Resolution modifying the general provisions applicable to securities brokerages

DOF: 18/12/2017

RESOLUTION modifying the general provisions applicable to securities brokerages

A seal with the National Coat of Arms appears at the margin, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on the provisions of articles 171, first paragraph, and 224, first paragraph of the Securities Market Law, as well as articles 4, fractions II, XXXVI, and XXXVIII, and 16, fraction I of the National Banking and Securities Commission Law,

CONSIDERING

That in order to provide equal access to all participants in the securities market and to promote market transparency, the obligation for securities brokerages to have contracts with stock exchanges is established, it has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO SECURITIES BROKERAGES

FIRST.- Article 2, fraction III, second and third paragraphs are ADDED to the "General Provisions Applicable to Securities Brokerages," published in the Official Gazette of the Federation on September 6, 2004, and modified by Resolutions published in said dissemination medium on March 9, 2005; March 29, June 26, December 6, and December 22, 2006; January 17, 2007; August 11, September 19, and October 23, 2008; April 30, and December 30, 2009; February 4, July 29, and November 26, 2010; August 23, 2011; February 16, March 23, and December 17, 2012; January 31, July 2, and July 11, 2013; January 30, June 5, June 30, and December 19, 2014; January 6, 8, and 9, March 13, September 18, and December 31, 2015; May 12, September 28, and December 27, 2016; June 23, July 24, September 5, October 3, and October 18, 2017, to read as follows:

"Article 2.-

...

I. and II.

...

III.

...

For the purposes of this fraction, securities brokerages must execute contracts with stock exchanges that provide for their respective rights and obligations, including the stipulation that their computer systems allow for efficient communication and connection with the stock exchanges.

IV. to X.

..."

TRANSITORY PROVISIONS

FIRST. - This Resolution will enter into force the day following its publication in the Official Gazette of the Federation.

SECOND.- Securities brokerages must have the contracts referred to in Article 2, fraction III, second paragraph, as added by this instrument, in place by no later than March 23, 2018.

Respectfully,

Mexico City, December 8, 2017. - The President of the National Banking and Securities Commission, Jaime González Aguadé.- Signature.

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