Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of

Custody of Assets of Clients by Securities Companies (No. 3)

Qualifications and Appointment of Administrative Panel

Determination of Other Securities Which Are Not Subject to Provisions concerning Public Offering of Securities

Determination of Securities Issuer Deemed as a Company

Approval for Undertaking of Derivatives Business (No. 3)

Determination of Fees for Filing of Registration Statement, Registration and Filing of Other Applications (No. 27)

Determination of Fees for Filing of Registration Statement, Registration and Other Applications (No. 30)

Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of Intermediaries