Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.148

Conditions of dealers licence

             (1)  For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 or 2 of the table in section 1430 of the Act.

             (2)  A reference in subsection 786(8) of the old Corporations Act to a member of a securities exchange includes a participant of a licensed market for securities.

             (3)  A reference in subsection 786(8) of the old Corporations Act to a securities exchange includes a market licensee.

             (4)  A reference in subsection 786(8) of the old Corporations Act to a member firm includes a participating firm.



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