in cases where their capital is not sufficient for the operation or various risks pursuant to Paragraph 1. Clause 13 Each securities clearing house or central securities depository shall establish a

” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over-allotment shares in full” means the day on which a provider of

which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over-allotment shares in full” means the day on which a provider of over-allotment

, conditions and procedures prescribed and notified by the SEC Office. Chapter 2 Authority of the SEC Office ______________________ Clause 10 In the cases it appears to the SEC Office a fact causing any of the

cases, the securities company shall comply with Advertising Rules as prescribed under Chapter 3. Chapter 2 Advertisement which must be approved ------------------ Clause 6. The following advertisement

which must be approved by the Office prior to distribution. (UNOFFICIAL TRANSLATION) 3 Clause 5. To advertise, in any cases, the securities company shall comply with Advertising Rules as prescribed under

Contact Information Sensitive Data Qualification data Financial Data Verification data: 1. Information service and action under court warrants; 2. Action in criminal cases, imposition of civil sanctions

company is allowed to advertise, except for the advertising made pursuant to Chapter 2 which must be approved by the Office prior to distribution. Clause 5. To advertise, in any cases, the securities

date” means the day on which an offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over allotment shares in full” means the day on which a

offer for sale of securities is closed for a securities underwriter in general cases; (7) “date of providing over allotment shares in full” means the day on which a provider of overallotment shares is