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:
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.
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