menu

JSDA Rules / Guidelines

JSDA Rules

The following are tentative translations of JSDA's rules for non-Japanese readers' reference. Please be aware that the Japanese originals are the authoritative versions. It should be also noted that there may have been subsequent updates to and changes in the rules, which might not be reflected in the translations.

Articles of Association

  1. Articles of Association
  2. Rules Concerning Enforcement of the Articles of Association

Self-regulatory Rules

Customer Management and Internal Management by Association Member

  1. Rules Concerning Solicitation for Investments and Management of Customers, Etc. by Association Members
  2. Rules Concerning Establishment of Confidential Corporate Information Management System by Association Members
  3. Rules Concerning Change, Etc. of Assessment Rates for Substitute Securities Related to Margin Transactions
  4. Rules Concerning Establishing a Trade Compliance Screening System for the Prevention of Unfair Trading
  5. Rules Concerning Proper Handling of Pre-Hearing by Association Members
  6. Rules Concerning Establishment of Order Management System by Association Members
  7. Rules Concerning Handling of Block Trade for Intermediation Purpose
  8. Rules Concerning Acceptance, Etc. of Deposit of Securities
    1. Detailed Rules Related to the Rules Concerning Acceptance of Deposit, Etc. of Securities
  9. Rules Concerning Appropriate Implementation of Separate Management of Customer Assets
  10. Rules Concerning Internal Administrators, Etc. of Association Members
    1. Detailed Rules Related to the Rules Concerning Internal Administrators, Etc. of Association Members
  11. Rules Concerning Application for Confirmation, Examination, Confirmation, Etc. of Incidents
  12. Rules Concerning Handling of Documents Delivery, Etc. Through Electromagnetic Method
  13. Rules Concerning Financial Instruments Intermediary Service Providers
  14. Rules Concerning Protection, Etc. of Customers From Fraudulent Withdrawal Using Counterfeit or Stolen Card
  15. Rules Concerning Planning, Etc. of Business Continuity Management in Case of Emergency
  16. Rules Concerning Elimination of Relationships with Antisocial Forces

Relating to Employees and Sales Representatives of Association Members

  1. Rules Concerning Employees of Association Members
  2. Detailed Rules Related to the Procedures of Handling Perpetrator of Inappropriate Acts Prescribed in Chapter IV of the Rules Concerning Employees of Association Members
  3. Rules Concerning Sale and Purchase, Etc. of Specified Securities, Etc. of Listed Companies, Etc. by Employees of Association Members
  4. Rules Concerning Qualification and Registration, Etc. of Sales Representatives of Association Members
    1. Detailed Rules Relating to the Rules Concerning Qualification and Registration, Etc. of Sales Representatives of Association Members
  5. Rules Concerning Qualification Examination for Sales Representatives, Etc.

Relating to Advertising

  1. Rules Concerning Representation of Advertising, Etc. and Offer of Premiums
  2. Rules Concerning Handling of Analyst Reports

Guidelines concerning Association Member Analysts’ Interviews, etc. with Issuers and Communication of Information

Relating to Personal Information Protection

  1. Guideline for Protection of Personal Information
  2. Rules Concerning Securement of Proper Handling of Personal Information by Association Members
  3. Rules Concerning Complaint Processing Operation Related to Handling of Personal Information

Relating to Stocks

  1. Rules Concerning Over-The-Counter Securities
  2. Rules Concerning Equity-Based Crowdfunding Business
  3. Rules Concerning Shareholders Community
  4. Rules Concerning Green Sheet Issues and Phoenix Issues
    1. Detailed Rules Concerning Report to the Association on Company Information, Etc. by Companies, Etc. Issuing Green Sheet Issues and Phoenix Issues
  5. Rules Concerning Sale and Purchase, Etc. of the Listed Share Certificates, Etc. Conducted Outside of a Financial Instruments Exchange Market
    1. Detailed Rules Relating to the Rules Concerning Sale and Purchase, Etc. of the Listed Share Certificates, Etc. Conducted Outside of a Financial Instruments Exchange Market
  6. Rules Concerning Transaction Subject to Closing Price and Associated Proprietary Transactions
  7. Rules Concerning Handling of Cumulative Stock Investment and Mini Investment in Stocks
  8. Rules Concerning Handling for Borrowing and Lending Transactions of Share Certificates, Etc.
  9. Rules Concerning Underwriting, Etc. of Securities
    1. Detailed Rules Relating to the Rules Concerning Underwriting, Etc. of Securities
  10. Rules Concerning Distribution to Customers Related to Underwriting, Etc. of Public Offering, Etc. of Share Certificates, Etc.
  11. Rules Concerning Handling of Allotment of New Shares to Third Party, Etc.

Relating to Bonds

  1. Rules Concerning Publication of Over-The-Counter Trading Reference Prices, Etc. and Trading Prices of Bonds
    1. Detailed Rules Relating to the Rules Concerning Publication of Over-The-Counter Trading Reference Prices, Etc. and Trading Prices of Bonds
  2. Rules Concerning Publication, Etc. of Over-The-Counter Quotation of Corporate Bonds, Etc. for Retail Customers
  3. Rules Concerning Solicitation, Etc. of Sale and Purchase, Etc. of Domestic CPs Etc. and Private Placement Corporate Bonds
  4. Rules Concerning Handling of Sale and Purchase of Bonds with Options
  5. Rules Concerning Handling of Conditional Sale and Purchase of Bonds, Etc.
  6. Rules Concerning Handling of Sale and Purchase of Bonds, Etc. with Delayed Settlement
  7. Rules Concerning Handling of Short Selling, and Borrowing and Lending Transactions of Bonds

Relating to Foreign Products and Transactions

  1. Rules Concerning Foreign Securities Transactions
  2. Rules Concerning Foreign Securities Futures Transactions, Etc.

Relating to Securitized Products

  1. Rules Concerning Distributions, Etc. of Securitized Products
    1. Standardized Information Reporting Package (SIRP) PDF/Excel

Relating to Derivatives

  1. Rules Concerning CFD Transactions
  2. Rules Concerning Binary Option Transactions

Relating to Code of Ethics

  1. Rules Concerning Maintenance of and Compliance Withethical Code by Association Members

To view a PDF file, Adobe Reader (free) is required. Adobe Reader may be downloaded from the Adobe Reader Download page.

go to top