securities underwriting in accordance with the procedures indicated in a prospectus. Clause 5. A securities underwriter shall not subscribe for securities of which it makes underwriting. Clause 6. Subject to

underwriting in accordance with the procedures indicated in a prospectus. Clause 5. A securities underwriter shall not subscribe for securities of which it makes underwriting. 4 Clause 6. Subject to Clause 8, a

for securities of which it makes underwriting. 4    Clause 6. Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a

guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the

of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this

of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the requirements under this

judgment and it has not yet surpassed the three-year interval time after either the person completed the term of imprisonment or the suspension of sentence period was over, provided that the action taken

causes a movement or change in the client’s assets under custody of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction

of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction which causes a movement or change in the client’s assets for a

of such securities company or in cases under the second paragraph. In cases where it appears that a client does not have any transaction which causes a movement or change in the client’s assets for a