Rules - Archives

Rules and Policies – Effective until December 31, 2018 (not in force)

Title
Rule One - Regulations of the Bourse
Rule Two - Liability and Related Matters
Rule Three - Approved Participants
Rule Four - Investigations, Discipline and Appeals
Rule Five - Miscellaneous Rules
Rule Six- Trading
Rule Seven - Operations of Approved participants
Rule Eight - Advertising and Communications
Rule Nine - Margin and Capital Requirements for Options, Futures Contracts and other Derivative Instruments
Rule Ten - Settlements - Securities
Rule Eleven - Options Accounts Management
Rule Fourteen - Derivative Instruments - Miscellaneous Rules
Rule Fifteen - Futures Contracts Specifications
Rules Regarding the Regulatory Division
Rules Regarding the Special Committee - Regulatory Division
Policy C-1 - Requests for Exemption to Position Limits for Bona Fide Hedgers
Policy C-2 - Minimum Standards for Retail Accounts Supervision
Policy C-3 - Joint Regulatory Financial Questionnaire and Report
Policy C-4 - Establishing and Maintaining Adequate Internal Controls
Policy C-10 - Internal Control Policy : Pricing of Securities
Policy C-11 - Internal Control Policy on Derivative Risk Management
Policy C-12 - Minimum Requirements for Suitability Relief Concerning Trades not Recommended by an Approved Participant
Policy C-13 - Responsibilities of the Chief Compliance Officer and Ultimate Designated Person
Electronic Delivery of Documents
Policy F-1 - Continuing Education Program
Policy F-2 - Proficiency Requirements
Policy F-3 - Required Conditions for Granting an Exemption to a Course or an Examination of the Industry
Policy F-4 - Professional Training Requirements
Policy T-1 - Specialist/Market-Maker Trading Policy
Policy T-3 - Circuit Breaker
Policy T-4 - Futures Options : Market-Maker Policy