USX is a prescribed exempt financial product market.
Trading on the Unlisted Securities Exchange (USX) can be conducted through any of the brokers listed below.
Contact your preferred broker to discuss how to become a client of theirs.
Broker Since 15/12/2003
Brokers must be licensed in New Zealand as Registered Financial Service Providers and Authorized Financial Advisors (AFA’s). As an approved broker you set your own fees to clients for trades in USX stocks.
Contact Us
To apply to become an approved USX broker, e-mail your completed Broker Application Agreement document to [email protected]
Once we have completed our due diligence and internal approval process we will provide you with a Broker Agreement to execute.
Any Issuer that is planning to raise capital and applying for quotation prior to such capital raise may be required to provide an application deposit. This deposit will be applied against the quotation fee if the Issuer is accepted for quotation and lists on USX. In the event that the application is declined or the Issuer withdraws its application prior to acceptance the deposit will be refunded. If the Issuer is accepted for quotation, but does not list on USX the deposit is non-refundable.
Please read this important information before proceeding.
WARNING: Unlisted is not a licensed financial product market.
The Unlisted Securities Exchange (USX) is a Financial Product Market operating under an exemption from subpart 7 of Part 5 of the Financial Markets Conduct Act 2013 (“the Act”) and certain conditions specified in the Exemption Notice. Investors trading in securities quoted on Unlisted trade at their own risk and do not have the protections provided by Part 5 of the Act, in relation to: insider trading, market manipulation, continuous disclosure, substantial holding disclosure, relevant interest disclosures, and the monitoring of market obligations by the FMA. USX provides a facility for trading previously allotted securities. USX has its own Market Rules and monitors compliance by Issuers with those Rules.
Before an investor may trade (via a broker) in securities quoted on USX, the investor’s broker will require the investor to sign the USX Information and Disclaimer form, which provides a fuller explanation about USX’s status and what this means for investors.
Click the tick box below to acknowledge you have read and understand this important information. You will then gain access to the Unlisted website.
I acknowledge that I have read and understood this notice and that Unlisted is not a licensed financial product market.
