Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:15:p55
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 15 (pt 55/73)
Character Range: 1825533–1828211

market for securities.
 (3) A reference in the definition of marketable parcel in section 761 of the old Corporations Act to the relevant business rules of a stock market of a securities exchange includes the relevant operating rules of a licensed market for securities.

Division 30—Effect on certain conduct of transition to licensed markets and licensed CS facilities

10.2.147  Own account dealings and transactions: futures contracts
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal.
 (2) A reference in subsection 29(2) of the old Corporations Act to a member of a futures exchange includes a participant of a licensed market for derivatives.

10.2.148  Conditions of dealers licence
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 or 2 of the table in section 1430 of the Act.
 (2) A reference in subsection 786(8) of the old Corporations Act to a member of a securities exchange includes a participant of a licensed market for securities.
 (3) A reference in subsection 786(8) of the old Corporations Act to a securities exchange includes a market licensee.
 (4) A reference in subsection 786(8) of the old Corporations Act to a member firm includes a participating firm.

10.2.149  Persons who are not clients
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 or 2 of the table in section 1430 of the Act.
 (2) A reference in section 794 of the old Corporations Act to a dealer or an investment adviser includes:
 (a) a financial services licensee; and
 (b) one of 2 or more persons who together constitute a financial services licensee.

10.2.150  Dealings and transactions on a dealer's own account
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in subsection 843(5) of the old Corporations Act to a dealer who is a member of a securities exchange includes a participant of a licensed market for securities.

10.2.151  Dealer to give priority to clients' orders
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.
 (2) A reference in subsection 844(2) of the old Corporations Act to a stock market of a securities exchange includes a licensed market for securities.

10.2.152  Dealers' financial records
 (1) For section 1444 of the Act, this regulation applies in relation to a regulated principal mentioned in item 1 of the table in section 1430 of the Act.