Commonwealth Numbered Regulations
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SECURITIES INDUSTRY REGULATIONS 1981
TABLE OF PROVISIONS
1. Citation
2. Interpretation
3. Compliance with forms
4. Directions and instructions to be followed
5. General requirements for documents
6. Prescribed percentages and offices under section 5 of the Act
7. Evidence of authority under sub-section 8 (2) of the Act
8. Notice under sub-section 12 (3D) of the Act
9. Notice under sub-section 19 (1) of the Act
10. Allowances and expenses payable to person being examined
11. Record of examination
12. Application for approval as a stock exchange
13. Application by a natural person for dealers or investment advisers licence
14. Application by a corporation for dealers or investment advisers licence
15. Application for dealer's representatives or investment representatives licence
16. Applications for licence to be enclosed in sealed envelope
17. Application to Commission to vary a representatives licence
18. Conditions to which licence is subject
19. Return of security in certain circumstances
20. Particulars to be entered in Register of Licence Holders
21. Notification of change in registered particulars
22. Annual statement by a dealer or investment adviser who is a natural person
23. Annual statement by a dealer or investment adviser that is a corporation
24. Annual statement by a representative
25. Time for lodging annual statement
26. Exemptions from licensing, &c.
27. Sale of forfeited shares exempt
28. Exempt dealer
29. Exemption of certain securities
30. Transactions in prescribed circumstances
31. Exempt transaction
32. Form of document to be issued to client
33. Exemption of sale of exchange traded options
34. Exemption of short sale covered by exchange traded options
35. Dealer's trust accounts-exempt
36. Notice of resignation or removal of auditor
37. Dealer, who is a natural person, to lodge accounts, &c.
38. Dealer, that is a corporation, to lodge accounts, &c.
39. Auditor's report
40. Register of interests in securities
41. Entry of particulars in Register
42. Notice under sub-section 90 (2) or (3) of the Act
43. Notice of appeal
44. Notice calling for claims against fund
45. Notice of disallowance of claim
46. Prohibition of dealings in securities by insiders
47. Dealings by employees of holders of licences
48. Period for which documents are to be retained
SCHEDULE 1
SCHEDULE 2
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