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
| Articles of Association | PDF  [164KB] |
| Regulations Concerning the Enforcement of the Articles of Association | PDF [65KB] |
Self-regulatory Regulations
Customer Management and Internal Management by Association Member
| Regulations Concerning Solicitation for Investments and Management of Customers, etc., by Association Members | PDF [110KB] |
| Regulations Concerning the Establishment of a Management System of Corporate Information by Association Members | PDF [14KB] |
| Regulations Concerning Change, etc. of Loan-to-Value Ratio of Securities Substitute for Margin in Margin Transactions | PDF [54KB] |
| Regulations Concerning Establishing a Sale and Purchase Management System for the Prevention of Unfair Trading | PDF [28KB] |
| Regulations Concerning Proper Handling of Pre-Hearing by Association Members | PDF [38KB] |
| Regulations Concerning the Establishment of an Order Management System by Association Members | PDF [19KB] |
| Regulations Concerning Acceptance, etc., of Deposit of Securities | PDF [58KB] |
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Detailed Rules Relating to the Regulations Concerning Acceptance of Deposit, etc., of Securities
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PDF [21KB] |
| Regulations Concerning Appropriate Implementation of Separate Management of Customer Assets by Regular Members | PDF [17KB] |
| Regulations Concerning Internal Administrators, etc., of Association Members | PDF [107KB] |
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Detailed Rules Relating to Regulations Concerning Internal Administrators, etc., of Association Members
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PDF [42KB] |
| Regulations Concerning Application for Confirmation and Examination, etc., of Incidents | PDF [22KB] |
| Regulations Concerning Handling of Documents Delivery, etc. Through Electromagnetic Method | PDF [27KB] |
| Regulations Concerning Financial Instruments Intermediary Service Providers | PDF [100KB] |
| Regulations Concerning Protection, etc. of Customers from Fraudulent Withdrawal Using Counterfeit or Stolen Card | PDF [24KB] |
| Regulations Concerning Establishment, etc. of Business Continuity Management in case of Emergency by Regular Members | PDF [18KB] |
| Regulations Concerning Shut off of any Relationship with Antisocial Forces | PDF [18KB] |
Relating to Employees and Sales Representatives of Association Members
| Regulations Concerning Employees of Association Members | PDF [106KB] |
| Detailed Rules Relating to the Procedures of Handling Perpetrator of Inappropriate Act Prescribed in Chapter IV of the Regulations Concerning Employees of Association Members | PDF [42KB] |
| Regulations Concerning Sale and Purchase, etc. of Specified Securities, etc. of Listed Companies, etc. by Employees of Association Members | PDF [16KB] |
| Regulations Concerning Qualification and Registration, etc., of Sales Representatives of Association Members | PDF [88KB] |
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Detailed Rules Relating to the Regulations Concerning Qualification and Registration, etc., of Sales Representatives of Association Members
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PDF [49KB] |
| Regulations Concerning Qualification Examination for Sales Representatives, etc. | PDF [43KB] |
Relating to Advertising
| Regulations Concerning Representation of Advertising, etc. and Offer of Premiums | PDF [49KB] |
| Regulations Concerning Handling ｏｆ Analyst Reports | PDF [41KB] |
Relating to Personal Information Protection
| Guideline for the Protection of Personal Information | PDF [111KB] |
| Regulations Concerning Securement of Proper Handling of Personal Information by Association Members | PDF [13KB] |
| Regulations Concerning Complaint Processing Operation Related to Handling of Personal Information | PDF [16KB] |
Relating to Stocks
| Regulations Concerning Over-The-Counter Securities | PDF [51KB] |
| Regulations Concerning Green Sheet Issues and Phoenix Issues | PDF [128KB] |
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Detailed Regulations Concerning Report to The Association on Company Information, etc. by Companies, etc. Issuing Green Sheet Issues and Phoenix Issues
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PDF [16KB] |
| Regulations Concerning Sale and Purchase, etc. of the Listed Share Certificates, etc., Conducted Outside of a Financial Instruments Exchange Market | PDF [53KB] |
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Detailed Rules Relating to the Regulations Concerning Sale and Purchase, etc. of the Listed Share Certificates, etc., Conducted Outside of a Financial Instruments Exchange Market
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PDF [75KB] |
| Regulations Concerning Transactions Subject to Closing Price and Associated Proprietary Transactions | PDF [13KB] |
| Regulations Concerning Handling of Cumulative Stock Investment and Mini Investment in Stocks | PDF [34KB] |
| Regulations Concerning Handling of Lending Transaction for Share Certificates, etc.; | PDF [56KB] |
| Regulations Concerning Underwriting, etc. of Securities | PDF [83KB] |
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Detailed Rules Relating to the Regulations Concerning Underwriting, etc., of Securities
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PDF [54KB] |
| Regulations Concerning Distribution to Customers Related to Underwriting, etc. of Public Offering, etc. of Share Certificates, etc. | PDF [25KB] |
| Regulations Concerning Handling of Allocation of New Shares to a Third Party, etc. | PDF [60KB] |
Relating to Bonds
| Regulations Concerning Publication of Over-The-Counter Trading Reference Prices, etc., of Bonds and Trading Prices | PDF [77KB] |
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Detailed Rules Relating to The Regulations Concerning Publication of Over-The-Counter Trading Reference Prices, etc., of Bonds and Trading Prices
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PDF [39KB] |
| Regulations Concerning Publication, etc. of Over-The-Counter Quotation of Corporate Bonds, etc. for Retail Customers | PDF [35KB] |
| Regulations Concerning Solicitation, etc., of Sale and Purchase Transactions of Domestic CPs etc., and Private Placement Corporate Bonds | PDF [47KB] |
| Regulations Concerning Handling of Sale and Purchase of Bonds with Options | PDF [64KB] |
| Regulations Concerning Handling of Conditional Sale and Purchase of Bonds, etc | PDF [86KB] |
| Regulations Concerning Handling of Transaction of Bonds, etc. with Delayed Settlement | PDF [44KB] |
| Regulations Concerning Handling of Short Sale and Lending Transaction of Bonds | PDF [83KB] |
Relating to Foreign Products and Transactions
| Regulations Concerning Foreign Securities Transactions | PDF [199KB] |
| Regulations Concerning Exceptional Rules of Regulations Concerning Foreign Securities Transactions Regarding Foreign Securities Solicited for Small Number of Investors | PDF [24KB] |
| Regulations Concerning Foreign Securities Futures Transactions, etc. | PDF [71KB] |
Relating to Securitized Products
| Regulations Concerning Distributions, etc. of Securitized Products | PDF [139KB] |
Relating to Derivatives
| Regulations Concerning CFD Transactions | PDF [52KB] |
Relating to Code of Ethics
| Regulations Concerning Maintenance of and Compliance with Ethical Code by Association Members | PDF [23KB] |
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