Notice reference number: 17/14 Notice date: 22/05/2014

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1 Notice Notice reference number: 17/14 Notice date: 22/05/2014 What s this about? Effective date: 30/06/2014 ASX Trade ASX 24 Trading Clearing Settlement Operations Technology Market Data Rules Compliance Risk Other 0B Update to Short Sell (SH) trade condition code description to refer to a partial or whole short sell trade. Refer to page 3 for additional information. What do I need to do and by when? Signal B subscribers should update their description of Short Sell (SH) trade condition code to reflect the change. Need more information? Issued by Edwina Glinoga Trading Services Market Data 4BContact Details Customer Technical Support CTS@asx.com.au , (from outside Australia) 5Disclaimer Page 1 of 5

2 Upcoming Events Date Event Bulletin No. 30 June 2014 Update to Short Sell Trade Condition Code Description 17/14 Q Proposed changes to ISIN structure. 43/13, 01/14 Introduction of new near real time and intra-day Reference Data products due for launch April 2014 & availability of test facility pre product launch. 55/13, 06/14 Removal of SP & SQ messages from ReferencePoint Master List E01 and E02 files. Daily availability of ReferencePoint Master List E20 file SP & SQ messages security details full download. Migration of the following ASX Market Information products to a new internal ASX technology platform. ReferencePoint Master List (both CSV & Fixed Format files) - E01, E02, E20 and E09 ReferencePoint Corporate Action (both CSV & Fixed Format files) - E34 Daily Schedule, Equity Capital Raising, Daily Diary, Weekly Summary (including Location of Share Registry) Dilution Factors Introduction of new trade condition code OC (subject to regulatory clearance) to allow for off-market crossings of the equity leg in the contingent Over the Counter (OTC) deal. Introduction of six (6) S&P/ASX real time fixed income indices. Introduction of additional fifteen (15) S&P/ASX real time fixed income indices. 02/12, 06/12, 08/12, 22/12, 35/12, 37/12, 04/13, 46/13, 48/13, 02/14, 05/14, 06/14 02/14, 05/14, 06/14 02/14, 05/14, 06/14 08/12 29/13 42/13 Page 2 of 5

3 Update to Short Sell Trade Condition Code Description On 12 March 2014, ASX issued ASX Notice titled ASX Trade Q Release announcing enhancements to ASX CENTRE POINT, ASX OUCH, ASX ITCH & DERIVATIVES CROSSINGS and support for real time reporting of short sell quantity. One of these changes is to support the reporting of partial short sales. As a result of this change, the Short Sell (SH) trade condition code description will be updated to indicate a whole or partial short sell trade. Information on the proposed change to report partial short sell is available on page 3 of the document ASX Trade Q Release Business Description of Enhancements. SH condition code value is disseminated in the Condition Codes data field in the TA Equity Trade (Long Form) and TG Equity Trade Cancellation messages on the Signal B service. Page 3 of 5

4 Appendix 1 Condition Code Table Condition Code Description TRANSACTION TYPE BB BK BP CM CP CT CX DR EC EP EQ GL LN LR QB SM ST TM VM WH Bulletin Board Trade (now used instead of CT combination Trade. However, CT is still used in trade report situations LTCT, XTCT & SPCT. Buy Back Booking Purposes Only Tailor Made Combo 1 Side Centre Point Preferenced Matched Trade Combination Trade Centre Point Trade Directed Reporting Exercise of Call Exercise of Put Equity Combination Non-Screen Traded Government Instrument Loan Loan Return Quote Display Board Trade Self-Managed Super Fund (SMSF) Transfer Stabilisation Trade Tailor Made Combination Volume Match Trade Non-Screen Traded Wholesale Instrument TIME OR LOCATION LT Late Trade Report Derivative Market Products Cash Market Products post 5pm L1 L2 L3 L4 L5 OS Late Trade Report Book Squaring Late Trade Report Hedging Trades Late Trade Report Order Completion Late Trade Report Error Rectification Late Trade Report Put Through Overseas DELIVERY FD OR Forward Delivery Overseas Resident Page 4 of 5

5 Condition Code IB ET SA NX OC P1 Description CROSSING/SPECIAL Index Replicating Special Crossing Exchange Traded Funds Special Special Crossing Sale to complete client order NBBO Crossings OTC Contingent Equity Trade (effective date to be advised) Put-Through Special Crossing T2 P2 Put-Through Special Crossing T3 <T2 SO S1 S2 Other Special Sale (i.e. Special Sales other than 'SP', 'SX' and 'SA') Special Crossing T1 Special Crossing T2 < T1 S3 Special Crossing T3 <T2 SP SX XT Block Special Trade Report Special Sale Portfolio Crossed Trade SHORT SALE SH Short (a partial or whole short sell trade) Page 5 of 5