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It is registered

Ministry of Justice 

Russian Federation

On November 14, 2007 No. 10489

ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS OF THE RUSSIAN FEDERATION

of October 9, 2007 No. 07-102/pz-n

About modification of some regulatory legal acts of the Federal Service for Financial Markets

(as amended on 18-01-2016)

According to Items 3, the 4 and 13 article 42 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 1998, No. 48, Art. 5857; 1999, No. 28, Art. 3472; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 11, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 22, Art. 2563; No. 18, the Art. 2117) and the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of June 30, 2004 No. 317 (The Russian Federation Code, 2004, No. 27, Art. 2780; 2005, No. 33, Art. 3429; 2006, No. 13, Art. 1400, No. 52, Art. 5587; 2007, to No. 12, of the Art. 1417), I order:

1. Ceased to be valid

2. Ceased to be valid

2.1. Ceased to be valid

2.2. Ceased to be valid

3. Recognize invalid:

the order of the Federal Service for Financial Markets of June 22, 2006 No. 06-68/pz-n "About approval of the Regulations on activities for the organization of trade in the security market" (registration No. 8366) is registered in the Ministry of Justice of the Russian Federation on October 10, 2006;

the order of the Federal Service for Financial Markets of November 2, 2006 No. 06-126/pz-n "About modification of the Regulations on activities for the organization of trade in the security market approved by the order of the Federal Service for Financial Markets of June 22, 2006 No. 06-68/pz-n" (registration No. 8550) is registered in the Ministry of Justice of the Russian Federation on December 1, 2006;

the order of the Federal Service for Financial Markets of March 29, 2007 No. 07-31/pz-n "About modification of the Regulations on activities for the organization of trade in the security market approved by the order of the Federal Service for Financial Markets of June 22, 2006 No. 06-68/pz-n" (registration No. 9371) is registered in the Ministry of Justice of the Russian Federation on May 2, 2007;

the order of the Federal Service for Financial Markets of June 14, 2007 No. 07-68/pz-n "About modification of the Regulations on activities for the organization of trade in the security market approved by the order of the Federal Service for Financial Markets of June 22, 2006 No. 06-68/pz-n" (registration No. 9763) is registered in the Ministry of Justice of the Russian Federation on July 5, 2007.

4. Bring in the Rules of implementation of broker activities when making in the security market of transactions with use of the money and/or securities transferred by the broker to loan to the client (marginal transactions) approved by the order of FFMS of Russia of March 7, 2006 No. 06-24/pz-n (it is registered in the Ministry of Justice of the Russian Federation on April 17, 2006, registration No. 7706) the following changes:

4.1. State Item 1 in the following edition:

"These rules establish single requirements to implementation of broker activities in case of transactions of purchase and sale of securities, calculation for which is made with use of the money or securities provided by the broker in loan to the client (further - marginal transactions), and unsecured transactions.

For the purpose of these rules the unsecured transaction is understood as the transaction of purchase and sale of securities (except for the forward transactions concluded on the stock exchange) meeting at the same time following conditions:

made at the biddings of the organizer of trade (including when according to rules of tendering the conclusion of transactions based on requests is performed with the clearing organization) on the terms of clearing with complete providing and/or on the terms of obligation fulfillment according to the transaction in day of its conclusion;

at the time of the conclusion of the transaction of the cash amount considered on the account of internal accounting of settlings with the client on money, or the number of securities considered on the account of internal accounting of settlings with the client on securities, futures contracts and options taking into account rights to claim and obligations on payment of money and delivery of securities according to earlier concluded bargains according to which obligation fulfillment shall be complete no later than the termination of the present working day and/or made at the biddings of the organizer of trade (including when according to rules of tendering the conclusion of transactions based on requests is performed with the clearing organization) on the terms of clearing with complete providing less the cash means / securities specified in Item 11.1 of these rules it is not enough for obligation fulfillment according to such transaction.";

4.2. In paragraph one of item 4 of the word "unsecured transactions," to exclude.

4.3. To state the paragraph of the seventh of Item 9 in the following edition:

"The size of providing is calculated taking into account all prisoners and the transactions which are not performed until its calculation on whom obligation fulfillment shall be complete no later than the termination of the present day or made at the biddings of the organizer of trade (including when according to rules of tendering the conclusion of transactions based on requests is performed with the clearing organization) on the terms of clearing with complete providing";

4.4. To state the paragraph of the eighth of Item 11 in the following edition:

"Level of margin is calculated taking into account all prisoners and the transactions which are not performed until its calculation on whom obligation fulfillment shall be complete no later than the termination of the present day or made at the biddings of the organizer of trade (including when according to rules of tendering the conclusion of transactions based on requests is performed with the clearing organization) on the terms of clearing with complete providing";

4.5. In Item 12:

the fourth to add the paragraph with words "(except as specified when such variation of the price of security occurred after the end of the substantive trading session of the present trading day)";

the fifth to state the paragraph in the following edition:

"at the time of completion of the substantive trading session of the present trading day on all organizers of trade through whom transactions for the benefit of the client are made;";

4.6. In Item 16 of the word of "the previous trading session" shall be replaced with words "the previous trading day";

4.7. Add with Item 18.1 of the following content:

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