Rules & Regulations
| No. | Consultation | Status | Launched | Closed | Effective | Details |
|---|---|---|---|---|---|---|
| 25 | Changes to Corporate Adviser Handbook | Closed | 08/01/24 | 08/02/24 | 09/02/24 | |
| 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. |
| 12 | Disciplinary Procedures | Closed | 25/07/14 | 25/08/14 | 23/03/15 | 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. |
| 7 | Fast-track procedures | Closed | 12/11/09 | 12/12/09 | 12/01/10 | 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. |
