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(Provisional Referential Translation) DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese document. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Tokyo Stock Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation. 1 Rules concerningOrder Management Systems at Trading Participants (as of January 4, 2021) Tokyo Stock Exchange, Inc. Rule 1. Purpose 1. These Rules shall prescribe matters concerning order management systems to be developed by trading participants, in accordance with the provisions of Rule 22-3 of the Trading Participant Regulations. 2. The purpose of the development of ...
(Provisional Reference Translation) DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese document. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Tokyo Stock Exchange, Inc., Japan Exchange Regulation, Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation. 1 Trading Participant Regulations (as of March 31, 2025) Tokyo Stock Exchange, Inc. Contents Chapter 1 General Provisions Chapter 2 Obtaining Trading Qualification Chapter 3 Duties of Trading Participant, etc. Chapter 4 Voluntary Disqualification as Trading Participant Chapter 5 Disciplinary Action and Regulatory Disposition, etc. Against Trading Participant Chapter 6 Arbitration Chapter 7 Miscellaneous ...
(Provisional Reference Translation) DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese document. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Tokyo Stock Exchange, Inc., Japan Exchange Regulation, Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation. 1 Enforcement Rules for Trading Participant Regulations (as of January 4, 2024) Tokyo Stock Exchange, Inc. Rule 1. Purpose These Rules shall prescribe matters specified by the Exchange in accordance with the Trading Participant Regulations (hereinafter referred to as the "Regulations"). Rule 2. Application for Obtaining Trading Qualification 1. Application for obtaining trading qualification ...
(Provisional Reference Translation) DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese version. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Tokyo Stock Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation. 1 Rules Concerning Trading Supervision Systems at Trading Participants to Prevent Unfair Trading (as ofApril 4, 2022) Tokyo Stock Exchange, Inc. Rule 1. Purpose 1. These rules shall prescribe the necessary matters concerning trading supervision systems that trading participants shall establish in accordance with the provisions of Rule 22-2 of the Trading Participant Regulations. 2. The ...
(Provisional Reference Translation) DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese version. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Tokyo Stock Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation 1 Rules concerning Examinations on Obtaining Trading Qualification (as of June 1, 2020) Tokyo Stock Exchange, Inc. The Exchange shall carry out examinations prescribed by Rule 4, Paragraph 2 of the Trading Participant Regulations for matters specified by each of the following items regarding an applicant for obtaining trading qualification and other matters that the Exchange deems ...
(Reference Translation) Enforcement Rules for Business Regulations DISCLAIMER: This translation may be used for reference purposes only. This English version is not an official translation of the original Japanese document. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Osaka Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, misunderstanding, or changes with regard to this translation. 1 Enforcement Rules for Business Regulations (As of January 1, 2025) Osaka Exchange, Inc. Rule 1. Purpose 1. These Rules shall prescribe matters specified by OSE pursuant to the Business Regulations (hereinafter referred to as the "Regulations"). 2. The meaning of the terms used in these enforcement rules shall be as specified in the ...
(Reference Translation) Rules on Regulatory Measures Concerning Market Derivatives Trading or its Brokerage DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Osaka Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation. 1 Rules on Regulatory Measures Concerning Market Derivatives Trading or its Brokerage (As of July 27, 2020) Osaka Exchange, Inc. Rule 1. Regulatory Measures Concerning Market Derivatives Trading or its Brokerage Regulatory measures that OSE may take concerning market derivatives trading or its brokerage pursuant to the provisions of ...
(Reference Translation) Enforcement Rules for Clearing and Settlement Regulations DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Osaka Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation. Enforcement Rules for Clearing and Settlement Regulations (As of March 4, 2024) Osaka Exchange, Inc. Rule 1. Purpose These Rules shall prescribe matters specified by OSE pursuant to the Clearing and Settlement Regulations (hereinafter referred to as "Regulations"). Rule 2. Treatment of Postponed Settlement by Non-Clearing Participants 1. In the event that ...
(Reference Translation) Handling of Rule on Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options Contract 1 DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Osaka Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation. Handling of Rules on Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options Trading (As of July 27, 2020) Osaka Exchange, Inc. Rule 1. Purpose These Rules shall, pursuant to the Rules on Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options ...
(Reference Translation) Rules Concerning Trading Supervision Systems at Trading Participants to Prevent Unfair Trading １ DISCLAIMER: This translation may be used only for reference purposes. This English version is not an official translation of the original Japanese version. In cases where any differences occur between the English version and the original Japanese version, the Japanese version shall prevail. This translation is subject to change without notice. Osaka Exchange, Inc., Japan Exchange Group, Inc., and/or their affiliates shall individually or jointly accept no responsibility or liability for damage or loss caused by any error, inaccuracy, or misunderstanding with regard to this translation. Rules Concerning Trading Supervision Systems at Trading Participants to Prevent Unfair Trading (As of April 1, 2020) Osaka Exchange, Inc. Rule 1. Purpose 1. These rules shall prescribe the necessary matters concerning trading supervision systems that Trading Participants shall establish in accordance with the provisions of Rule ...