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Revisions of Guidebooks for JPX-Nikkei Index 400 and JPX-Nikkei Mid and Small Cap Index | Japan Exchange Group Nov. 05, 2021 TSE Revisions of Guidebooks for JPX-Nikkei Index 400 and JPX-Nikkei Mid and Small Cap Index Tokyo Stock Exchange, Inc. and Nikkei Inc. have carefully considered revisions of guidebooks for JPX-Nikkei Index 400 and JPX-Nikkei Mid and Small Cap Index, taking into account feedback from market users gathered through the Index Consultation process. As a result, Tokyo Stock Exchange, Inc. and Nikkei Inc. have decided to implement the revision as following. Results of Index Consultation on Revisions of Guidebooks for JPX-Nikkei Index 400 and JPX-Nikkei Mid and Small Cap Index JPX-Nikkei Index 400 Guidebook (Effective on April 4, 2022) JPX-Nikkei Mid and Small Cap Index Guidebook (Effective on April 4, 2022) Links Contact Tokyo Stock Exchange, Inc.　Index Group, Information Services ...

OSE and TOCOM Imposes Disciplinary Action against Okayasu Shoji Co.,Ltd. | Japan Exchange Group Sep. 28, 2022 OSETOCOM OSE and TOCOM Imposes Disciplinary Action against Okayasu Shoji Co.,Ltd. Osaka Exchange, Inc. (OSE) and Tokyo Commodity Exchange, Inc. (TOCOM) have taken disciplinary action against Okayasu Shoji Co., Ltd. (hereinafter, the "Company") and have requested that the Company submit a business improvement report. Disciplinary Action taken by OSE Outline Suspension of derivatives trading (excluding, however, settlement transactions for customers, transactions for the account of the broker's consignee, and other transactions separately approved by OSE) for the period from October 17 through October 19, 2022. Imposition of a JPY 50 million penalty (note) ･The above disciplinary action was taken in accordance with Rule 42, Paragraph 1 of the OSE Trading Participant Regulations. ･In addition, OSE has requested the Company to submit a business improvement report pursuant to Rule 17, Paragraph 1 ...

TSE Imposes Regulatory Action against SMBC Nikko Securities Inc. | Japan Exchange Group Oct. 11, 2022 TSE TSE Imposes Regulatory Action against SMBC Nikko Securities Inc. Tokyo Stock Exchange, Inc. (hereinafter "TSE") has taken regulatory action against SMBC Nikko Securities Inc. (hereinafter the "Company"), as indicated below, pursuant to Rule 39 of the Trading Participant Regulations. Details TSE suspends trading of securities on TSE concerning all the operations related to block offer business including solicitation, consignment, and executions of the Company with the exception of specific work approved by the Financial Services Agency (hereinafter "FSA") during the period between October 7, 2022 and January 6, 2023. Reason The Company has received an order from FSA to suspend operations, as indicated below, pursuant to Article 52, Paragraph 1 of the Financial Instruments and Exchange Act. All the operations related to block offer business including solicitation, consignment, and executions with the exception of ...

Disciplinary Actions against SMBC Nikko Securities Inc. | Japan Exchange Group Dec. 20, 2022 TSEOSE Disciplinary Actions against SMBC Nikko Securities Inc. Tweet Tokyo Stock Exchange, Inc. (TSE) and Osaka Exchange, Inc. (OSE) have taken the following disciplinary action against SMBC Nikko Securities Inc. (hereinafter, "the Company") and have requested the Company submit a business improvement report. Outline Disciplinary Action by TSE Suspension of securities trading on the Tokyo Stock Exchange for the proprietary account of the Equity Department (excluding activity specifically authorized by TSE, such as transactions associated with the fulfilment of contracts already existing before the announcement date of disciplinary actions) during the period from January 16, 2023 through January 20, 2023. Imposition of a fine in the amount of JPY 300 million (note) ･This action is taken in accordance with Article 34, Paragraph 2 of the TSE Trading Participant Regulations. ･TSE has requested the Company submit a business ...

Disciplinary Actions against Chibagin Securities Co., Ltd. | Japan Exchange Group Sep. 28, 2023 TSEOSE Disciplinary Actions against Chibagin Securities Co., Ltd. Tweet Tokyo Stock Exchange, Inc. (TSE) and Osaka Exchange, Inc. (OSE) have taken disciplinary action against Chibagin Securities Co., Ltd. (hereinafter "the Company"), as indicated below, and have requested the Company to submit a business improvement report. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. Disciplinary Action TSE Censure (pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of TSE Trading Participant Regulations) OSE Censure (pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of OSE Trading Participant Regulations) Reason The Company has concluded business cooperation contracts for financial instruments intermediary services (hereinafter referred to "Intermediary Contracts") with its parent company The Chiba Bank, Ltd. (hereinafter "Chiba Bank") and The Musashino Bank, Ltd., which has an alliance ...

Disciplinary Actions against MIKI SECURITIES CO., LTD. | Japan Exchange Group Nov. 30, 2023 TSEOSE Disciplinary Actions against MIKI SECURITIES CO., LTD. Tweet Tokyo Stock Exchange, Inc. (TSE) and Osaka Exchange, Inc. (OSE) have taken disciplinary action against MIKI SECURITIES CO., LTD. (hereinafter "the Company"), as indicated below, and have requested the Company to submit a business improvement report. These measures were determined based on the results of the deliberations by Japan Exchange Regulation. Disciplinary Action TSE Censure (pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of TSE Trading Participant Regulations) OSE Censure (pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of OSE Trading Participant Regulations) Reason The Company had posted operating losses for four consecutive years from the fiscal year ended March 2017 to the fiscal year ended March 2020, in part due to a decline in the number of accounts because of an ...

Disciplinary Actions against SBI SECURITIES Co., Ltd. | Japan Exchange Group Mar. 15, 2024 TSEOSE Disciplinary Actions against SBI SECURITIES Co., Ltd. Post Tokyo Stock Exchange, Inc. (TSE) and Osaka Exchange, Inc. (OSE) have taken disciplinary action against SBI SECURITIES Co., Ltd. (hereinafter "the Company"), as indicated below, and have requested that the Company submit a business improvement report. The above measures were determined based on the results of the deliberations by Japan Exchange Regulation. Disciplinary Action TSE Imposition of a JPY 100 million fine (pursuant to the provisions of Rule 34, Paragraph 1, Item (8) of TSE Trading Participant Regulations) OSE Censure (pursuant to the provisions of Rule 42, Paragraph 1, Item (10) of OSE Trading Participant Regulations) Reason - Accepting orders from customers to purchase listed financial instruments on the financial instruments exchange market while knowing that causing fluctuation of market prices of said listed financial instruments, etc., will result ...

Approval of Initial listing (ETF):iShares 3-7 Year US Treasury Bond JPY Hedged ETF and 1 ETF(BlackRock Japan) | Japan Exchange Group Jul. 08, 2022 TSE Approval of Initial listing (ETF):iShares 3-7 Year US Treasury Bond JPY Hedged ETF and 1 ETF(BlackRock Japan) Today, Tokyo Stock Exchange, Inc. (TSE) approved the listing of new ETFs managed by BlackRock Japan. The ETFs will be listed on Wednesday, July 27 , 2022. Code Issue Name Indicator Trading Unit 2856 iShares 3-7 Year US Treasury Bond JPY Hedged ETF FTSE US Treasury 3-7 Years Select Index - Japanese Investment Trust, currency-hedged in JPY terms 10 units 2857 iShares Germany Government Bond JPY Hedged ETF FTSE German Government Bond Index - Japanese Investment Trust, currency-hedged in JPY terms 10 units Note: The new listing was approved based on the results of the examination by Japan Exchange Regulation. TSE will ...

Approval of Initial listing (ETF):Global X Nikkei 225 Covered Call ETF (option premium reinvestment type)(Global X Japan) | Japan Exchange Group Jul. 11, 2022 TSE Approval of Initial listing (ETF):Global X Nikkei 225 Covered Call ETF (option premium reinvestment type)(Global X Japan) Today, Tokyo Stock Exchange, Inc. (TSE) approved the listing of new ETF managed by Global X Japan. The ETFs will be listed on Friday, July 29, 2022. Code Issue Name Indicator Trading Unit 2858 Global X Nikkei 225 Covered Call ETF (option premium reinvestment type) Nikkei 225 Covered Call ATM Index 1 units Note: The new listing was approved based on the results of the examination by Japan Exchange Regulation. TSE will continue working to diversify the ETF market, and improve the convenience of our market for all investors. For more information, please refer to the pages below. ETFs Listed Issues Enquiry Tokyo Stock Exchange, ...

Approval of Initial listing (ETF):NEXT FUNDS EURO STOXX 50 (Yen-Hedged) Exchange Traded Fund and 1 ETF(Nomura Asset Management) | Japan Exchange Group Aug. 10, 2022 TSE Approval of Initial listing (ETF):NEXT FUNDS EURO STOXX 50 (Yen-Hedged) Exchange Traded Fund and 1 ETF(Nomura Asset Management) Today, Tokyo Stock Exchange, Inc. (TSE) approved the listing of new ETFs managed by Nomura Asset Management. The ETFs will be listed on Friday, September 2 , 2022. Code Issue Name Indicator Trading Unit 2859 NEXT FUNDS EURO STOXX 50 (Yen-Hedged) Exchange Traded Fund EURO STOXX 50® Monthly Hedged JPY TTM 10 units 2860 NEXT FUNDS German Equity DAX (Yen-Hedged) Exchange Traded Fund DAX® Monthly Hedged JPY TTM 10 units Note: The new listing was approved based on the results of the examination by Japan Exchange Regulation. TSE will continue working to diversify the ETF market, and improve the convenience ...