Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities

Rules and Periods for Report Submission of Securities Companies

Rules, Conditions and Procedures for Providing Services as Securities Registrar

Rules Conditions and Procedures for Being Director or Executive of Other Securities Companies

Selling of Securities in Foreign Country by Securities Company Without Having Possession

Rules for Listing Names of Persons on Database of Directors and Executives of Securities Issuing Companies

Filing of the Registration Statement for Securities Offering

Custody of Assets of Clients by Licensed Derivatives Brokers

Custody of Clients’ Assets by Securities Companies (Codified)

Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets