NZAX Listing Rules Archive

22 May 2017

• NZAX Listing Rules (22 May 2017) PDF873.30 KB
• NZAX Listing Rule Appendices (22 May 2017) PDF1.41 MB

7 March 2016

• NZAX Listing Rules (7 March 2016) PDF1.21 MB
• NZAX Listing Rule Appendices (7 March 2016) PDF1.41 MB

16 April 2015

• NZAX Listing Rules (16 April 2015) PDF732.50 KB
• NZAX Listing Rule Appendices (16 April 2015) PDF1.41 MB

17 August 2010

• NZAX Listing Rules (17 August 2010) PDF600.12 KB
• NZAX Listing Rule Appendices (6 August 2010) PDF1.41 MB

Pre - 3 April 2009

1. Summary and Initial Exposure Draft PDF87.60 KB
2. Appendix to Initial Exposure Draft PDF97.12 KB
3. Contents PDF176.02 KB
4. Interpretations, Rulings Waivers PDF276.17 KB
5. Compliance and Enforcement PDF100.16 KB
6. Constitutions and Directors PDF128.02 KB
7. Takeover Provisions for NZAX Issuers that are not code companies PDF285.97 KB
8. Listing and Quotation PDF181.08 KB
9. Requirements for Documents PDF107.22 KB
10. Issues and buybacks of Equity Securities PDF335.84 KB
11. Voting Rights and Rights of Equity Securities PDF105.92 KB
12. Transactions with related parties and Major Transactions PDF170.16 KB
13. Disclosure and Information PDF158.78 KB
14. Transfers and Statements PDF121.87 KB

Appendices

• Appendix 1 - Preliminary Announcements - Full and Half Year Results PDF49.84 KB
• Appendix 1 - Attachment PDF34.34 KB
• Appendix 2 - Provisions required to be contained in or Incorporated by reference in an NZAX Issuers Constitution PDF33.38 KB
• Appendix 3 - Disclosure Document PDF68.50 KB
• Appendix 4 - Notice of Event affecting Securities PDF55.33 KB
• Appendix 5 - Timing of Events affecting Securities PDF59.80 KB
• Appendix 6 - Quarterly report of consolidated cash flows PDF90.49 KB
• Appendix 7 - Australasian code for reporting of exploration results, mineral resources and ore reserves (The JORC Code) PDF34.73 KB
• Appendix 8 -Provisions of NZAX Listing Rules excluded for Dual Listed NZAX Issuers PDF49.27 KB

Pre - March 2007

Part A - Process Rules

• Section 1 - Definitions and interpretation PDF130.87 KB
• Section 2 - Compliance and enforcement PDF63.80 KB
• Section 3 - Constitutions, listing and quotation PDF131.57 KB
• Section 4 - Voting rights, transfers and statements PDF100.34 KB
• Section 5 - Powers of NZX and obligations of NZAX Issuers while listed PDF73.46 KB
• Section 6 - Costs and fees payable by NZAX Issuers PDF40.62 KB

Part B - Fundamental Rules

• Section 1 - Disclosure and information PDF137.65 KB
• Section 2 - Corporate governance PDF69.46 KB
• Section 3 - Takeover provisions for NZAX Issuers that are not code companies PDF126.71 KB
• Section 4 - Transactions with related parties PDF77.22 KB

Part C - Appendices

• Appendix 1 - Pre break disclosure transactions PDF325.01 KB
• Appendix 1A - Preliminary half/full year report announcement form PDF325.01 KB
• Appendix 2 - NZX Sponsors PDF63.16 KB
• Appendix 3 - Disclosure Document PDF67.19 KB
• Appendix 3A - Constitution and procedures of Panel PDF24.83 KB
• Appendix 7 - Notice of events affecting securities PDF52.87 KB
• Appendix 8 - Timing of events affecting securities PDF59.75 KB
• Appendix 9 - Policy statements PDF25.02 KB
• Appendix 10 - Provisions for Unit Trusts (Pre - July 2007) PDF36.13 KB
• Appendix 11 - Quarterly report of consolidated cash flows PDF84.04 KB
• Appendix 12 - Australasian Code for Reporting of Mineral Resources and Ore Reserves (The JORC Code) PDF68.89 KB
• Appendix 13 - Requirements for the listing of Equity Warrants PDF49.69 KB
• Appendix 14 - Rules not applicable to equity warrants PDF34.85 KB
• Appendix 17 - Provisions of rules excluded for Dual Listed NZAX Issuers PDF49.75 KB