Rules and Periods for Report Submission of Securities Companies

Rules, Conditions and Procedures for Providing Services as Securities Registrar

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

Filing of the Registration Statement for Securities Offering

Custody of Clients’ Assets by Securities Companies (Codified)

Short Selling of ETF and Securities Being Underlying of ETF by a Securities Company

Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary

Custody of Clients’ Assets by Securities Companies (No. 4)

Selling of Newly Issued Debt Securities and Derivative Warrants of Securities Issuer (codified)

Offering for Sale of Certificates Representing Interest from Underlying Securities