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Articles of Association |
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Articles of Association [132KB]
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Articles of Association Enforcement Regulations [79KB]
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Self-regulatory Regulations |
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〔Customer Management and Internal Management by Association Member〕 |
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Regulations Concerning Solicitation for Investments and Management of Customers, etc., by Association Members [57KB]
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Regulations Concerning Change, etc. of Loan-to-Value Ratio of Securities Substitute for Margin in Margin Transactions [19KB]
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Regulations Concerning Establishing a Sale and Purchase Management System for the Prevention of Unfair Trading [28KB]
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Regulations Concerning Proper Handling of Pre-Hearing by Association Members [38KB]
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Regulations Concerning the Establishment of an Order Management System by Association Members [19KB]
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Regulations Concerning Acceptance, etc., of Deposit of Securities [58KB]
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Detailed Rules Relating to the Regulations Concerning Acceptance of Deposit, etc., of Securities [21KB]
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Regulations Concerning Appropriate Implementation of Separate Management of Customer Assets by Regular Members [17KB]
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Regulations Concerning Internal Administrators, etc., of Association Members [46KB]
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Detailed Rules Relating to Regulations Concerning Internal Administrators, etc., of Association Members [31KB]
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Regulations Concerning Application for Confirmation and Examination, etc., of Incidents [22KB]
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Regulations Concerning Handling of Documents Delivery, etc. Through Electromagnetic Method [27KB]
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Regulations Concerning Financial Instruments Intermediary Service Providers [100KB]
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Regulations Concerning Protection, etc. of Customers from Fraudulent Withdrawal Using Counterfeit or Stolen Card [24KB]
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Regulations Concerning Establishment, etc. of Business Continuity Management in case of Emergency by Regular Members [18KB]
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〔Relating to Employees and Sales Representatives of Association Members〕 |
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Regulations Concerning Employees of Association Members [106KB]
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Regulations Concerning Sale and Purchase, etc. of Specified Securities, etc. of Listed Companies, etc. by Employees of Association Members [16KB]
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Regulations Concerning Qualification and Registration, etc., of Sales Representatives of Association Members [88KB]
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Detailed Rules Relating to the Regulations Concerning Qualification and Registration, etc., of Sales Representatives of Association Members [49KB]
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Regulations Concerning Qualification Examination for Sales Representatives, etc. [72KB]
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〔Relating to Advertising〕 |
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Regulations Concerning Representation of Advertising, etc. and Offer of Premiums [49KB]
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Regulations Concerning Handling of Analyst Reports [41KB]
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〔Relating to Personal Information Protection〕 |
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Guideline for the Protection of Personal Information [111KB]
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Regulations Concerning Securement of Proper Handling of Personal Information by Association Members [13KB]
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Regulations Concerning Complaint Processing Operation Related to Handling of Personal Information [16KB]
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〔Relating to Stocks〕 |
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Regulations Concerning Over-The-Counter Securities [51KB]
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Regulations Concerning Green Sheet Issues and Phoenix Issues [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 [16KB]
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Regulations Concerning Sale and Purchase, etc. of the Listed Share Certificates, etc., Conducted Outside of a Financial Instruments Exchange Market [46KB]
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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 [20KB]
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Regulations Concerning Transactions Subject to Closing Price and Associated Proprietary Transactions [13KB]
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Regulations Concerning Handling of Cumulative Stock Investment and Mini Investment in Stocks [34KB]
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Regulations Concerning Handling of Lending Transaction for Share Certificates, etc. [56KB]
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Regulations Concerning Underwriting, etc. of Securities [83KB]
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Detailed Rules Relating to the Regulations Concerning Underwriting, etc., of Securities [54KB]
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Regulations Concerning Distribution to Customers Related to Underwriting, etc. of Public Offering, etc. of Share Certificates, etc. [25KB]
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Regulations Concerning Handling of MSCBs, etc. by Association Members [42KB]
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〔Relating to Bonds〕 |
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Regulations Concerning Publication of Over-The-Counter Trading Reference Prices, etc., of Bonds and Trading Prices [64KB]
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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 [39KB]
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Regulations Concerning Publication, etc. of Over-The-Counter Quotation of Corporate Bonds, etc. for Retail Customers [35KB]
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Regulations Concerning Solicitation, etc., of Sale and Purchase Transactions of Domestic CPs etc., and Private Placement Corporate Bonds [25KB]
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Regulations Concerning Handling of Sale and Purchase of Bonds with Options [64KB]
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Regulations Concerning Handling of Conditional Sale and Purchase of Bonds, etc [49KB]
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Regulations Concerning Handling of Transaction of Bonds, etc. with Delayed Settlement [30KB]
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Regulations Concerning Handling of Short Sale and Lending Transaction of Bonds [46KB]
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〔Relating to Foreign Products and Transactions〕 |
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Regulations Concerning Foreign Securities Transactions [211KB]
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Regulations Concerning Foreign Securities Futures Transactions, etc. [60KB]
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〔Relating to Securitized Products〕 |
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Regulations Concerning Distributions, etc. of Securitized Products [96.5KB]
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〔Relating to Code of Ethics〕 |
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Regulations Concerning Maintenance of and Compliance with Ethical Code by Association Members [23KB]
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