Recent Rule amendments

There are regular updates to the operating rules of the ASX markets and clearing and settlement facilities. The information set out below provides details about recent changes to those rules.

The Rulebooks are also available to view online:

• ASX Listing Rules
• ASX Operating Rules
• ASX Clear Operating Rules
• ASX Settlement Operating Rules
• Enforcement and Appeals Rulebook
• ASX 24 Operating Rules
• ASX Clear (Futures) Operating Rules
• Austraclear Regulations

Recent ASX Listing Rules amendments

01/05/12	Guidance Notes 15 & 15A – Listing Fee changes	Listed Entities Update 04/12
10/02/12	Guidance Note 9 – Disclosure of Corporate Governance Practices	Listed Entities Update 02/12
01/01/12	Good fame and character requirement for directors of applicant entities – Rule 1.1; Appendix 1A	Listed Entities Update 08/11
01/01/12	Miscellaneous amendments	Listed Entities Update 09/11 ASX Circular 616/11 Attachment A
01/07/11	Remuneration Committee – Chapters 1, 12 & 19	Listed Entities Update 05/11

Recent ASX Operating Rules amendments

27/02/12	Cancellation of trades – Procedures 3200, 3210 & 3260	Circular 053/12 Attachment A
20/02/12	Unmatched ETF security and managed fund product orders – Procedure 4070	Circular 054/12 Attachment A
09/01/12	Broadening classes of underlying instruments permitted for AQUA products – Rule 7100; Schedule 10A.3.3(c); Procedure 10A.3.3	Circular 613/11 Attachment A Attachment B Attachment C
09/01/12	Session State times for BetaShares Crude Oil Index ETF – Appendix 4013 Part 2	Circular 006/12
01/01/12	Miscellaneous amendments	Circular 616/11 Attachment A
21/12/11	Session State times for BetaShares products – Appendix 4013 Part 2	Circular 559/11
28/11/11	ASX PureMatch – Section 4, Section 7, Procedures & Appendices	Circular 528/11 Attachment A
23/11/11	New crossing at or within the spread – Procedures 3500 & 4060	Circular 545/11 Attachment A
31/10/11	Amendments required by the ASIC Market Integrity Rules – Rules 3002, 3320, 3500, 4810 & 7100; Procedures 3500 & 4060	Circular 507/11 Attachment A
29/07/11	VolumeMatch certification – Procedure 1402	Circular 269/11 Attachment A
29/07/11	Moving S&P Indices to the Procedures – Schedules 3 & 5	Circular 340/11
18/07/11	Renaming Appendix 2241 – Appendix 2241(b)	Circular 300/11

Recent ASX 24 Operating Rules amendments

04/05/12	Strip Options over NZ Base Load Electricity Futures Contracts: Appendix 2.68.2	ASX 24 Notice 118/12
15/03/12	Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures	ASX 24 Notice 071/12 ASX 24 Notice 072/12
06/03/12	Removal of RBS Group (Australia) Pty Limited and Royal Bank of Scotland plc as settlement price providers: Appendices 2.27.1, 2.28.1, 2.20.1 & 2.21.1	ASX 24 Notice 062/12
27/02/12	Introduction of ASX 3 Month Overnight Index Swap Futures – Schedule 2.35.1; Procedure 3200; Appendix 2.35.1	ASX 24 Notice 012/12
27/02/12	Cancellation of trades – Procedures 3200 & 3210	ASX 24 Notice 042/12
01/01/12	Miscellaneous amendments	ASX Circular 616/11 Attachment A
15/12/11	Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures	ASX 24 Notice 263/11 ASX 24 Notice 264/11
28/11/11	Amendments to the cancellation rules & procedures – Section 3, Section 7 & Procedures	ASX 24 Notice 213/11
10/11/11	Fixed Price Tender for the Grain and Wool Markets – Procedure 4820	ASX 24 Notice 221/11
24/10/11	Migration of ASX Grain Futures & Options from ASX to ASX 24 – Rules 2801 & 2802; Schedules 2.77.1-10; Procedures 3200, 3800, 4401, 4800 & 4820; Appendices 2.77.1-10	ASX CC & Markets Notice 008/11 ASX.com page
15/09/11	Quarterly update: Appendices 2.20.1 & 2.21.1 – 3 & 10 Year Bond Series; Appendices 2.27.1 & 2.28.1 – New Zealand Three & Ten Year Government Stock Futures	ASX 24 Notice 161/11 ASX 24 Notice 162/11
29/09/11	Amendments to Block Trade Facility – Procedure 4820	ASX 24 Notice 135/11
15/08/11	Greasy Wool Futures Approved Warehouses & Deliverable Tolerance; Fine Wool and Broad Wool Futures - Final Trading Day – Procedures 2.70.1, 2.71 & 2.72	ASX 24 Notice 131/11
01/08/11	Block Trade Thresholds – Procedure 4820	ASX 24 Notice 120/11

Recent ASX Clear Operating Rules amendments

01/01/12	Amendments to ASX Clear Minimum Core Capital Requirements – Schedule 1.2.1	Notice 067/11
01/01/12	Management Structure – Procedure 3.5.1	No notice
01/01/12	Miscellaneous amendments	ASX Circular 616/11 Attachment A
01/12/11	Updates to pro-forma audit report and key risks and internal systems statement – Procedures Annexure 4.4.3	Notice 061/11
01/11/11	Change to lodgement of RHCCA forms with ASX Clear – Procedures Annexure 1	Notice 046/11 Attachment A

Recent ASX Settlement Operating Rules amendments

01/01/12	Management Structure – Rules 4.3.1, 4.5.1 & 4.18.1; Procedure 4.18.1	No notice
01/01/12	Miscellaneous amendments	ASX Circular 616/11 Attachment A
28/12/11	DvP Settlement Facilitation Service – Rules Sections 2, 3, 4, 8, 10 & 12, Procedure 10.4.5	Bulletin 747/11
30/09/11	"FOR" Financial Products: inclusion of Goodman Fielder Limited – Procedures: Schedule 1	Bulletin 554/11
05/09/11	"FOR" Financial Products: inclusion of GI Dynamics – Procedures: Schedule 1	Bulletin 512/11
15/08/11	Providing DvP settlement arrangements to Alternate Listing Exchanges – Procedures: Section 2	Bulletin 480/11 Attachment A
18/07/11	"FOR" Financial Products: removal of Macquarie Airports Reset Exchange Securities Trust, Telstra Corporation Limited, Heartware Limited, Macquarie DDR Trust and Origin Energy Limited – Procedures: Schedule 1	Bulletin 401/11

Recent ASX Clear (Futures) Operating Rules amendments

01/01/12	Miscellaneous amendments	ASX Circular 616/11 Attachment A
01/12/11	Updates to pro-forma audit report and director's declaration – PDPs Rule 4.14	ASX 24 Notice 254/11
24/10/11	Migration of ASX Grain Futures & Options from ASX to ASX 24: Rules 1.1 & 37; Schedule 14.1-4; Procedures to Schedule 14.2.1-6, 14.3.2 & 14.4.2	ASX CC & Markets Notice 008/11 ASX.com page
15/07/11	Amendment to the order of application of assets in the event of a participant default	ASX 24 Notice 126/11

Recent ASX Enforcement and Appeals Rulebook amendments

No recent amendments.

Recent Austraclear Regulations amendments

No recent amendments.

1 August 2010: New Operating Rules for ASX and SFE

On 1 August 2010 new operating rules were introduced for the ASX and SFE markets. The SFE market was renamed the ASX 24 and this name has been used in the new Rules.

A document explaining the changes, along with copies of the new Rules and associated Procedures are available as follows:

ASX Operating Rules	ASX 24 Operating Rules
ASX Operating Rules Schedules	ASX 24 Schedule 1
ASX Operating Rules Procedures	ASX 24 Procedures
ASX Operating Rules Procedures Appendices	ASX 24 Procedures Appendices

Please note that the formatting and page numbers for these rules and procedures are not yet finalised, but the content and rule and procedure numbers will not change.

Consequential changes to other rulebooks:

ASX Enforcement and Appeals Rulebook
(previously called the Australian Securities Exchange Disciplinary Processes and Appeals Rulebook)

ASX Clear Operating Rules
(previously called the ACH Clearing Rules)

ASX Settlement Operating Rules
(previously called the ASTC Settlement Rules)

(previously called the Clearing Rules of SFE Clearing)

Austraclear Regulations

ASX Listing Rules