SECTION 4

BR04 - NON BROKER RULES

RULE
400 GENERAL
401 TRADING RIGHTS
402 MINIMUM FINANCIAL REQUIREMENTS
403 CHANGE OF QUALIFYING MEMBER
404 TERMINATION OF UNDERTAKING

RULE CODE OF CONDUCT
405 BEHAVIOUR OF NON BROKERS
406 CHANGES IN CONSTITUTION

SECTION 5

BR05 - LOCAL MEMBERSHIP

RULE
500 ELIGIBILITY
501 ADMISSION
502 RIGHTS
503 UNDERTAKING BY NOMINATING MEMBER OR BROKER
504 CHANGE OF NOMINATING MEMBER
505 TERMINATION OF UNDERTAKING
506 OBLIGATIONS

RULE CODE OF CONDUCT
507 BEHAVIOUR OF LOCAL MEMBERS
508 DEATH OF A LOCAL MEMBER

SECTION 5A

BR05A - TRADING PERMIT HOLDERS

RULE
500A GENERAL
501A ELIGIBILITY
502A ADMISSION
503A RIGHTS & OBLIGATIONS
504A UNDERTAKING BY NOMINATING MEMBER OR BROKER
505A CHANGE OF NOMINATING MEMBER
506A TERMINATION OF UNDERTAKING

SECTION 6

BR06 - SEATS ON THE EXCHANGE

RULE
600 NUMBER OF SEATS
601 NATURE OF SEATS
602 CLASSES OF SEATS
603 ALLOTMENT OF SEAT
604 SALE OF SEATS
605 NOTICE OF INTENT TO SELL A SEAT
606 NOTICE OF INTENT TO PURCHASE A SEAT
607 CANCELLATION OR AMENDMENTS OF OFFER TO SELL NOTICE OR OFFER TO PURCHASE NOTICE
608 REGISTER OF BIDS AND OFFERS
609 MATCHING OF OFFERS AND BIDS
610 LIEN ON SEAT
611 RETENTION OF PURCHASE AMOUNT TO COVER LIABILITIES
612 CLAIMS AGAINST PROCEEDS ON SALE OF SEAT
613 TRANSFER OF SEAT
614 EFFECTS OF SALE/TRANSFER
615 ORDER TO SELL SEAT
616 OTHER DISPOSITION OF SEAT
617 OPTION ON SEAT
618 LEASING OF SEAT
619 MEMBER WITHOUT SEAT
620 RESTRICTION ON SUB-LEASE
621 APPROVAL FOR LEASING OF SEATS
622 TERMINATION OF LEASE

SECTION 7

BR07-TRADING RULES, FLOOR CONDUCT AND PRACTICES

RULE
700 TRADING MONTHS
701 TRADING HOURS
702 TRADING PROCEDURES
703 DAILY PRICE LIMITS
704 OPENING AND CLOSING PRICE RANGE
705 PRIORITY OF CLIENTS' ORDERS
706 ACCEPTANCE OF OFFER AND BID
707 WITHHOLDING OF AN ORDER PROHIBITED
708 DISCLOSURE OF ORDER PROHIBITED
709 SIMULTANEOUS BUYING AND SELLING PROHIBITED
710 TRADING AGAINST CLIENT ORDERS PROHIBITED
711 PRE-ARRANGED TRADING PROHIBITED
712 TRADING INFRACTION
713 TRADE FORMS
714 TRADING ERRORS
715 RECORDING AND CONFIRMATION OF TRADES
716 RESPONSIBILITY FOR TRADES
717 RECORD OF CLIENTS' ORDERS AND TRANSACTIONS
718 TRADING LIMITS
719 POSITION LIMITS
720 REPORTABLE POSITIONS
721 EXCHANGE OF FUTURES FOR PHYSICAL (EFP)
722 SUSPENSION OF TRADING
723 COMMISSIONS, LEVIES AND FEES
724 CONTRACT MODIFICATIONS
725 NON-LIABILITY OF THE EXCHANGE
726 DELISTING OF CONTRACTS

SECTION 8

BR08-ENFORCEMENT OF RULES

RULE
800 DISCIPLINARY POWERS
801 DISCIPLINARY PROCEEDINGS
802 DECISIONS OF AUDIT AND COMPLIANCE COMMITTEE
803 APPEAL OF A DECISION FROM THE BUSINESS CONDUCT COMMITTEE
804 REVIEW OF DECISION
805 NOTICE OF DISCIPLINARY MEASURE
806 GROUNDS FOR DISCIPLINARY MEASURES
807 SUSPENSION
808 EXPULSION
809 EFFECT ON SERVING ON BOARD OR COMMITTEE
810 INDEMNIFICATION OF LIABILITY TO THE EXCHANGE
811 LIABILITY FOR ACTS OF OFFICERS, EMPLOYEES, REPRESENTATIVES AND AGENTS

SECTION 9

BR09 - EMERGENCY RULES

RULE
900 EMERGENCY
901 EMERGENCY ACTION
902 PHYSICAL EMERGENCY
903 DECISION AND NOTICE TO BOARD
904 FORCE MAJEURE
905 EFFECT OF DECISION