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Rules
Update No. Number and title of Rules and Policies
2005-06-17 R-01 Rule One - Regulations of the Bourse
2005-04-11 R-02 Rule Two - Liability and Related Matters
2010-03-30 R-03 Rule Three - Approved Participants
2006-03-29 R-04 Rule Four - Investigations, Discipline and Appeals
2008-03-17 R-05 Rule Five - Miscellaneous Rules
2010-06-18 R-06 Rule Six - Trading
2010-03-22 R-07 Rule Seven - Operations of Approved participants
2008-09-03 R-08 Rule Eight - Advertising and Communications
2007-08-13 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
2008-03-04 R-14 Rule Fourteen - Derivative Instruments - Miscellaneous Rules
2010-06-18 R-15 Rule Fifteen - Futures Contracts Specifications
2003-01-01 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
2009-02-23 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
2003-01-01 P-T1 Policy T-1 - Specialist/Market-Maker Trading Policy
2003-01-01 P-T3 Policy T-3 - Circuit Breaker
2003-01-01 P-T4 Policy T-4 - Futures Options : Market-Maker Policy
2009-09-25 Div-R Rules Regarding the Regulatory Division
2009-09-25 Div-SC Rules Regarding the Special Committee - Regulatory Division
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