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Rules & Regulations

OverviewMarket NoticesConsultationsDocuments LibraryMiFID II
No.ConsultationStatusLaunchedClosedEffectiveDetails
24Disciplinary and Appeals ProcedureClosed05/10/2217/10/22-

    Disiplinary and Appeals Procedure Consultation - Oct 2022

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23Apex and Access Rulebook UpdateClosed22/08/2202/09/2203/10/22
22SPAC rule change consultationClosed27/10/2112/11/21-
21Access and Apex RulebooksClosed-09/11/2016/11/20
20Enhancements to the markets AQSE operatesClosed01/05/2015/06/20-
19CSD Regulation – Changes to the NEX Exchange Trading RulesClosed21/08/1930/09/1903/10/19
18EU Growth prospectus – Changes to the NEX Exchange Growth Market Rules for IssuersClosed30/04/1931/05/1911/07/19
17SME Growth Market Status & Rule ConsultationClosed20/12/1808/01/1929/01/19
16Changes to the NEX Exchange fast track admission rulesClosed01/06/1801/07/1801/08/18
15Changes to the Trading Rules, in line with MiFID IIClosed01/11/1701/12/1703/01/18
14ISDX Growth Market Rules for Issuers 2016 and the ISDX Corporate Adviser Handbook 2016Closed13/06/1627/06/1603/07/16
13Rules for Issuers 2015/Corporate Adviser Handbook 2015/Due Diligence Practice Note 2015Closed22/01/1520/02/1523/03/15Introduction 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.
12Disciplinary ProceduresClosed25/07/1425/08/1423/03/15Amendments to the Disciplinary Procedures (applicable to member firms and issuers), involving disciplinary matters and appeals.
11Rules for issuers 2013/Corporate Adviser Handbook 2013Closed08/04/1313/05/1323/03/15Introduction 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.
10Trading Rules 2011Closed29/06/1131/07/1101/09/11Introduction of changes to reflect the single quote-driven trading model and technical improvements to the Trading Rules.
9Disciplinary Procedures 2010Closed08/04/1008/05/1012/05/10Creation of a Disciplinary Commissioner as well as broadening the circumstances in which a "Precautionary Suspension" of a Member Firm can be invoked.
8Rules for Issuers 2010Closed08/02/1008/03/1012/05/10Incorporation 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.
7Fast-track proceduresClosed12/11/0912/12/0912/01/10Introduction 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.
6Corporate Adviser Handbook 2009Closed30/07/0921/09/0901/10/09Clarification of certain sections of the existing handbook in response to queries received from time to time.
5Rules for Issuers 2009Closed05/01/0926/02/0909/03/09Clarification of certain sections of the existing rules in response to queries received from time to time.
4Trading Rules 2008/2009Closed01/09/0801/10/0823/02/09Introduction of changes to reflect the expansion of quote-driven services.
3Trading Rules 2007Closed16/08/0717/09/0701/11/07Introduction of detailed trading rulebook in order to implement the Markets in Financial Instruments Directive ("MiFID") in November 2007.
2Admission & Disclosure Standards, Rules for Issuers and Disciplinary Procedures 2007Closed23/04/0723/06/0701/11/07Introduction 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
1Rules for Issuers 2007Closed27/11/0631/12/0630/01/07Introduction of the FSA disclosure regime under the DTR in the Rules for Issuers.

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