NZSX and NZDX Listing Rules
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Download the NZSX and NZDX Listing Rules (all files are PDF documents):
Foreword (PDF, 70KB)
- Interpretation, Rulings, Waivers (PDF, 261KB)
- Compliance and Enforcement (PDF, 88KB)
- Constitutions, Trust deeds and Directors (PDF, 159KB)
- Takeover Provisons for Issuers (PDF, 202KB)
- Listing and Quotation (PDF, 171KB)
- Requirements for Documents (PDF, 99KB)
- Issues and Buy Backs of Securities (PDF, 275KB)
- Voting rights and rights of Equity Securities (PDF, 126KB)
- Transactions with Related Parties (PDF, 93KB)
- Disclosure and Information (PDF, 197KB)
- Transfers and Statements (PDF, 100KB)
Appendices
- Appendix 1
- Preliminary Half Year/Full Year Report Announcement - Effective from 1 July 2006 (PDF 40KB)
- Prescribed Disclosure under Appendix 1 - Effective 1 July 2006 (PDF, 21KB)
- Appendix 2 - Minimum Holdings (PDF, 35KB)
- Appendix 3 - Special Division of NZX Discipline (PDF, 26KB)
- Appendix 4 - New Zealand Stock Exchange Listing Fees (PDF, 33KB)
- Appendix 5 - Provisions of Rules Excluded if equity securities not quoted (PDF, 34KB)
- Appendix 6 - Provisions required to be contained in or incorporated by reference in an Issuer's constitution (PDF, 35KB)
- Appendix 7 - Notice of Event Affecting Securities (Excel, 92KB)
- Appendix 8 - Timing of Events Affecting Securities (PDF, 77KB)
- Appendix 9 - Policy statements (PDF, 27KB)
- Appendix 10 - Provisions for Unit Trusts (PDF, 34KB)
- Appendix 11 - Quarterly Report of Consolidated Cash Flows (PDF, 98KB)
- Appendix 12 - Australasian Code for Reporting of Mineral Resources and Ore Reserves (The JORC Code) (PDF, 68KB)
- Appendix 13 - Requirements for the Listing of Equity Warrants (PDF, 64KB)
- Appendix 14 - Rules Not Applicable to Equity Warrants (PDF, 35KB)
- Appendix 15 - Rules not applicable to NCM Issuers (PDF, 28KB)
- Appendix 16 - Corporate Governance Best Practice Code (PDF, 51KB)
- Appendix 17 - Provision of Rules excluded for Dual Listed Issuers (PDF, 84KB)
NZSX and NZDX Listing Rules Guidance Notes
- Reverse and Backdoor Listings (PDF, 136KB)
- Continuous Disclosure (PDF, 152 KB)
- Trading Halts and the Public Release of Information by NZX (PDF, 96 KB)
- Process for amending NZX conduct rules (12 April 2005) (PDF, 80 KB)
- Policy Statements (22 September 2005) (PDF, 72 KB)
- The Impact of NZIFRS on Continuous Disclosure (16 December 2005) (PDF, 67 KB)
- Guidance Note - Waivers and Rulings (20 December 2005) (PDF, 67 KB)
- Guidance note - Hybrid Securities (01 March 2007) (PDF, 70KB)
- Guidance note - Share Purchase Plans (01 May 2007) (PDF, 92KB)
- Guidance note - Spread (01 May 2007) (PDF, 61KB)
- NZDX Debt Market Conventions note (PDF, 80KB)
- Debt Security Issues Guidance note - (17 December 2007) (PDF, 49 KB
Archived NZSX and NZDX Listing Rules
Disclaimer: The Regulation section is provided as general information only. It is not intended as a substitute for legal or professional advice to company directors and officers or investors. NZX Limited disclaims any liability arising from the use of this information.