European Commission 10 August 2006, Commission Regulation (EC) No 1287/2006 of 10 August 2006 implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the purposes of that Directive (Text with EEA relevance)

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European Union · · · Cited by 673 · 10-08-2006

CHAPTER I. GENERAL
Article 1. Subject-matter and scope
Article 2. Definitions
Article 3. Transactions related to an individual share in a portfolio trade and volume weighted average price transactions
Article 4. References to trading day
Article 5. References to transaction
Article 6. First admission to trading of a share on a regulated market
CHAPTER II. RECORD-KEEPING: CLIENT ORDERS AND TRANSACTIONS
Article 7. (Article 13(6) of Directive 2004/39/EC)
Article 8. (Article 13(6) of Directive 2004/39/EC)
CHAPTER III. TRANSACTION REPORTING
Article 9. (Second subparagraph of Article 25(3) of Directive 2004/39/EC)
Article 10. (Second subparagraph of Article 25(3) of Directive 2004/39/EC)
Article 11. (Article 25(3) of Directive 2004/39/EC)
Article 12. (Article 25(5) of Directive 2004/39/EC)
Article 13. (Article 25(3) and (5) of Directive 2004/39/EC)
Article 14. (Article 25(3) and (5) of Directive 2004/39/EC)
Article 15. (Article 58(1) of Directive 2004/39/EC)
Article 16. (Article 56(2) of Directive 2004/39/EC)
CHAPTER IV. MARKET TRANSPARENCY
SECTION 1. Pre-trade transparency for regulated markets and MTFs
Article 17. (Articles 29 and 44 of Directive 2004/39/EC)
Article 18. (Articles 29(2) and 44(2) of Directive 2004/39/EC)
Article 19. (Articles 29(2) and 44(2) of Directive 2004/39/EC)
Article 20. (Articles 29(2) and 44(2), and fifth subparagraph of Article 27(1) of Directive 2004/39/EC)
SECTION 2. Pre-trade transparency for systematic internalisers
Article 21. (Article 4(1)(7) of Directive 2004/39/EC)
Article 22. (Article 27 of Directive 2004/39/EC)
Article 23. (Fourth subparagraph of Article 27(1) of Directive 2004/39/EC)
Article 24. (Article 27(1) of Directive 2004/39/EC)
Article 25. (Fifth subparagraph of Article 27(3) and Article 27(6) of Directive 2004/39/EC)
Article 26. (Fourth subparagraph Article 27(3) of Directive 2004/39/EC)
SECTION 3. Post-trade transparency for regulated markets, MTFs and investment firms
Article 27. (Articles 28, 30 and 45 of Directive 2004/39/EC)
Article 28. (Articles 28, 30 and 45 of Directive 2004/39/EC)
SECTION 4. Provisions common to pre- and post-trade transparency
Article 29. (Articles 27(3), 28(1), 29(1), 44(1) and 45(1) of Directive 2004/39/EC)
Article 30. (Articles 27, 28, 29, 30, 44 and 45 of Directive 2004/39/EC)
Article 31. (Article 22(2) of Directive 2004/39/EC)
Article 32. (Article 22(2), 27, 28, 29, 30, 44 and 45 of Directive 2004/39/EC)
Article 33. (Articles 27, 28, 29, 30, 44 and 45 of Directive 2004/39/EC)
Article 34. (Articles 27, 28, 29, 30, 44 and 45 of Directive 2004/39/EC)
CHAPTER V. ADMISSION OF FINANCIAL INSTRUMENTS TO TRADING
Article 35. (Article 40(1) of Directive 2004/39/EC)
Article 36. (Article 40(1) of Directive 2004/39/EC)
Article 37. (Article 40(1) and (2) of Directive 2004/39/EC)
CHAPTER VI. DERIVATIVE FINANCIAL INSTRUMENTS
Article 38. (Article 4(1)(2) of Directive 2004/39/EC)
Article 39. (Article 4(1)(2) of Directive 2004/39/EC)
CHAPTER VII. FINAL PROVISIONS
Article 40. Re-examinations
Article 41. Entry into force
ANNEX I. Table 1

2.9.2006

Official Journal of the European Union

L 241/1

COMMISSION REGULATION (EC) No 1287/2006

of 10 August 2006

implementing Directive 2004/39/EC of the European Parliament and of the Council as regards record-keeping obligations for investment firms, transaction reporting, market transparency, admission of financial instruments to trading, and defined terms for the

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