The Nigerian Exchange (NGX), through NGX Regulation Limited, maintains a body of rules to regulate admission and supervision of its Trading License Holders to enforce compliance with financial and operational requirements and the continuous monitoring and surveillance of their trade operations.

All Trading License Holders are bound by NGX’s Rules and Regulations Governing Trading License Holders which provide the framework for orderly exchange trading. Trading License Holders and their Authorized Brokers trading on the floor of NGX are obliged to fulfill certain obligations that are laid down in the Rules and Regulations Governing Trading License Holders and other rules and regulation governing the capital market. Appropriate disciplinary actions would be taken against any Trading License Holder that violates the rules.