Delivery of Notifications and Clarification Notes
liquid capital rule applicable to securities company for the purpose of ensuring confidence in trading system. The rationale for the new requirement is that obligation to make delivery of or payment
Approval of Auditors for Offering of Securities that are Debt Instruments issued by Foreign Juristic Person
and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer
scope of every five percent report to cover financial instruments issued by others, which entitles the holder to convert or demand delivery of securities issued by listed company, e.g., derivative warrant