Business Regulations of Tokyo Stock Exchange Regulation
(Provisional Reference Translation 11/01/2012)
Business Regulations of Tokyo Stock Exchange Regulation
(as of July 1, 2012)
Contents General Provisions Examination of Trading Participant Qualifications Inspections on Trading Participants Market Surveillance on Securities Trading, etc. Decision on Details of Disciplinary Actions and Other Measures against Trading Participants Chapter 6 Examination with respect to New Listing of Financial Instruments, etc. Chapter 7 Examination, etc. concerning Disclosure by Issuers of Listed Securities of Information on such Issuers Section 1 Examination concerning Disclosure by Issuers of Listed Securities of Information on such Issuers Section 2 Decision on Details of Measures Such As Regulatory Actions against Issuers of Listed Securities Chapter 8 Examination with respect to Delisting of Financial Instruments, etc. Chapter 9 Miscellaneous Rules Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5
Chapter 1 General Provisions Rule 1. (Purpose) These Rules shall prescribe necessary matters concerning the execution of the self-regulatory operations that Tokyo Stock Exchange Regulation (hereinafter referred to as "TSER") carries out by being entrusted by the entrusting financial instruments exchange pursuant to the provisions of Article 39, Paragraph 1 of the Articles of Incorporation. Rule 2. (Definitions) In these Rules, the term listed in each of the following items shall means as prescribed in each such Item: (1) The entrusting financial instruments exchange shall mean Tokyo Stock Exchange, Inc. (TSE);
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DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version (including tables for comparison of new and old rules and regulations; hereinafter the same). Certain parts of the translation may have been edited to accommodate differences in writing style and expression between English and Japanese. In cases where any
Business Regulations of Tokyo Stock Exchange Regulation
(as of July 1, 2012)
Contents General Provisions Examination of Trading Participant Qualifications Inspections on Trading Participants Market Surveillance on Securities Trading, etc. Decision on Details of Disciplinary Actions and Other Measures against Trading Participants Chapter 6 Examination with respect to New Listing of Financial Instruments, etc. Chapter 7 Examination, etc. concerning Disclosure by Issuers of Listed Securities of Information on such Issuers Section 1 Examination concerning Disclosure by Issuers of Listed Securities of Information on such Issuers Section 2 Decision on Details of Measures Such As Regulatory Actions against Issuers of Listed Securities Chapter 8 Examination with respect to Delisting of Financial Instruments, etc. Chapter 9 Miscellaneous Rules Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5
Chapter 1 General Provisions Rule 1. (Purpose) These Rules shall prescribe necessary matters concerning the execution of the self-regulatory operations that Tokyo Stock Exchange Regulation (hereinafter referred to as "TSER") carries out by being entrusted by the entrusting financial instruments exchange pursuant to the provisions of Article 39, Paragraph 1 of the Articles of Incorporation. Rule 2. (Definitions) In these Rules, the term listed in each of the following items shall means as prescribed in each such Item: (1) The entrusting financial instruments exchange shall mean Tokyo Stock Exchange, Inc. (TSE);
1
DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version (including tables for comparison of new and old rules and regulations; hereinafter the same). Certain parts of the translation may have been edited to accommodate differences in writing style and expression between English and Japanese. In cases where any