DEFINITIONS AND INTERPRETATION

SECTION 0

BR00 - LEGAL FRAMEWORK OF TRADING

RULE
001 GENERAL
002 PARTIES
003 CREATION OF CONTRACT
004 CONFIRMATION
005 PRESENTATION AND REGISTRATION
006 APPLICABLE LAW

SECTION 1

BR01 - ADMINISTRATION

RULE
100 BOARD OF DIRECTORS
101 EXECUTIVE CHAIRMAN
102 BUSINESS CONDUCT COMMITTEE
103 FIDELITY FUND COMMITTEE
104 MARKET COMMITTEES
105 MEMBERSHIP COMMITTEE
106 DISPUTE COMMITTEE
107 FLOOR COMMITTEE
107A PIT COMMITTEE
108 COMPLIANCE COMMITTEE
109 EMERGENCY COMMITTEE
109A NOMINATION COMMITTEE
110 GENERAL PROVISIONS ON COMMITTEES
111 PROCEEDINGS OF COMMITTEES
112 OFFICERS AND EMPLOYEES
113 SECRECY
114 PROHIBITION ON IMPROPER USE OF INFORMATION
115 IMMUNITY
116 MANUALS
117 COMPLIANCE WITH THE ACT
118 FEES, LEVIES & CHARGES
119 DISCLOSURE

SECTION 2

BR02 - MEMBERSHIP

RULE GENERAL PROVISIONS
200 CLASSES OF MEMBERSHIP
201 MEMBERSHIP CRITERIA
202 ADMISSION, SUSPENSION AND EXPULSION
203 RIGHTS AND OBLIGATIONS
204 APPLICATIONS FOR MEMBERSHIP
205 ADMISSION TO MEMBERSHIP
206 ABSOLUTE RIGHT TO OWNERSHIP
207 PERSONS INELIGIBLE FOR MEMBERSHIP
208 SUSPENSION OF MEMBERSHIP
209 RESIGNATION
210 FINANCIAL REQUIREMENTS - GENERAL
211 REPORTING REQUIREMENT

SECTION 2A

BR02A - GENERAL MEMBERSHIP

RULE
200A DESIGNATION OF GENERAL MEMBERSHIP
201A BROKER GENERAL MEMBER
202A NON-BROKER GENERAL MEMBER
203A RIGHTS OF GENERAL MEMBERS
204A OBLIGATIONS
205A MINIMUM FINANCIAL REQUIREMENTS RULE CODE OF CONDUCT
206A BEHAVIOUR OF GENERAL MEMBERS
207A FINANCIAL YEAR END

SECTION 2B

BR02B - FINANCIAL MEMBERSHIP

RULE
200B DESIGNATION OF FINANCIAL MEMBERSHIP
201B BROKER FINANCIAL MEMBER
02B   NON-BROKER FINANCIAL MEMBER
03B   RIGHTS OF FINANCIAL MEMBERS
203B-A CHANGE OF QUALIFYING MEMBERS
03B-B TERMINATION OF UNDERTAKING
04B OBLIGATIONS
05B MINIMUM FINANCIAL REQUIREMENTS

RULE CODE OF CONDUCT
206B BEHAVIOUR OF FINANCIAL MEMBERS
207B FINANCIAL YEAR END

SECTION 2C

BR02C - COMMODITY MEMBERSHIP

RULE
200C DESIGNATION OF COMMODITY MEMBERSHIP
201C BROKER COMMODITY MEMBER
202C NON-BROKER COMMODITY MEMBER
203C RIGHTS OF COMMODITY MEMBERS
203C-A CHANGE OF QUALIFYING MEMBERS
203C-B TERMINATION OF UNDERTAKING
204C OBLIGATIONS
205C MINIMUM FINANCIAL REQUIREMENTS
RULE CODE OF CONDUCT
206C BEHAVIOUR OF COMMODITY MEMBERS
207C FINANCIAL YEAR END

SECTION 2D

BR02D - TRADE AFFILIATES

RULE
200D ELIGIBILITY
201D MEMBERSHIP FEE
202D ANNUAL SUBSCRIPTION
203D RIGHTS OF TRADE AFFILIATES
204D MINIMUM FINANCIAL REQUIREMENTS
RULE CODE OF CONDUCT
205D BEHAVIOUR OF TRADE AFFILIATE
206D DISPUTE OVER STATUS, RIGHTS AND OBLIGATIONS

SECTION 3

BR03 - BROKER RULES

RULE
300 GENERAL
301 TRADING RIGHTS
302 MINIMUM FINANCIAL REQUIREMENTS

RULE CODE OF CONDUCT
303 BEHAVIOUR OF BROKERS
304 ADVERTISEMENT
305 EMPLOYMENT
305A CHANGES IN CONSTITUTION
306 OPENING OF BRANCH OFFICE
307 PROPRIETARY TRADING

RULE CLIENTS
308 OPENING OF ACCOUNT, KNOW YOUR CLIENT, RISK DISCLOSURE STATEMENT AND CLIENT'S AGREEMENT
308A CLIENT SUITABILITY
309 DISCRETIONARY ACCOUNT
310 CONTRACT NOTE AND STATEMENTS TO CLIENTS
311 MARGINS OF CLIENTS
312 FORMS OF MARGIN PAYMENT
313 SEGREGATION OF CLIENT'S MONEY AND PROPERTY
314 CLIENT COMPLAINT
315 GUARANTEE AND PROFIT SHARING

RULE EMPLOYEES
316 TRAINEE FUTURES BROKER'S REPRESENTATIVES
317 FUTURES BROKER'S REPRESENTATIVES REGISTRATION
318 REPRESENTATIVES