Participant Rules

This page includes links to the rules that apply to Market Participants operating on NZX's securities market.

Current Rules

Appendices

Appendix 1 - Market Participant Application
Appendix 2 - Managing Principal Undertaking
Appendix 3 - Responsible Executive Application
Appendix 4 - Director or Partner Undertaking
Appendix 5 - Compliance Manager Undertaking
Appendix 6 - Surveillance Officer Undertaking
Appendix 7 - Dealer Application
Appendix 8 - Dealer Resignation
Appendix 9 - NZX Adviser Application
Appendix 10 - NZDX Adviser Application
Appendix 11 - NXT Advisor Declaration (archived on 1 July 2019)
Appendix 12 - DMA Application
Appendix 13 - Market Maker Application
Appendix 14 - NZX Trainer Application
Appendix 15 - NZX Trainer Resignation
Appendix 16 - FSM Participant or RMA Provider Application (archived on 11 September 2025)
Appendix 17 - FSM Dealer Application (archived on 11 September 2025)
Appendix A - Monthly Internal Control Checklist
Appendix B - Quarterly Internal Control Checklist

Application Checklists