Commonwealth Numbered Regulations

1986 No. 150 FUTURES INDUSTRY REGULATIONS - REG 35

35. (1) In sub-regulation (3), "broker" has the same meaning as in sub-section
83 (1) of the Act.
(2) In sub-regulations (4) and (5), "broker" has the same meaning as in
sub-section 84 (1) of the Act.

(3) Where in repect of a transaction, being the acquisition or disposal of a
futures contract, that is entered into by a broker on behalf of a member of
the clearing house of a futures exchange, the broker gives to that member in
respect of that transaction the information that the broker is required, under
the business rules of that exchange, to give to that member in respect of that
transaction, the provisions of sub-section 83 (2) of the Act do not have
effect in relation to that transaction.

(4) Where in respect of a transaction, being the acquisition or disposal of a
futures contract, that is entered into by a broker on behalf of a member of
the clearing house of a futures exchange, the broker has held money or
property on account of that member and gives to that member in respect of that
transaction the information that the broker is required, under the business
rules of that exchange, to give to that member in respect of that transaction,
the provisions of paragraphs 84 (2) (g) and (h) of the Act do not have effect
in relation to that transaction.

(5) Where in respect of a transaction, being the acquisition of a futures
contract before or during a particular month, that is entered into by a broker
on behalf of a member of the clearing house of a futures exchange, the futures
contract has not been disposed of as at the end of that month and after the
end of that month the broker gives to that member in respect of that
transaction the information that the broker is required, under the business
rules of that future exchange, to give to that member in respect of that
transaction, the provisions of sub-section 84 (2) of the Act do not have
effect in relation to that transaction.