Securities and Exchange Commission  OrYor. 7/2545 Re: Guidelines for the Consideration of the Business Operation which is Classified as Securities Business in the Category of Securities Underwriting   02

e-service Online Submission See canceled document Business Operation Rules >> Business Continuity Management (BCM)   Type Title Section See Document Status Notified Date Effective Date 1. Notification

e-service Online Submission See canceled document Business Operation Rules >> Accept purchasing or selling orders outside head office or branch   Type Title Section See Document Status Notified Date

e-service Online Submission See canceled document Business Operation Rules >> Net Liquid Capital Rule (Section 97)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Business Operation Rules >> Executives / Personnel   Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital

e-service Online Submission See canceled document Business Operation Rules >> Approval & Qualifications (Section 90, 91)   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Business Operation Rules >> Engagement in Other Businesses (Section 98(8))   Type Title Section See Document Status Notified Date Effective Date 1

e-service Online Submission See canceled document Business Operation Rules >> Selling Agents (Section 100)   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and

e-service Online Submission See canceled document Business Operation Rules >> Proprietary Investment (Section 98(7))   Type Title Section See Document Status Notified Date Effective Date 1. Act

e-service Online Submission See canceled document Business Operation Rules >> Accounting and Financial Statements (Section 105, 106)   Type Title Section See Document Status Notified Date Effective