NSE-Rules & Regulations Governing Dealing Members

Regulators
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November 9, 2012 / NSE

These Rules and Regulations are made pursuant to the Memorandum and The Articles of Association of The Nigerian Stock Exchange and are subject to The Provisions of The Investments and Securities Act (ISA) of 1999 and The Rules and Regulations made there under:

GENERAL RULES

Article 1: Application

These Rules and Regulations shall be binding upon Dealing Members in their relationship with The Exchange, as between themselves as Dealing Members, and as regulating the business which they conduct as Dealing Members of The Exchange with the general public.

Article 2: Duty to Observe and Report Breaches

 It is the duty of every Dealing Member of The Exchange to observe these Rules and Regulations and to report forthwith any breach of the Articles or Rules and Regulations by any other Dealing Member in writing to the National Council of The Exchange, or through the Branch Councils to the National Council of The Exchange. Any Dealing Member, being aware of any breach on the part of another Dealing Member and failing to report the same to Council as aforesaid, shall himself/itself be guilty of a breach of these Rules and Regulations.


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