Participant Rules

This page includes links to the rules that apply to Market Participants operating on NZX's securities market.

Current Rules

• NZX Participant Rules (20 March 2024)
• NZX Participant Rule Procedures (20 March 2024)

Appendices

• Appendix 1 - Market Participant Application
• Appendix 2 - Managing Principal Undertaking
• Appendix 3 - Responsible Executive Application
• Appendix 4 - Director or Partner Undertaking
• Appendix 5 - Compliance Manager Undertaking
• Appendix 6 - Surveillance Officer Undertaking
• Appendix 7 - Dealer Application
• Appendix 8 - Dealer Resignation
• Appendix 9 - NZX Adviser Application
• Appendix 10 - NZDX Adviser Application
• Appendix 11 - NXT Advisor Declaration (archived on 1 July 2019)
• Appendix 12 - DMA Application
• Appendix 13 - Market Maker Application
• Appendix 14 - NZX Trainer Application
• Appendix 15 - NZX Trainer Resignation
• Appendix 16 - FSM Participant or RMA Provider Application
• Appendix 17 - FSM Dealer Application
• Appendix A - Monthly Internal Control Checklist

Application Checklists

• Advising Participant Accreditation Application Information
• Trading and Advising Participant Accreditation Application Information
• FSM Participant Accreditation Application Information
• NZX Sponsor / Distribution and Underwriting Sponsor Accreditation Application Information
• DMA Participant & System Application Information
• Market Maker Application Information