Commonwealth Consolidated Regulations

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CORPORATIONS REGULATIONS 2001 - REG 10.2.169

Sequence of transmission and execution of orders

         (1)   For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 3 of the table in section 1430 of the Act.

         (2)   A reference in subsection 1266 (1) of the old Corporations Act to a futures market includes a licensed market for derivatives.

         (3)   A reference in paragraph 1266 (4) (c) of the old Corporations Act to the business rules of a futures organisation of which
a futures broker is a member includes the operating rules of
a licensed market for derivatives of which the broker is a participant.

         (4)   A reference in subsection 1266 (5) of the old Corporations Act to a member of a futures exchange includes a participant of a licensed market for derivatives.

         (5)   A reference in subsection 1266 (5) of the old Corporations Act to a trading floor of a futures exchange includes a trading floor of a licensed market for derivatives.

         (6)   A reference in subsection 1266 (6) of the old Corporations Act to the business rules of a futures organisation of which a broker is a member includes the operating rules of a licensed market of which the broker is a participant.



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