Information for Brokers and Participants

ASX plays a pivotal role in the Australian economy facilitating the flow of domestic and overseas investment funds to productive enterprises. The flow of investment funds into these enterprises is crucial to economic growth, job creation, and raising living standards. ASX has developed rules of conduct and procedures to monitor the activities of Market Participants designed to preserve the integrity of the market.
The terms "broker", "participant", "market participant", "stockbroker" and "trading participant" are used interchangeably on this website to refer to Participants of the ASX Group.
ASX Group Operating rules
ASX Market Rules, Procedures and Policies
Australian Clearing House (ACH) Clearing Rules, Procedures and Policies
ASX Settlement and Transfer Corporation (ASTC) Settlement Rules, Procedures and Policies
Education for Brokers
Continuing Professional Development (CPD) - ASX offers education on a range of classes and specialised seminars that attract both structured and unstructured CPD hours. This information is updated on a regular basis.
CPD education - Brokers (PDF 92KB)
Contact ASX for an in-house tailored presentation on ASX Listed Products
Securities & Derivatives Industry Association
The Securities & Derivatives Industry Association (SDIA) is the peak industry body representing 65 stockbroking firms and over 1300 practitioners across Australia.
SFE Brokers & Participants
Information on SFE Products & Services are available for Brokers and Participants interested in finding out more about Sydney Futures Exchange, SFE Clearing and SFE Austraclear.
Becoming an ASX Group Participant
Read about the participation costs (PDF 58KB).
Email enquiries are welcome.
Guide to Becoming an ASX Market, ACH Clearing and/or ASTC Settlement Participant.
ASX, ACH and ASTC have prepared guides to assist companies who are considering becoming a Participant in the ASX Group. Companies are encouraged to contact ASX Client Relations to obtain a copy of the relevant Guide.
Supervision of Participants
Information about ASX's role in the supervision of Participants.
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