 2019
Waivers
134KB 01/01/2019
December 16-31, 2018
Waivers
134KB 16/12/2018
December  1-15, 2018
Waivers
134KB 01/12/2018
November 16-30, 2018
Waivers
134KB 16/11/2018
November 1-15, 2018
Waivers
134KB 01/11/2018
October 16-31, 2018
Waivers
200KB 16/10/2018
October 1-15, 2018
Waivers
134KB 01/10/2018
September 16-30, 2018
Waivers
134KB 16/09/2018
September 1-15, 2018
Waivers
134KB 01/09/2018
August 16-31, 2018
Waivers
134KB 16/08/2018
August 1-15, 2018
Waivers
134KB 01/08/2018
July 16-31, 2018
Waivers
134KB 16/07/2018
July 1-15, 2018
Waivers
134KB 01/07/2018
June 16-30, 2018
Waivers
134KB 16/06/2018
June 1-15, 2018
Waivers
134KB 01/06/2018
May 16-31, 2018
Waivers
134KB 16/05/2018
May 1-15, 2018
Waivers
135KB 01/05/2018
April 16-30, 2018
Waivers
134KB 16/04/2018
April 1-15, 2018
Waivers
436KB 01/04/2018
March 16-31, 2018
Waivers
134KB 16/03/2018
March 1-15, 2018
Waivers
134KB 01/03/2018
February 16-28, 2018
Waivers
134KB 16/02/2018
February 1-15, 2018
Waivers
134KB 01/02/2018
January 16-31, 2018
Waivers
134KB 16/01/2018
January 1-15, 2018
Waivers
134KB 01/01/2018
December 16-31, 2017
Waivers
134KB 16/12/2017
December 1-15, 2017
Waivers
134KB 01/12/2017
November 16-30, 2017
Waivers
134KB 16/11/2017
November 1-15, 2017
Waivers
134KB 01/11/2017
October 16-31, 2017
Waivers
134KB 16/10/2017
October 1-15, 2017
Waivers
134KB 01/10/2017
September 16-30, 2017
Waivers
134KB 16/09/2017
September 1-15, 2017
Waivers
134KB 01/09/2017
August 16-31, 2017
Waivers
134KB 16/08/2017
August 1-15, 2017
Waivers
134KB 01/08/2017
July 16-31, 2017
Waivers
134KB 16/07/2017
July 1-15, 2017
Waivers
134KB 01/07/2017
June 16-30, 2017
Waivers
134KB 16/06/2017
June 1-15, 2017
Waivers
134KB 01/06/2017
May 16-31, 2017
Waivers
134KB 16/05/2017
May 1-15, 2017
Waivers
134KB 01/05/2017
April 16-30, 2017
Waivers
134KB 16/04/2017
April 1-15, 2017
Waivers
134KB 01/04/2017
March 16-31, 2017
Waivers
134KB 16/03/2017
March 1-15, 2017
Waivers
134KB 01/03/2017
February 16-28, 2017
Waivers
134KB 16/02/2017
February 1-15, 2017
Waivers
134KB 01/02/2017
January 16-31, 2017
Waivers
134KB 16/01/2017
January 1-15, 2017
Waivers
134KB 01/01/2017
December 16-31, 2016
Waivers
134KB 16/12/2016
December 1-15, 2016
Waivers
134KB 01/12/2016
November 16-30, 2016
Waivers
134KB 16/11/2016
November 1-15, 2016
134KB 01/11/2016
October 16-31, 2016
Waivers
196KB 16/10/2016
October 1-15, 2016
Waivers
134KB 01/10/2016
September 16-30, 2016
Waivers
134KB 16/09/2016
September 1-15, 2016
Waivers
134KB 01/09/2016
August 16-31, 2016
Waivers
134KB 16/08/2016
August 1-15, 2016
Waivers
134KB 01/08/2016
July 16-31, 2016
Waivers
134KB 16/07/2016
July 1-15, 2016
Waivers
134KB 01/07/2016
June 16-30, 2016
Waivers
134KB 16/06/2016
June 1-15, 2016
Waivers
134KB 01/06/2016
May 16-31, 2016
Waivers
134KB 16/05/2016
May 1-15, 2016
Waivers
257KB 01/05/2016
April 16-30, 2016
Waivers
256KB 16/04/2016
April 1-15, 2016
Waivers
132KB 01/04/2016
March 16-31, 2016
Waivers
131KB 16/03/2016
March 1-15, 2016
Waivers
132KB 01/03/2016
February 16-29, 2016
Waivers
129KB 16/02/2016
February 1-15, 2016
Waivers
130KB 01/02/2016
January 16-31, 2016
Waivers
129KB 16/01/2016
January 1-15, 2016
Waivers
129KB 01/01/2016
December 16-31, 2015
Waivers
192KB 16/12/2015
December 1-15, 2015
Waivers
129KB 01/12/2015
November 16-30, 2015
Waivers
129KB 16/11/2015
November 1-15, 2015
Waivers
129KB 01/11/2015
October 16-31, 2015
Waivers
191KB 16/10/2015
October 1-15, 2015
Waivers
129KB 01/10/2015
September 16-30, 2015
Waivers
251KB 16/09/2015
September 1-15, 2015
Waivers
129KB 01/09/2015
August 16-31, 2015
Waivers
129KB 16/08/2015
August 1-15, 2015
Waivers
129KB 01/08/2015
July 16-31, 2015
Waivers
129KB 16/07/2015
July 1-15, 2015
Waivers
129KB 01/07/2015
June 16-30, 2015
Waivers
129KB 16/06/2015
June 1-15, 2015
Waivers
129KB 01/06/2015
May 16-31, 2015
Waivers
130KB 16/05/2015
May 1-15, 2015
Waivers
130KB 01/05/2015
April 16-30, 2015
Waivers
129KB 16/04/2015
April 1-15, 2015
Waivers
129KB 01/04/2015
March 16-31, 2015
Waivers
129KB 16/03/2015
March 1-15, 2015
Waivers
129KB 01/03/2015
February 16-28, 2015
Waivers
130KB 16/02/2015
February 1-15, 2015
Waivers
839KB 01/02/2015
January 16-31, 2015
Waivers
129KB 16/01/2015
January 1-15, 2015
Waivers
129KB 01/01/2015
December 16-31, 2014
Waivers
129KB 16/12/2014
December 1-15, 2014
Waivers
129KB 01/12/2014
November 16-30, 2014
Waivers
129KB 16/11/2014
November 1-15, 2014
Waivers
129KB 01/11/2014
October 16-31, 2014
Waivers
129KB 16/10/2014
October 1-15, 2014
Waivers
129KB 01/10/2014
September 16-30, 2014
Waivers
129KB 16/09/2014
September 1-15, 2014
Waivers
129KB 01/09/2014
August 16-31, 2014
Waivers
129KB 16/08/2014
August 1-15, 2014
Waivers
129KB 01/08/2014
July 16-31, 2014
Waivers
129KB 16/07/2014
July 1-15, 2014
Waivers
129KB 01/07/2014
June 16-30, 2014
Waivers
129KB 16/06/2014
June 1 - 15, 2014
Waivers
129KB 01/06/2014
May 16-31, 2014
Waivers
130KB 16/05/2014
May 1-15, 2014
Waivers
130KB 01/05/2014
April 16-30, 2014
Waivers
129KB 16/04/2014
April 1-15, 2014
Waivers
133KB 01/04/2014
March 16-31, 2014
Waivers
133KB 16/03/2014
March 1-15, 2014
Waivers
133KB 01/03/2014
February 16-28, 2014
Waivers
133KB 16/02/2014
February 1-15, 2014    
Waivers
132KB 01/02/2014
January 16-31, 2014
Waivers
133KB 16/01/2014
January 1-15, 2014
Waivers
133KB 01/01/2014
December 16-31, 2013
Waivers
132KB 16/12/2013
December 1-15, 2013
Waivers
132KB 01/12/2013
November 16-30, 2013
Waivers
132KB 16/11/2013
November 1-15, 2013
Waivers
132KB 01/11/2013
October 16-31, 2013
Waivers
132KB 16/10/2013
October 1-15, 2013
Waivers
129KB 01/10/2013
September 16-30, 2013
Waivers
132KB 16/09/2013
September 1-15, 2013
Waivers
132KB 01/09/2013
August 16-31, 2013
Waivers
132KB 16/08/2013
August 1-15, 2013
Waivers
132KB 01/08/2013
July 16-31, 2013
Waivers
132KB 16/07/2013
July 1-15, 2013
Waivers
132KB 01/07/2013
June 16-30, 2013
Waivers
132KB 16/06/2013
June 1-15, 2013
Waivers
194KB 01/06/2013
May 16-31, 2013
Waivers
133KB 16/05/2013
May 1-15, 2013
Waivers
133KB 01/05/2013
April 16-30, 2013
Waivers
132KB 16/04/2013
April 1-15, 2013
Waivers
199KB 01/04/2013
March 16-31, 2013
Waivers
196KB 16/03/2013
March 1-15, 2013
Waivers
133KB 01/03/2013
February 16-28, 2013
Waivers
133KB 16/02/2013
February 1-15, 2013
Waivers
133KB 01/02/2013
January 16-31, 2013
Waivers
132KB 16/01/2013
January 1-15, 2013
Waivers
133KB 01/01/2013
December 16-31, 2012
Waivers
132KB 16/12/2012
December 1-15, 2012
Waivers
132KB 01/12/2012
November 16-30, 2012
Waivers
132KB 16/11/2012
November 1-15, 2012
Waivers
132KB 01/11/2012
October 16-31, 2012
Waivers
132KB 16/10/2012
October 1-15, 2012
Waivers
132KB 01/10/2012
September 16-30, 2012
Waivers
132KB 16/09/2012
September 1-15, 2012
Waivers
132KB 01/09/2012
August 16-31, 2012
Waivers
132KB 16/08/2012
August 1-15, 2012
Waivers
132KB 01/08/2012
July 16-31, 2012
Waivers
132KB 16/07/2012
July 1-15, 2012
Waivers
132KB 01/07/2012
June 16-30, 2012
Waivers
139KB 16/06/2012
June 1-15, 2012
Waivers
131KB 01/06/2012
May 16-31, 2012
Waivers
133KB 16/05/2012
May 1-15, 2012
Waivers
133KB 01/05/2012
April 16-30, 2012
Waivers
132KB 16/04/2012
April 1-15, 2012
Waivers
132KB 01/04/2012
March 16-31, 2012
Waivers
132KB 16/03/2012
March 1-15, 2012
Waivers
133KB 01/03/2012
February 16-29, 2012
Waivers
133KB 16/02/2012
February 1-15, 2012
Waivers
133KB 01/02/2012
January 16-31, 2012
Waivers
132KB 16/01/2012
January 1-15, 2012
Waivers
133KB 01/01/2012
December 16-31, 2011
Waivers
132KB 16/12/2011
December 1-15, 2011
Waivers
133KB 01/12/2011
November 16-30, 2011
Waivers
132KB 16/11/2011
November 1-15, 2011
Waivers
132KB 01/11/2011
October 16-31, 2011
Waivers
132KB 16/10/2011
October 1-15, 2011
Waivers
133KB 01/10/2011
September 16-30, 2011
Waivers
132KB 16/09/2011
September 1-15, 2011
Waivers
132KB 01/09/2011
August 16-31, 2011
Waivers
133KB 16/08/2011
August 1-15, 2011
Waivers
133KB 01/08/2011
July 16-31, 2011
Waivers
133KB 16/07/2011
July 1-15, 2011
Waivers
133KB 01/07/2011
June 16-30, 2011
Waivers
132KB 16/06/2011
June 1-15, 2011
Waivers
132KB 01/06/2011
May 16-31, 2011
Waivers
133KB 16/05/2011
May 1-15, 2011
Waivers
133KB 01/05/2011
April 16-30, 2011
Waivers
133KB 16/04/2011
April 1-15, 2011
Waivers
133KB 01/04/2011
March 16-31, 2011
Waivers
133KB 16/03/2011
March 1-15, 2011
Waivers
133KB 01/03/2011
February 16-28, 2011
Waivers
133KB 16/02/2011
February 1-15, 2011
Waivers
133KB 01/02/2011
January 16-31, 2011
Waivers
195KB 16/01/2011
January 1-15, 2011
Waivers
133KB 01/01/2011
December 16-31, 2010
Waivers
133KB 16/12/2010
December 1-15, 2010
Waivers
133KB 01/12/2010
November 16-30, 2010
Waivers
133KB 16/11/2010
November 1-15, 2010
Waivers
89KB 16/11/2010
October 16-31, 2010
Waivers
127KB 16/10/2010
October 1-15, 2010
Waivers
127KB 01/10/2010
September 16-30, 2010
Waivers
127KB 16/09/2010
September 1-15, 2010
Waivers
127KB 01/09/2010
August 16-31, 2010
Waivers
127KB 16/08/2010
August 1-15, 2010
Waivers
127KB 01/08/2010
July 16-30, 2010
Waivers
128KB 16/07/2010
July 1-15, 2010
Waivers
128KB 01/07/2010
June 16-30, 2010
Waivers
127KB 16/06/2010
June 1-15, 2010
Waivers
127KB 01/06/2010
May 16-31, 2010
Waivers
128KB 16/05/2010
May 1-15, 2010
Waivers
128KB 01/05/2010
April 16-30, 2010
Waivers
127KB 16/04/2010
April 1-15, 2010
Waivers
128KB 01/04/2010
March 16-31, 2010
Waivers
128KB 16/03/2010
March 1-15, 2010
Waivers
128KB 01/03/2010
February 16-28, 2010
Waivers
128KB 16/02/2010
February 1-15, 2010
Waivers
128KB 01/02/2010
January 16-31, 2010
Waivers
128KB 16/01/2010
January 1-15, 2010
Waivers
128KB 01/01/2010
December 16-31, 2009
Waivers
128KB 16/12/2009
December 1-15, 2009
Waivers
128KB 01/12/2009
November 16-30, 2009
Waivers
127KB 16/11/2009
November 1-15, 2009
Waivers
127KB 01/11/2009
October 16-31, 2009
Waivers
128KB 16/10/2009
October 1-15, 2009
Waivers
128KB 01/10/2009
September 16-30, 2009
Waivers
127KB 16/09/2009
September 1-15, 2009
Waivers
127KB 01/09/2009
August 16-31, 2009
Waivers
128KB 16/08/2009
August 1-15, 2009
Waivers
127KB 01/08/2009
July 16-31, 2009
Waivers
128KB 16/07/2009
July 1-15, 2009
Waivers
128KB 01/07/2009
June 16-30, 2009
Waivers
127KB 16/06/2009
June 1-15, 2009
Waivers
127KB 01/06/2009
May 16-31, 2009
Waivers
128KB 16/05/2009
May 1-15, 2009
Waivers
128KB 01/05/2009
April 16-30, 2009
Waivers
191KB 16/04/2009
April 1-15, 2009
Waivers
126KB 01/04/2009
March 16-31, 2009
Waivers
126KB 16/03/2009
March 1-15, 2009
Waivers
126KB 01/03/2009
February 16-28, 2009
Waivers
127KB 16/02/2009
February 1-15, 2009
Waivers
126KB 01/02/2009
January 16-31, 2009
Waivers
126KB 16/01/2009
January 1-15, 2009
Waivers
126KB 01/01/2009
December 16-31, 2008
Waivers
125KB 16/12/2008
December 1-15, 2008
Waivers
190KB 01/12/2008
November 16-30, 2008
Waivers
126KB 16/11/2008
November 1-15, 2008
Waivers
127KB 01/11/2008
October 16-31, 2008
Waivers
127KB 16/10/2008
October 1-15, 2008
Waivers
127KB 01/10/2008
September 16-30, 2008
Waivers
126KB 16/09/2008
September 1-15, 2008
Waivers
126KB 01/09/2008
August 16-31, 2008
Waivers
127KB 16/08/2008
August 1-15, 2008
Waivers
127KB 01/08/2008
July 16-31, 2008
Waivers
127KB 16/07/2008
July 1-15, 2008
Waivers
127KB 01/07/2008
June 16-30, 2008
Waivers
126KB 16/06/2008
June 1-15, 2008
Waivers
127KB 01/06/2008
May 16-31, 2008
Waivers
127KB 16/05/2008
May 1-15, 2008
Waivers
127KB 01/05/2008
April 16-30, 2008
Waivers
127KB 16/04/2008
April 1-15, 2008
Waivers
127KB 01/04/2008
March 16-31, 2008
Waivers
127KB 16/03/2008
March 1-15, 2008
Waivers
127KB 01/03/2008
February 16-29, 2008
Waivers
127KB 16/02/2008
February 1-15, 2008
Waivers
127KB 01/02/2008
January 16-31, 2008
Waivers
127KB 16/01/2008
January 1-15, 2008
Waivers
127KB 01/01/2008
December 16-31, 2007
Waivers
126KB 16/12/2007
December 01-15, 2007
Waivers
126KB 01/12/2007
November 16-30, 2007
Waivers
126KB 16/11/2007
November 01-15, 2007
Waivers
126KB 01/11/2007
October 16-31, 2007
Waivers
147KB 16/10/2007
October 01-15, 2007
Waivers
151KB 01/10/2007
September 16-30, 2007
Waivers
151KB 16/09/2007
September 01-15, 2007
Waivers
151KB 01/09/2007
August 16-31, 2007
Waivers
151KB 16/08/2007
August 01-15, 2007
Waivers
151KB 01/08/2007
Jul-07
Waivers
29KB 01/07/2007
Jun-07
Waivers
29KB 01/06/2007
May-07
Waivers
29KB 01/05/2007
Apr-07
Waivers
29KB 01/04/2007
Mar-07
Waivers
29KB 01/03/2007
Feb-07
Waivers
29KB 01/02/2007
Jan-07
Waivers
29KB 01/01/2007
Dec-06
Waivers
29KB 01/12/2006
Nov-06
Waivers
29KB 01/11/2006
Oct-06
Waivers
29KB 01/10/2006
Sep-06
Waivers
29KB 01/09/2006
Aug-06
Waivers
29KB 01/08/2006
Jul-06
Waivers
29KB 01/07/2006
Jun-06
Waivers
29KB 01/06/2006
May-06
Waivers
29KB 01/05/2006
Apr-06
Waivers
29KB 01/04/2006
Mar-06
Waivers
50KB 01/03/2006
Feb-06
Waivers
29KB 01/02/2006
Jan-06
Waivers
50KB 01/01/2006
Dec-05
Waivers
50KB 01/12/2005
Nov-05
Waivers
49KB 01/11/2005
Oct-05
Waivers
328KB 01/10/2005
Sep-05
Waivers
398KB 01/09/2005
Aug-05
Waivers
487KB 01/08/2005
Jul-05
Waivers
302KB 01/07/2005
Apr-05
Waivers
323KB 01/04/2005
Mar-05
Waivers
255KB 01/03/2005

NOTE: These Rules were replaced on 1 August 2010. They are provided here for historical purposes only.

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 - Derivatives Market Contracts

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