Rules & Regulations
|24||Disciplinary and Appeals Procedure||Closed||05/10/22||17/10/22||-|
|23||Apex and Access Rulebook Update||Closed||22/08/22||02/09/22||03/10/22|
|22||SPAC rule change consultation||Closed||27/10/21||12/11/21||-|
|21||Access and Apex Rulebooks||Closed||-||09/11/20||16/11/20|
|20||Enhancements to the markets AQSE operates||Closed||01/05/20||15/06/20||-|
|19||CSD Regulation – Changes to the NEX Exchange Trading Rules||Closed||21/08/19||30/09/19||03/10/19|
|18||EU Growth prospectus – Changes to the NEX Exchange Growth Market Rules for Issuers||Closed||30/04/19||31/05/19||11/07/19|
|17||SME Growth Market Status & Rule Consultation||Closed||20/12/18||08/01/19||29/01/19|
|16||Changes to the NEX Exchange fast track admission rules||Closed||01/06/18||01/07/18||01/08/18|
|15||Changes to the Trading Rules, in line with MiFID II||Closed||01/11/17||01/12/17||03/01/18|
|14||ISDX Growth Market Rules for Issuers 2016 and the ISDX Corporate Adviser Handbook 2016||Closed||13/06/16||27/06/16||03/07/16|
Changes for advent of MAR and other amendments
|13||Rules for Issuers 2015/Corporate Adviser Handbook 2015/Due Diligence Practice Note 2015||Closed||22/01/15||20/02/15||23/03/15|
Introduction of revised admission criteria for issuers, a modified framework for the role of an NEX Exchange Corporate Adviser and a practice note to clarify the due diligence requirements in respect of the NEX Exchange Growth Market.
Amendments to the Disciplinary Procedures (applicable to member firms and issuers), involving disciplinary matters and appeals.
|11||Rules for issuers 2013/Corporate Adviser Handbook 2013||Closed||08/04/13||13/05/13||23/03/15|
Introduction of additional admission criteria for equity securities and requirements around investment vehicles, cash shells, corporate governance and disclosure, and a new framework for the role of an authorised NEX Exchange Corporate Adviser.
|10||Trading Rules 2011||Closed||29/06/11||31/07/11||01/09/11|
Introduction of changes to reflect the single quote-driven trading model and technical improvements to the Trading Rules.
|9||Disciplinary Procedures 2010||Closed||08/04/10||08/05/10||12/05/10|
Creation of a Disciplinary Commissioner as well as broadening the circumstances in which a "Precautionary Suspension" of a Member Firm can be invoked.
|8||Rules for Issuers 2010||Closed||08/02/10||08/03/10||12/05/10|
Incorporation of the new fast-track admission procedure for applicants from Qualifying Markets and clarification of the responsibilities and role of the Corporate Adviser and the circumstances requiring the publication of an admission document.
Introduction of a regulatory framework enabling issuers with a quotation on certain reputable smaller company markets within the EU to obtain a dual quotation via an expedited procedure.
|6||Corporate Adviser Handbook 2009||Closed||30/07/09||21/09/09||01/10/09|
Clarification of certain sections of the existing handbook in response to queries received from time to time.
|5||Rules for Issuers 2009||Closed||05/01/09||26/02/09||09/03/09|
Clarification of certain sections of the existing rules in response to queries received from time to time.
|4||Trading Rules 2008/2009||Closed||01/09/08||01/10/08||23/02/09|
Introduction of changes to reflect the expansion of quote-driven services.
|3||Trading Rules 2007||Closed||16/08/07||17/09/07||01/11/07|
Introduction of detailed trading rulebook in order to implement the Markets in Financial Instruments Directive ("MiFID") in November 2007.
|2||Admission & Disclosure Standards, Rules for Issuers and Disciplinary Procedures 2007||Closed||23/04/07||23/06/07||01/11/07|
Introduction of new regulatory framework to accommodate the positioning of the Exchange both as a Recognised Investment Exchange ("RIE") and as a full service Market Operator following the implementation of the Markets in Financial Instruments Directive ("MiFID") in November 2007. Introduction of the Admission & Disclosure Standards for listed securities
|1||Rules for Issuers 2007||Closed||27/11/06||31/12/06||30/01/07|
Introduction of the FSA disclosure regime under the DTR in the Rules for Issuers.