NZAX Listing Rules Archive

22 May 2017

1. NZAX Listing Rules (22 May 2017)
2. NZAX Listing Rule Appendices (22 May 2017)

7 March 2016

1. NZAX Listing Rules (7 March 2016)
2. NZAX Listing Rule Appendices (7 March 2016)

16 April 2015

1. NZAX Listing Rules (16 April 2015)
2. NZAX Listing Rule Appendices (16 April 2015)

17 August 2010

1. NZAX Listing Rules (17 August 2010)
2. NZAX Listing Rule Appendices (6 August 2010)

Pre - 3 April 2009

1. Summary and Initial Exposure Draft
2. Appendix to Initial Exposure Draft
3. Contents
4. Interpretations, Rulings Waivers
5. Compliance and Enforcement
6. Constitutions and Directors
7. Takeover Provisions for NZAX Issuers that are not code companies
8. Listing and Quotation
9. Requirements for Documents
10. Issues and buybacks of Equity Securities
11. Voting Rights and Rights of Equity Securities
12. Transactions with related parties and Major Transactions
13. Disclosure and Information
14. Transfers and Statements

Appendices

1. Appendix 1 - Preliminary Announcements - Full and Half Year Results
2. Appendix 1 - Attachment
3. Appendix 2 - Provisions required to be contained in or Incorporated by reference in an NZAX Issuers Constitution
4. Appendix 3 - Disclosure Document
5. Appendix 4 - Notice of Event affecting Securities
6. Appendix 5 - Timing of Events affecting Securities
7. Appendix 6 - Quarterly report of consolidated cash flows
8. Appendix 7 - Australasian code for reporting of exploration results, mineral resources and ore reserves (The JORC Code)
9. Appendix 8 -Provisions of NZAX Listing Rules excluded for Dual Listed NZAX Issuers

Pre - March 2007

Part A - Process Rules

1. Section 1 - Definitions and interpretation
2. Section 2 - Compliance and enforcement
3. Section 3 - Constitutions, listing and quotation
4. Section 4 - Voting rights, transfers and statements
5. Section 5 - Powers of NZX and obligations of NZAX Issuers while listed
6. Section 6 - Costs and fees payable by NZAX Issuers

Part B - Fundamental Rules

1. Section 1 - Disclosure and information
2. Section 2 - Corporate governance
3. Section 3 - Takeover provisions for NZAX Issuers that are not code companies
4. Section 4 - Transactions with related parties

Part C - Appendices

1. Appendix 1 - Pre break disclosure transactions
2. Appendix 1A - Preliminary half/full year report announcement form
3. Appendix 2 - NZX Sponsors
4. Appendix 3 - Disclosure Document
5. Appendix 3A - Constitution and procedures of Panel
6. Appendix 7 - Notice of events affecting securities
7. Appendix 8 - Timing of events affecting securities
8. Appendix 9 - Policy statements
9. Appendix 10 - Provisions for Unit Trusts (Pre - July 2007)
10. Appendix 11 - Quarterly report of consolidated cash flows
11. Appendix 12 - Australasian Code for Reporting of Mineral Resources and Ore Reserves (The JORC Code)
12. Appendix 13 - Requirements for the listing of Equity Warrants
13. Appendix 14 - Rules not applicable to equity warrants
14. Appendix 17 - Provisions of rules excluded for Dual Listed NZAX Issuers