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Core rules


The core rules apply, with some exceptions, to all member firms and include categories of membership, authorisation, general suitability and other general requirements such as notifications and trade records.

The core rules are divided into a number of sections including:

  • Member firms;
  • Member firm services;
  • Compliance and enforcement;
  • Charges and fees;
  • General conduct; and
  • Systems and trading.

The general conduct rules cover misleading acts, conduct and prohibited practices, share price manipulation, and system testing.

System and trading rules cover member firm system problems, regulatory suspensions, market situations, when issued dealing, and conditional trades.

Downloads
Rules of the London Stock Exchange(pdffile pdf - 4 MB)
Guide to the New Trading System (docfile doc - 1 MB)
Millennium Exchange Business Parameters (xlsfile xls - 730 KB)

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