• Guidelines on Permitted Activities for Stockbroking Companies (pdf)
    (Tarikh dikeluarkan: 26 Oktober 2005)
  • Guidelines on Dealing in Unlisted Securities by a Universal Broker (pdf)
    (Tarikh dikeluarkan: 30 Oktober 2002)
    • Practice Note 1 – Application of the Guidelines to Cross-Selling of Unlisted Debt Securities to Eligible Individuals by Dealer’s Representatives Not Certified by PPKM (pdf)
      ( Tarikh dikeluarkan: 12 Julai 2005)
  • Guidelines on the Establishment of Electronic Access Facilities by a Universal Broker (pdf)
    (Dipinda setakat 5 November 2004)
    • Practice Note 1 (pdf)
      (Dipinda setakat 5 November 2004)
  • Guidelines for a Universal Broker (pdf)
    (Dipinda setakat 23 November 2004)
  • Guidelines on the Establishment and Location of a Branch Office by a Universal Broker and a Non-universal Broker (pdf)
    (Dipinda setakat 5 November 2004)
    • Practice Note 1 – Flexibilities Granted to Stockbroking Companies in Relation to Branch Offices and Branching Policy for the Year 2002 and Beyond (pdf)
      (Dipinda setakat 5 November 2004 )
  • Guidelines on Chinese Walls for Dealers and Futures Brokers (pdf)
    (Tarikh dikeluarkan: 11 Mei 2006)
  • Member Readiness Checklist for a Universal Broker (pdf)
    (Tarikh dikeluarkan: 02 Oktober 2000)
  • Guidelines on Electronic Contract Notes (pdf)
    (Tarikh dikeluarkan: 28 April 2005)
  • Garis Panduan Khidmat Luaran Bagi Perantara Pasaran Modal (pdf)
    (Tarikh dikeluarkan: 9 Ogos 2011)