For full functionality of this site it is necessary to enable JavaScript. Here are the instructions how to enable JavaScript in your web browser. Rules & Policies These documents are PDF files. Last update Number Title 2015-07-17 R-01 Rule One - Regulations of the Bourse 2005-04-11 R-02 Rule Two - Liability and Related Matters 2015-05-21 R-03 Rule Three - Approved Participants 2017-05-10 R-04 Rule Four - Investigations, Discipline and Appeals 2011-09-02 R-05 Rule Five - Miscellaneous Rules 2017-05-10 R-06 Rule Six - Trading 2016-01-14 R-07 Rule Seven - Operations of Approved participants 2008-09-03 R-08 Rule Eight - Advertising and Communications 2016-11-23 R-09 Rule Nine - Margin and Capital Requirements for Options, Futures Contracts and other Derivative Instruments 2008-03-04 R-10 Rule Ten - Settlements - Securities 2008-03-04 R-11 Rule Eleven - Options Accounts Management 2016-11-23 R-14 Rule Fourteen - Derivative Instruments - Miscellaneous Rules 2017-05-15 R-15 Rule Fifteen - Futures Contracts Specifications 2015-05-15 P-C01 Policy C-1 - Requests for Exemption to Position Limits for Bona Fide Hedgers 2003-01-01 P-C02 Policy C-2 - Minimum Standards for Retail Accounts Supervision 2016-01-14 P-C03 Policy C-3 - Joint Regulatory Financial Questionnaire and Report 2003-05-08 P-C04 Policy C-4 - Establishing and Maintaining Adequate Internal Controls 2003-01-01 P-C10 Policy C-10 - Internal Control Policy : Pricing of Securities 2003-01-01 P-C11 Policy C-11 - Internal Control Policy on Derivative Risk Management 2003-01-01 P-C12 Policy C-12 - Minimum Requirements for Suitability Relief Concerning Trades not Recommended by an Approved Participant 2003-11-21 P-C13 Policy C-13 - Responsibilities of the Chief Compliance Officer and Ultimate Designated Person 2003-03-26 P-C15 Electronic Delivery of Documents 2008-03-18 P-F1 Policy F-1 - Continuing Education Program 2008-03-18 P-F2 Policy F-2 - Proficiency Requirements 2008-03-18 P-F3 Policy F-3 - Required Conditions for Granting an Exemption to a Course or an Examination of the Industry 2008-03-18 P-F4 Policy F-4 - Professional Training Requirements 2015-07-17 P-T1 Policy T-1 - Specialist/Market-Maker Trading Policy 2014-07-28 P-T3 Policy T-3 - Circuit Breaker 2015-07-17 P-T4 Policy T-4 - Futures Options : Market-Maker Policy 2015-05-21 Div-R Rules Regarding the Regulatory Division 2015-05-21 Div-SC Rules Regarding the Special Committee - Regulatory Division
Rules & Policies These documents are PDF files. Last update Number Title 2015-07-17 R-01 Rule One - Regulations of the Bourse 2005-04-11 R-02 Rule Two - Liability and Related Matters 2015-05-21 R-03 Rule Three - Approved Participants 2017-05-10 R-04 Rule Four - Investigations, Discipline and Appeals 2011-09-02 R-05 Rule Five - Miscellaneous Rules 2017-05-10 R-06 Rule Six - Trading 2016-01-14 R-07 Rule Seven - Operations of Approved participants 2008-09-03 R-08 Rule Eight - Advertising and Communications 2016-11-23 R-09 Rule Nine - Margin and Capital Requirements for Options, Futures Contracts and other Derivative Instruments 2008-03-04 R-10 Rule Ten - Settlements - Securities 2008-03-04 R-11 Rule Eleven - Options Accounts Management 2016-11-23 R-14 Rule Fourteen - Derivative Instruments - Miscellaneous Rules 2017-05-15 R-15 Rule Fifteen - Futures Contracts Specifications 2015-05-15 P-C01 Policy C-1 - Requests for Exemption to Position Limits for Bona Fide Hedgers 2003-01-01 P-C02 Policy C-2 - Minimum Standards for Retail Accounts Supervision 2016-01-14 P-C03 Policy C-3 - Joint Regulatory Financial Questionnaire and Report 2003-05-08 P-C04 Policy C-4 - Establishing and Maintaining Adequate Internal Controls 2003-01-01 P-C10 Policy C-10 - Internal Control Policy : Pricing of Securities 2003-01-01 P-C11 Policy C-11 - Internal Control Policy on Derivative Risk Management 2003-01-01 P-C12 Policy C-12 - Minimum Requirements for Suitability Relief Concerning Trades not Recommended by an Approved Participant 2003-11-21 P-C13 Policy C-13 - Responsibilities of the Chief Compliance Officer and Ultimate Designated Person 2003-03-26 P-C15 Electronic Delivery of Documents 2008-03-18 P-F1 Policy F-1 - Continuing Education Program 2008-03-18 P-F2 Policy F-2 - Proficiency Requirements 2008-03-18 P-F3 Policy F-3 - Required Conditions for Granting an Exemption to a Course or an Examination of the Industry 2008-03-18 P-F4 Policy F-4 - Professional Training Requirements 2015-07-17 P-T1 Policy T-1 - Specialist/Market-Maker Trading Policy 2014-07-28 P-T3 Policy T-3 - Circuit Breaker 2015-07-17 P-T4 Policy T-4 - Futures Options : Market-Maker Policy 2015-05-21 Div-R Rules Regarding the Regulatory Division 2015-05-21 Div-SC Rules Regarding the Special Committee - Regulatory Division
