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
Self-regulatory Rules
Customer Management and Internal Management by Association Member
- Rules Concerning Solicitation for Investments and Management of Customers, Etc. by Association Members
- Rules Concerning Establishment of Confidential Corporate Information Management System by Association Members
- Rules Concerning Change, Etc. of Assessment Rates for Substitute Securities Related to Margin Transactions
- Rules Concerning Establishing a Trade Compliance Screening System for the Prevention of Unfair Trading
- Rules Concerning Proper Handling of Pre-Hearing by Association Members
- Rules Concerning Establishment of Order Management System by Association Members
- Rules Concerning Handling of Block Trade for Intermediation Purpose
- Rules Concerning Acceptance, Etc. of Deposit of Securities
- Rules Concerning Appropriate Implementation, Etc. of Separate Management of Customer Assets
- Rules Concerning Internal Administrators, Etc. of Association Members
- Rules Concerning Application for Confirmation, Examination, Confirmation, Etc. of Incidents
- Rules Concerning Handling of Documents Delivery, Etc. Through Electromagnetic Method
- Rules Concerning Financial Instruments Intermediary Service Providers
- Rules Concerning the Sale of Securities through Financial Service Intermediaries
- Rules Concerning Protection, Etc. of Customers From Fraudulent Withdrawal Using Counterfeit or Stolen Card
- Rules Concerning Planning, Etc. of Business Continuity Management in Case of Emergency
- Rules Concerning Elimination of Relationships with Antisocial Forces
- Rules Concerning the Publication of Explanatory Documents on Status of Business and Property
- Rules Concerning the Application of Self-Regulatory Rules for Commodity-Related Market Transactions of Derivatives, Etc.
Relating to Employees and Sales Representatives of Association Members
- Rules Concerning Employees of Association Members
- Rules Concerning Sale and Purchase, Etc. of Specified Securities, Etc. of Listed Companies, Etc. by Employees of Association Members
- Rules Concerning Qualification and Registration, Etc. of Sales Representatives of Association Members
- Rules Concerning Qualification Examination for Sales Representatives, Etc.
- Rules Concerning Procedures for Disciplinary Action on Sales Representative, Etc. of Association Members
- Rules Concerning Filing of Complaints on Disciplinary Action under Self-Regulatory Rules Imposed on Employee, Etc. of Association Member
Relating to Advertising
- Rules Concerning Representation of Advertising, Etc. and Offer of Premiums
- Rules Concerning Handling of Analyst Reports
- Guidelines concerning Association Member Analysts’ Interviews, etc. with Issuers and Communication of Information
Relating to Personal Information Protection
- Guideline for Protection of Personal Information
- Rules Concerning Securement of Proper Handling of Personal Information by Association Members
- Rules Concerning Complaint Processing Operation Related to Handling of Personal Information
Relating to Stocks
- Rules Concerning Over-The-Counter Securities
- Rules Concerning Solicitation Of Professional Investors For Investment In Over-The-Counter Securities, ETC.
- Rules Concerning Equity-Based Crowdfunding Business
- Rules Concerning Shareholders Community
- Rules Concerning Phoenix Issues
- Rules Concerning Sale and Purchase, Etc. of the Listed Share Certificates, Etc. Conducted Outside of a Financial Instruments Exchange Market
- Rules Concerning Transaction Subject to Closing Price and Associated Proprietary Transactions
- Rules Concerning Handling of Cumulative Stock Investment and Mini Investment in Stocks
- Rules Concerning Handling for Borrowing and Lending Transactions of Share Certificates, Etc.
- Rules Concerning Underwriting, Etc. of Securities
- Rules Concerning Distribution, Etc. to Customers Related to Underwriting, Etc. of Public Offering, Etc. of Share Certificates, Etc.
- Rules Concerning Handling of Allotment of New Shares to Third Party, Etc.
Relating to Bonds
- Rules Concerning Transactions, ETC., of Unlisted Securities Over Proprietary Trading Systems (PTS)
- Rules Concerning Provision of Demand Information and Purchaser Information for Public Offering of Corporate Bond Certificates, Etc.
- Rules Concerning Publication of Over-The-Counter Trading Reference Prices, Etc. and Trading Prices of Bonds
- Rules Concerning Publication, Etc. of Over-The-Counter Quotation of Corporate Bonds, Etc. for Retail Customers
- Rules Concerning Solicitation, Etc. of Sale and Purchase, Etc. of Domestic CPs Etc. and Private Placement Corporate Bonds
- Rules Concerning Dealing, Etc. of Private Placement, Etc. of Corporate Bonds
- Rules Concerning Handling of Sale and Purchase of Bonds with Options
- Rules Concerning Handling of Conditional Sale and Purchase of Bonds, Etc.
- Rules Concerning Handling of Sale and Purchase of Bonds, Etc. with Delayed Settlement
- Rules Concerning Handling of Short Selling, and Borrowing and Lending Transactions of Bonds
Relating to Foreign Products and Transactions
- Rules Concerning Foreign Securities Transactions
- Rules Concerning Foreign Securities Futures Transactions, Etc.
Relating to Securitized Products
- Rules Concerning Distributions, Etc. of Securitized Products
- Standardized Information Reporting Package (SIRP) Excel
- Standardized Information Reporting Package (SIRP) Excel