Companies Regulation, 2012
Transfer Pricing Regulations, 2012
National Insurance Commission (Anti Money Laundering and Countering the Finance of Terrorism) Regulations, 2013.
Regulation on Annuity
Amendments to the Listings Rules
Listings Requirements (The Green Book)
Rules and Regulations Governing Dealing Members (Amendments and Additions Part VII)
Rules and Regulations Governing Dealing Members (Amendments and Additions, Part I)
Rules and Regulations Governing Dealing Members (Amendments and Additions, Part II)
The Rule amends the existing Rule on annual subscription fee of each dealing member, supervision and internal control, use of Trading System Access Codes, Confirmation of Orders and Mandates, Notification of Trade in Securities Amounting to 5% of an Issuer’s Total Listed Securities or More, Prohibition of Market Manipulation and… Read more
Rules and Regulations Governing Dealing Members (Amendments and Additions, Part III)
The Rule amends the existing rule on net Liquid Capital Requirement; Article 15 on Rules and Regulations Governing Dealing Members; Monthly Financial Statements of Accounts to Clients; Proprietary Interest of The Exchange over Dealing Membership Licenses; Anti Money Laundering; and a new Article on Clients’ Complaints Management etc. Read more
Rules and Regulations Governing Dealing Members (Amendments and Additions, Part IV)
Rules and Regulations Governing Dealing Members (Amendments and Additions, Part V)
Rules and Regulations Governing Dealing Members (Amendments and Additions, Part VI)
Rules and Regulations Governing Dealing Members
Rules for Listing of Nigerian Depositary Receipts
This Rule sets out the Exchange’s requirements relating to Depositary Receipts (DRs). The aim of this Rule is to set out the general eligibility, disclosure and continuing obligations requirements that apply to DRs and then set out in subsequent parts specific provisions in relation to sponsored and unsponsored DR issues. Read more
Rules for Listing on the Premium Board
Rules for Registration as a Dealing Member of The Nigerian Stock Exchange
Rules for the Listing of Exchange Traded Funds (ETFs)
Rules Governing Compliance Officers of Dealing Member Firms
Rules Governing the Use of the Issuers’ Portal
Rules Governing Transactions with Related Parties or Interested Persons
Rules Relating to Board Meetings and General Meetings of Issuers
Regulation on Investment of Pension Funds, 2010
Regulation on Administration of Retirement and Terminal Benefits
REGULATION ON FEES STRUCTURE
Regulation on Investment of Pension Assets, 2012
Regulations on Valuation of Pension Funds, 2006
Regulations for Auditing Pension Funds
The present practice whereby pension funds are audited independently at different periods with the PFAs and PFCs, has led to incomplete and incomprehensive audit reports of the funds. This practice impinges on balanced regulatory judgment and is of concern to the Commission.
The foregoing have made it imperative for the Commission… Read more
Regulations on Annuity
Regulations on Compliance Officers
Revised Regulation for Transfer of Retirement Savings Accounts 2015
Rules on Infrastructure Funds and Others 2014
Rules on National Investor Protection Fund
Rules on Securitization
Rules on Trading in Unlisted Securities
SEC Consolidated Rule and Regulations
Amendment to SEC Rule April 2015
In furtherance of the Commission’s mandate to regulate and develop the Nigerian capital market and in particular, and its duty to ensure the protection of investors in the Capital Market, it has issued out an amendment to the SEC Rules of April 2015. Read more