Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.169

Sequence of transmission and execution of orders

             (1)  For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.

             (2)  A reference in subsection 1266(1) of the old Corporations Act to a futures market includes a licensed market for derivatives.

             (3)  A reference in paragraph 1266(4)(c) of the old Corporations Act to the business rules of a futures organisation of which a futures broker is a member includes the operating rules of a licensed market for derivatives of which the broker is a participant.

             (4)  A reference in subsection 1266(5) of the old Corporations Act to a member of a futures exchange includes a participant of a licensed market for derivatives.

             (5)  A reference in subsection 1266(5) of the old Corporations Act to a trading floor of a futures exchange includes a trading floor of a licensed market for derivatives.

             (6)  A reference in subsection 1266(6) of the old Corporations Act to the business rules of a futures organisation of which a broker is a member includes the operating rules of a licensed market of which the broker is a participant.



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