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Sales Representatives Manual

The Sales Representatives Manual contains the materials required for sales representatives to obtain the required knowledge to perform their duties. The manual explains the laws, regulations and various rules, as well as the product business knowledge, necessary for persons who engage in the financial instruments business.
It comprehensively explains the Japanese securities market and securities regulations.And it also serves as a reference for market participants and researchers interested in the Japanese securities market and regulations.

Sales Representatives Manual 2023 consists of four volumes (1 to 4) 

You can view the full text (English version) of each volume via the following links.
(Please note that due to large file sizes, downloading to your device may take some time.)


〔Volume 1〕PDF

Chapter 1 Basic Knowledge Concerning Securities Markets

Chapter 2 Financial Instruments and Exchange Act

Chapter 3 Laws Relating to Solicitation and Sales of Financial Instruments

Chapter 4 Basic Knowledge of Economics, Finance and Fiscal Policy

Chapter 5 Sales Operations

Outline of the Qualification Examination System for Sales Representatives

〔Volume 2〕PDF

Chapter 1 Articles of Association and Various Rules of the Association

Chapter 2 Articles of Incorporation and Various Regulations of the Exchanges

Chapter 3 Equity Business

Chapter 4 Bond Business  
 

〔Volume 3〕PDF

Chapter 1 Investment Trusts and Investment Corporations Business

Chapter 2 Incidental Businesses

Chapter 3 Stock Company Law in General

Chapter 4 Financial Statements and Company Analysis

Chapter 5 Taxation of Securities Transactions

Exercise (Class-2 Examination)


〔Volume 4〕PDF

Chapter 1 Overview of Derivatives Transactions

Chapter 2 Products of Derivatives Transactions

Chapter 3 Derivatives Transactions and Articles of Association and Various Rules of the Association

Exercise (Class-1 Examination)

*The questions for the Class-1 Sales Representative Qualification Exam will be based on the latest laws, regulations and various rules concerning the above items from volumes 1 to 4. (The questions for the Class-2 Sales Representative Qualification Exam will be based on the above items from volumes 1 to 3.)

*A physical copy of the Sales Representatives Manual (English version) is not provided.

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