Participant Rules Archive

November 2025

NZX Participant Rules PDF948.35 KB

22 April 2025

NZX Participant Rules (22 April 2025) PDF961.74 KB

NZX Participant Rule Procedures (22 April 2025) PDF418.78 KB

20 March 2024

NZX Participant Rules (20 March 2024) PDF2.20 MB

1 January 2020

NZX Participant Rules (1 January 2020) PDF2.16 MB

1 July 2019

NZX Participant Rules (1 July 2019) PDF808.17 KB

8 October 2018

NZX Participant Rules (8 October 2018) PDF825.03 KB

1 December 2017

NZX Participant Rules (1 December 2017) PDF1.78 MB

NZX Participant Rule Procedures (1 December 2017) PDF464.25 KB

7 March 2016

NZX Participant Rules (7 March 2016) PDF2.06 MB

NZX Participant Procedures (26 September 2014) PDF626.28 KB

1 December 2015

NZX Participant Rules (1 December 2015) PDF2.07 MB

16 April 2015

NZX Participant Rules (16 April 2015) PDF1.08 MB

September 2014

NZX Participant Rules (26 September 2014) PDF2.01 MB

NZX Participant Procedures (12 September 2014) PDF606.83 KB

November 2013

NZX Participant Rules (8 November 2013) PDF1.28 MB

May 2004 to 1 March 2007

• Contents PDF112.38 KB
• Definitions and administration PDF321.84 KB
• Summary of rules for market participants and FASTER registries PDF79.02 KB
• Market participants PDF207.88 KB
• Trading participants PDF102.41 KB
• Client advising participants PDF128.19 KB
• Delivery and settlement participants PDF82.04 KB
• Primary market participants PDF94.98 KB
• General obligations of all market participants and advisors PDF119.90 KB
• Client advising PDF223.76 KB
• Trading - general obligations PDF465.91 KB
• Trading on behalf of clients PDF191.91 KB
• Market makers PDF82.26 KB
• Delivery and settlement PDF259.29 KB
• Client assets PDF115.88 KB
• Capital adequacy PDF176.96 KB
• Accounting, audit and surveillance PDF153.63 KB
• NZX powers PDF107.97 KB
• FASTER registries PDF63.64 KB

Appendices

• Appendix 1 - Market participant application form Unknown149.50 KB
• Appendix 1A - Managing Principal - Statutory Declaration Unknown60.50 KB
• Appendix 1(a) - Responsible executive application form Unknown85.00 KB
• Appendix 1B - Responsible Executive - Application Form Unknown90.50 KB
• Appendix 1D - Directors / Partners Statutory Declaration Unknown57.50 KB
• Appendix 1E - Compliance Manager - Undertaking Unknown70.00 KB
• Appendix 1F - Surveillance Officer - Undertaking Unknown70.00 KB
• Appendix 2 - Dealer / DMA Dealer - Application Form Unknown91.00 KB
• Appendix 2A - Dealer /DMA Dealer - Statutory Declaration Unknown68.00 KB
• Appendix 2(a) - Managing principal - statutory declaration Unknown65.50 KB
• Appendix 2B - Undertaking from Trading Partner for Dealer / DMA Dealer Unknown57.50 KB
• Appendix 2(b) - Responsible executive - statutory declaration Unknown64.50 KB
• Appendix 2C - Dealer / DMA Dealer - Designation of Access Rights Unknown27.50 KB
• Appendix 2D - Trading System - Firm Manager and Enquiry Access Unknown29.50 KB
• Appendix 2E - Dealer /DMA Dealer - Application for Removal Unknown28.00 KB
• Appendix 3 - NZX Associate Advisor / NZX Advisor - Application Form Unknown91.00 KB
• Appendix 3 - Directors/partners statutory declaration Unknown66.00 KB
• Appendix 3A - NZX Associate Advisor / NZX Advisor - Statutory Declaration Unknown62.00 KB
• Appendix 3B - NZX Associate Advisor / NZX Advisor - Undertaking from Market Participant Unknown68.50 KB
• Appendix 3C - NZDX Advisor- Application Form Unknown91.00 KB
• Appendix 3D - NZDX Advisor - Statutory Declaration Unknown61.50 KB
• Appendix 3E - NZDX Advisor - Undertaking from Market Participant Unknown68.00 KB
• Appendix 5 - Surveillance officer of market participant - Undertaking Unknown72.00 KB
• Appendix 6 - FASTER Dealer/FASTER DMA Dealer application form Unknown87.00 KB
• Appendix 6A - Authority to Act (excluding Distribution and Underwriting) Unknown87.00 KB
• Appendix 6a - FASTER Dealer/FASTER DMA Dealer – Designation of Access Rights Unknown26.50 KB
• Appendix 6a(i) - FASTER Trading - Enquiry_Firm Manager Access Unknown28.00 KB
• Appendix 6b - FASTER Dealer/FASTER DMA Dealer – Application for NZX Removal Unknown27.50 KB
• Appendix 6C - NXT Advisor - Declaration Unknown61.50 KB
• Appendix 7 - Market Maker Application Form Unknown89.00 KB
• Appendix 7 - Statutory declaration - NZX FASTER Dealers/FASTER DMA Dealers Unknown66.50 KB
• Appendix 8 - Arbitrageur Application Form Unknown84.50 KB
• Appendix 8 - Written undertaking from trading participant for NZX FASTER Dealer/FASTER DMA Dealer Unknown66.00 KB
• Appendix 9 - Minimum requirement for a post-trade agreement Unknown63.00 KB
• Appendix 10 - Direct Market Access Participant Application Form Unknown89.00 KB
• Appendix 10 - NZDX Advisor application form Unknown88.50 KB
• Appendix 11 - NZX Trainer Application Form - Trading Unknown85.50 KB
• Appendix 11 - NZDX Advisor - statutory declaration Unknown68.00 KB
• Appendix 11A - Written Undertaking from Market Participant for NZX Trainer Unknown35.00 KB
• Appendix 11B - NZX Trainer - Notification of Resignation Unknown26.50 KB
• Appendix 12 - Written undertaking from market participant in the NZDX Market Unknown73.50 KB
• Appendix 12A - FSM Participant/RMA Provider Application Form Unknown314.50 KB
• Appendix 12B - FSM Dealer/FSM DMA Dealer Application Form Unknown330.00 KB
• Appendix 13 - NZX Advisor/NZX Associate Advisor application form Unknown86.50 KB
• Appendix 14 - NZX Associate Advisor/NZX Advisor statutory declaration Unknown68.00 KB
• Appendix 15 - FASTER Settlement Officer application form Unknown85.00 KB
• Appendix 15a - FASTER SETTLEMENT OFFICER – Designation of Access Rights Unknown26.00 KB
• Appendix 15a(i) - FASTER Settlement Other Access Rights Unknown26.00 KB
• Appendix 15b - FASTER SETTLEMENT OFFICER – Application for NZX Removal Unknown32.50 KB
• Appendix 16 - FASTER Settlement Officer - statutory declaration Unknown70.00 KB
• Appendix 17 - Written undertaking from delivery and settlement participant regarding FASTER Settlement Officers Unknown68.00 KB
• Appendix 18 - Authority to act Unknown62.00 KB
• Appendix 19 - Market maker application form Unknown85.00 KB
• Appendix 20 - Arbitrageur application form Unknown80.50 KB
• Appendix 21 - FASTER Registry application form Unknown98.00 KB
• Appendix 22 - Directors/partners undertaking Unknown64.50 KB

Guidance Notes

GN0001/04 - Know Your Client: Section 9 PDF105.91 KB

GN0002/04 - Trading on Behalf of a Client PDF185.14 KB

GN0003/04 - Capital Adequacy PDF177.54 KB

NZX FF1&2 - Monthly Reporting (Trial Balance Summary and Liquidity and Equity Statement)

NZX FF3 - Summary Report

NZX FF4 - Daily Underwriting

GN0004/04 - Schedule of Registers, Records and Training PDF109.22 KB

GN0005/04 - Delivery and Settlement PDF69.67 KB

GN0006/04 - NZX Sponsors PDF67.45 KB

GN0006/04 - NZX Sponsor Declaration/Certificate PDF28.12 KB

GN0007/04 - Direct Full Time Control of Broking offices and Supervision of Advisors yet to be Accredited PDF74.76 KB

GN0008/05 - Client Assets PDF115.63 KB

GN0009/05 - One-Off Sales PDF57.20 KB

GN0010/06 - Monthly ICC PDF32.14 KB

NZX ICC Template

GN0011/06 - Stands in the Market PDF54.04 KB

GN0012/06 - Information Controls at NZX Market Participants PDF63.09 KB

Practice Notes

PN 01/04 - Daily Liquidity Reporting PDF81.71 KB

PN 02/05 - Direct Market Access PDF61.78 KB

PN 03/05 - Client Agreements PDF58.02 KB

PN 04/05 - Waivers from and Rulings on the NZX Participant Rules PDF77.98 KB

PN 05/05 - Ex Record Date Conversion (Withdrawn)

PN 06/05 - Client Funds for NZX Advising Firms PDF63.08 KB

PN 07/05 - Monthly Reporting PDF84.92 KB

PN 08/05 - Bank Reconciliation Standards PDF56.99 KB

PN 09/05 - Overdraft Reporting PDF71.45 KB

PN 09/05 - Overdraft Reporting Template

PN 10/05 - FASTER Training and Accreditation PDF83.73 KB

PN 11/06 - Annual Reporting Return PDF57.11 KB

Business Notes

The Business Rules and Regulations have been replaced by the NZX Participant Rules.

Business Rules June 2003 PDF270.10 KB

Business Rules Comparison PDF346.41 KB

Regulations Code of Practice PDF138.13 KB

NZX Regulations - Guidance Notes PDF207.99 KB