Business Regulations of Tokyo Stock Exchange Regulation

Topics: Stock exchange, Stock market, Tokyo Stock Exchange Pages: 24 (8283 words) Published: July 25, 2013
(Provisional Reference Translation 11/01/2012)

Business Regulations of Tokyo Stock Exchange Regulation
(as of July 1, 2012)

Contents General Provisions Examination of Trading Participant Qualifications Inspections on Trading Participants Market Surveillance on Securities Trading, etc. Decision on Details of Disciplinary Actions and Other Measures against Trading Participants Chapter 6 Examination with respect to New Listing of Financial Instruments, etc. Chapter 7 Examination, etc. concerning Disclosure by Issuers of Listed Securities of Information on such Issuers Section 1 Examination concerning Disclosure by Issuers of Listed Securities of Information on such Issuers Section 2 Decision on Details of Measures Such As Regulatory Actions against Issuers of Listed Securities Chapter 8 Examination with respect to Delisting of Financial Instruments, etc. Chapter 9 Miscellaneous Rules Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5

Chapter 1 General Provisions Rule 1. (Purpose) These Rules shall prescribe necessary matters concerning the execution of the self-regulatory operations that Tokyo Stock Exchange Regulation (hereinafter referred to as "TSER") carries out by being entrusted by the entrusting financial instruments exchange pursuant to the provisions of Article 39, Paragraph 1 of the Articles of Incorporation. Rule 2. (Definitions) In these Rules, the term listed in each of the following items shall means as prescribed in each such Item: (1) The entrusting financial instruments exchange shall mean Tokyo Stock Exchange, Inc. (TSE); 1

DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version (including tables for comparison of new and old rules and regulations; hereinafter the same). Certain parts of the translation may have been edited to accommodate differences in writing style and expression between English and Japanese. In cases where any differences including those differences above occur between the English version and the original Japanese version, the Japanese version shall prevail. Tokyo Stock Exchange Group, Inc., Tokyo Stock Exchange, Inc., and/or Tokyo Stock Exchange Regulation shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation.

(Provisional Reference Translation 11/01/2012)

(2) Financial instruments, etc. shall mean financial instruments or options; (3) A trading participant shall mean the trading participant of the entrusting financial instruments exchange; (4) A listed security shall mean a security listed on the market of the entrusting financial instruments exchange; (5) Securities trading, etc. shall mean securities trading and market derivatives trading. (6) New listing, etc. shall mean new listing of financial instruments, etc. (excluding new listing of financial instruments, etc. for specified market derivatives trading (meaning market derivatives trading where underlying stocks of financial instruments, etc. are specified under the Business Regulations and other rules of the entrusting financial instruments exchange. The same shall apply hereinafter), change of the listing market of listed securities, designation of listed securities as stock of the First Section market and removal of a grace period with respect to an inappropriate merger, etc; and (7) Inspections shall mean examinations on Trading Participants as prescribed in Chapter 3 2. In addition to the definitions prescribed in the preceding paragraph, the definitions of the terms used in these Rules shall be as prescribed in laws and regulations, the Business Regulations and other rules of the entrusting financial instruments exchange, except as otherwise provided by provisions of these Rules. Rule 3. (Self-regulatory Operations, etc. Carried Out by TSER) The TSER shall carry out the self-regulatory...
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