Exchange and Market Rules and Regulations
As you know, you are responsible for fully understanding and complying with the rules and regulations of each exchange
or market on which you enter orders. As the rules and regulations vary from one exchange or market to another, and as
you are also subject to the jurisdiction of the relevant exchange, as applicable, it is important for you to review the rules of
each exchange or market. Information regarding equities, futures and options is generally available on the exchanges’
websites.
The inclusion of an exchange on this list does not mean that your account is eligible to trade on that particular
exchange or to trade all products on that exchange. Should you require additional information or have any
questions concerning the BELOW, please contact your applicable Goldman Representative.
For your convenience, URL links are provided below, although these URL links are susceptible to change:
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North and South America
American Stock Exchange (AMEX): http://www.amex.com/
Brazilian Mercantile and Futures Exchange (BM&F):
http://www.bmf.com.br/portal/pages/frame_home.asp?idioma=2&link=http://www.bmf.com.br/portal/pages/clearing2/De
rivativos/pdf/manuais/Rulebook.pdf
CBOE Futures Exchange (CFE): http://www.cboe.com/cfe/index.asp
Chicago Board Options Exchange (CBOE): http://www.cboe.org/Legal/
Chicago Board of Trade (CBOT): http://www.cbot.com/cbot/www/page/0,1398,14+64,00.html
Chicago Mercantile Exchange (CME): http://www.cmerulebook.com
Chicago Stock Exchange (CHX): http://www.chx.com/rules/index_rules.htm
International Securities Exchange (ISE): http://www.iseoptions.com/legal/pdf/rules.pdf
Kansas City Board of Trade (KCBOT): http://www.kcbt.com/rule_book.html
Mexican Derivatives Exchange (MEXDER): http://www.mexder.com.mx/MEX/home_ingles.html
Minneapolis Grain Exchange (MGE): http://www.mgex.com/regulation.html
Montreal Futures Exchange (MFE): http://www.m-x.ca/publi_regles_en.php
New York Mercantile Exchange (NYMEX): http://www.nymex.com/rule_main.aspx
New York Board of Trade (NYBOT): http://www.nybot.com/aboutnybot/rulebooks/indexrulebooks.htm
New York Stock Exchange (NYSE): http://rules.nyse.com/NYSE/NYSE_Rules/
NYSE Arca Equities: http://wallstreet.cch.com/PCX/PCXE/
NYSE Arca Options: http://wallstreet.cch.com/PCX/PCX-Rules/
One Chicago: http://www.onechicago.com/020000_about/images/OneChicagoRulebook7192005.pdf
Philadelphia Stock Exchange (PHLX): http://www.phlx.com/exchange/index.html
US Futures Exchange (USFE): http://www.usfe.com/about_rules.html
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Europe
Athens Derivatives Exchange (ADEX): http://www.adex.ase.gr/AdexHomeEN/index.html
Budapest Stock Exchange:
http://www.bse.hu/onlinesz/10003381.html?uio=4LONG7D4I2ZY2007R019223D21M52V34WC5P4T705guest
EDX London Exchange: http://www.londonstockexchange.com/en-gb/edx/markets/rulebook.htm
Eurex -Frankfurt: http://www.eurexchange.com/rules/exchangereg_en.html
Euronext.liffe /Amsterdam/Brussels/Lisbon/London/Paris:
http://www.euronext.com/editorial/documentation_rules/wide/0,5371,1732_4561166,00.html
ICE Futures (formally the International Petroleum Exchange): https://www.theice.com/homepage.jhtml
London Metals Exchange (LME): http://www.lme.co.uk/what_regulation_onlinerulebook.asp
Italian Derivatives Market (IDEM): http://www.borsaitalia.it/documenti/regolamenti/regolamenti/regolamenti.en.htm
Spanish Financial Futures Market (MEFF): http://www.bolsasymercados.es/asp/homepage.asp?id=ing
Warsaw Stock Exchange: http://www.gpw.com.pl/gpw_e.asp?cel=e_ogieldzie&k=7&i=/regulacje/opis
Wiener Borse: http://www.indices.cc/cms/6/185/760
•
Asia
Bursa Malaysia Derivatives:
http://www.bursamalaysia.com/website/bm/rules_and_regulations/bursa_rules/bm_derivatives_clearing.html
Hong Kong Futures Exchange Limited (HKEX): http://www.hkex.com.hk/rule/dervrule/dervrule_accept.htm
Korean Futures Exchange (KOFEX): http://fm.krx.co.kr/english/index.html
Osaka Securities Exchange (OSE): http://www.ose.or.jp/e/futures/index.html
Tokyo Stock Exchange (TSE): http://www.tse.or.jp/english/index.shtml#
Tokyo Financial Exchange (TIFFE): http://www.tfx.co.jp/en/rules/
Exchange and Market Rules and Regulations
Singapore Exchange (SGX): http://www.sgx.com/
•
Australia
Sydney Futures Exchange (SFE): http://www.sfe.com.au/
•
Africa
South African Futures Exchange (SAFEX): http://www.safex.co.za/ap/
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Middle East
Dubai Mercantile Exchange (DME): http://www.dubaimerc.com/dme_ruleBook.html
Please be aware that breaching any regulatory requirements may result in disciplinary action. This may include fines,
public censor or cessation of your ability to trade on the relevant exchange or market (“Disciplinary Action”). Also,
please be aware that certain exchanges and markets (including, without limitation, Deutsche Boerse, Borsa Italia and
Eurex) restrict or prohibit “pre-arranged trades” and “crossing transactions” and breach of such restrictions or prohibitions
may result in Disciplinary Action.
This document should not be considered as a definitive listing of all exchange and regulatory rules relevant to your use of
the markets. Therefore, you should familiarize yourself with such requirements and remain abreast of changes to relevant
rules. Additional information may be available on the relevant websites.
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