Document ID: chunk:federal_register_of_legislation:F2024C01249:reg:4:p28
Version: federal_register_of_legislation:F2024C01249
Segment Type: reg
Provision Reference: reg 4 (pt 28/60)
Character Range: 891906–895123

investors etc
7.9.97A Information in offer document if payment is to be made in instalments
Division 14—Exemptions from Parts 7.7, 7.8 and 7.9 of the Act
7.9.98 Certain providers of financial services exempted from the requirements of Parts 7.7, 7.8 and 7.9 of the Act
7.9.98A Exemption from application of Part 7.9 of the Act
Division 15—Disclosure in relation to short sales covered by securities lending arrangement of listed section 1020B products
7.9.99 Interpretation
7.9.100 Seller disclosure
7.9.100A Seller disclosure of existing short position
7.9.101 Licensee disclosure
7.9.102 Public disclosure of information
Part 7.10—Market misconduct and other prohibited conduct relating to financial products and financial services
7.10.01 Meaning of Division 3 financial products—excluded superannuation products
7.10.02 Professional standards schemes
7.10.03 Exemption for market participants of qualifying gas trading exchange
Part 7.10B—Financial services compensation scheme of last resort
7.10B.50 Reporting by CSLR operator if sub‑sector levy cap could be exceeded (or further exceeded)
7.10B.55 Reporting by CSLR operator after the end of each levy period
Part 7.11—Title and transfer
Division 1—Preliminary
7.11.01 Definitions
7.11.03 Arrangements about Division 4 financial products
7.11.04 Arrangements for forms
7.11.05 Document duly completed in accordance with a particular form
7.11.06 Stamping of documents
7.11.07 Application of Division 3 of Part 7.11 of the Act to certain bodies
7.11.08 Interests in registered schemes
Division 2—Application of Part 7.11
7.11.09 Application
Division 3—Transfer of Division 3 securities effected otherwise than through a prescribed CS facility
7.11.10 Application of Division 3
7.11.11 Sufficient transfer: general
7.11.12 Sufficient transfer of Division 3 assets: licensed trustee company or Public Trustee of a State or Territory
7.11.13 Sufficient transfer of Division 3 rights: licensed trustee company or Public Trustee of a State or Territory
7.11.14 Sufficient transfer
7.11.15 Transferee's execution of transfer of Division 3 assets
7.11.16 Transferee's execution of transfer of Division 3 rights
7.11.17 Transfer document that purports to bear stamp of transferor's broker
7.11.18 Warranties by market licensee if transfer document purports to bear its stamp
7.11.19 Indemnities by market licensee and broker if transfer document purports to bear their stamps
7.11.20 Joint and several warranties and liabilities
7.11.21 Registration of certain instruments
7.11.22 Details to be included in instrument of transfer
Division 4—Transfer of Division 4 financial products effected through prescribed CS facility
7.11.23 Application of Division 4
7.11.24 Application of ASTC operating rules
7.11.25 Participant's authority to enter into transaction continues despite client's death
7.11.26 Authority to enter into transaction gives authority to transfer
7.11.27 Effect of proper ASTC transfer on transferee: Division 4 financial products other than rights
7.11.28 Effect of proper ASTC transfer on transferee: rights
7.11.29 Warranties by participant if identification code is included in transfer document
7.11.30 Indemnities in respect of warranted matters: