Commonwealth Numbered Regulations

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   1.      Citation  
   2.      Interpretation  
   3.      Compliance with forms  
   4.      Directions and instructions to be followed  
   5.      General requirements for documents  
   6.      Prescribed percentages and offices under section 5 of the Act  
   7.      Evidence of authority under sub-section 8 (2) of the Act  
   8.      Notice under sub-section 12 (3D) of the Act  
   9.      Notice under sub-section 19 (1) of the Act  
   10.     Allowances and expenses payable to person being examined  
   11.     Record of examination  
   12.     Application for approval as a stock exchange  
   13.     Application by a natural person for dealers or investment advisers licence  
   14.     Application by a corporation for dealers or investment advisers licence  
   15.     Application for dealer's representatives or investment representatives licence  
   16.     Applications for licence to be enclosed in sealed envelope  
   17.     Application to Commission to vary a representatives licence  
   18.     Conditions to which licence is subject  
   19.     Return of security in certain circumstances  
   20.     Particulars to be entered in Register of Licence Holders  
   21.     Notification of change in registered particulars  
   22.     Annual statement by a dealer or investment adviser who is a natural person  
   23.     Annual statement by a dealer or investment adviser that is a corporation  
   24.     Annual statement by a representative  
   25.     Time for lodging annual statement  
   26.     Exemptions from licensing, &c.  
   27.     Sale of forfeited shares exempt  
   28.     Exempt dealer  
   29.     Exemption of certain securities  
   30.     Transactions in prescribed circumstances  
   31.     Exempt transaction  
   32.     Form of document to be issued to client  
   33.     Exemption of sale of exchange traded options  
   34.     Exemption of short sale covered by exchange traded options  
   35.     Dealer's trust accounts-exempt  
   36.     Notice of resignation or removal of auditor  
   37.     Dealer, who is a natural person, to lodge accounts, &c.  
   38.     Dealer, that is a corporation, to lodge accounts, &c.  
   39.     Auditor's report  
   40.     Register of interests in securities  
   41.     Entry of particulars in Register  
   42.     Notice under sub-section 90 (2) or (3) of the Act  
   43.     Notice of appeal  
   44.     Notice calling for claims against fund  
   45.     Notice of disallowance of claim  
   46.     Prohibition of dealings in securities by insiders  
   47.     Dealings by employees of holders of licences  
   48.     Period for which documents are to be retained  
           SCHEDULE 1
           SCHEDULE 2

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