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(Reference Translation) Brokerage Agreement Standards 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. 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. Brokerage Agreement Standards (As of April 1, 2025) Osaka Exchange, Inc. Chapter 1 General Provisions Rule 1. Purpose 1. Agreements concerning brokerage of market derivatives transactions (meaning "market derivatives transactions" prescribed in Article 2, Paragraph 21 of the Financial Instruments and Exchange Act (Act No. 25 of 1948; hereinafter referred to as the "Act"); hereinafter simply referred to as "market derivatives") (excluding brokerage for ...

(Reference Translation) Special Rules for Business Regulations and Brokerage Agreement Standards, etc. Related to the J-NET Market 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. Special Rules for Business Regulations and Brokerage Agreement Standards Related to the J-NET Market (As of May 26, 2025) Osaka Exchange, Inc. Chapter 1 General Provisions Rule 1. Purpose 1. These Special Rules prescribe the special rules for the Business Regulations and ...

(Reference Translation) Enforcement Rules for Special Rules for Business Regulations and Brokerage Agreement Standards Related to the J-NET Market 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. Enforcement Rules for Special Rules for Business Regulations and Brokerage Agreement Standards Related to the J-NET Market (As of May 26, 2025) Osaka Exchange, Inc. Rule 1. Purpose These Rules shall prescribe matters specified by OSE in accordance with the ...

(Reference Translation) Rules on Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options Trading 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 Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options Trading (As of May 26, 2025) Osaka Exchange, Inc. CHAPTER 1 GENERAL RULES Rule 1. Purpose 1. These rules shall, pursuant to the provisions of Rule 31, Paragraph 1 of the Clearing and Settlement ...

(Reference Translation) Trading Participant Regulations 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. 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. Trading Participant Regulations (As of February 17, 2025) Osaka Exchange, Inc. Chapter 1 General Provisions Rule 1. Purpose 1. These Regulations set out matters concerning obligations of Trading Participants, granting trading qualification, Guarantee Funds and mediation and other necessary matters concerning Trading Participants pursuant to Rule 2, Paragraph 1 of the Business Regulations. 2. Any amendments to these Regulations shall be made by resolution ...

(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 Rules Regarding Trading Participant Fees, etc. (As of May 26, 2025) Osaka Exchange, Inc. Rule 1. Purpose These Rules shall prescribe necessary matters concerning the amounts of basic fees and trading participant fees including trading fees, trading participation qualification fees and trading participant security money pursuant to Rule 9, Paragraph 1 and Rule ...

1 Revisions to Trading Participant Regulations in Connection with the Revisions to the Rules for Disciplinary Actions Against and Recommendations to Trading Participants February 13, 2025 Osaka Exchange, Inc. I. Purpose Osaka Exchange Inc. (OSE) will revise the Trading Participant Regulations (hereinafter the“Regulations”) with effect from February 17, 2025 (for details, please refer to the Revisions to Rules and Regulations: Tracked Changes.) In light of recent cases of disciplinary actions against and recommendations to trading participants, OSE will make some necessary revisions to the rules. II. Outline 1. Revisions to the rules for disciplinary actions ・Under the current rules, the maximum fine amount is JPY 100 million as a general rule, with a special provision that prescribes a maximum fine amount of JPY 500 million when a trading participant is deemed to have seriously damaged the credibility of OSE. This two-tiered system will be integrated into a single...

1 Revisions to Rules and Regulations: Tracked Changes Revisions to Trading Participant Regulations Trading Participant Regulations (As of March 18February 17, 20245) Rule 42. Disciplinary Actions against Trading Participants 1. In cases where OSE deems that a Trading Participant falls under any of the following items, OSE may, after holding a hearing with said Trading Participant, take disciplinary actions referred to in the following items pursuant to Article 47 of the Articles of Incorporation: (1) Revocation of its trading qualification, if the Trading Participant was granted the trading qualification by dishonest means; (2) Revocation of its trading qualification, if the Trading Participant ceases to conform to the provisions of Rule 4, Paragraph 2; (3) Revocation of its trading qualification, if the Trading Participant falls into insolvency and is unable to recover easily; (4) Suspension from or restriction on trading of market derivatives (excluding trades based on brokerage for clearing of...

1 Partial Revisions to the Business Regulations and Other Rules in Connection with the Revisions to the Method of Setting the Contract Months for Index Futures and Options March 5, 2025 Osaka Exchange, Inc. I．Purpose OSE will make partial revisions to the Business Regulations and other rules, effective May 26, 2025. The revisions are aimed at making necessary adjustments in connection with revisions to the method of setting the contract months for index futures. II．Outline (Notes) 1．Revisions to the Method of Setting the Contract Months of TOPIX Futures TOPIX Futures (Large Contracts) will be expanded to a 13 contract month system consisting of contracts with a trading period of up to five years. June and December contracts will be available for a period up to 5 years and March and September contracts will be available for a period up to 9 months ・Rule 7, Paragraph ...

Revisions to Rules and Regulations: Tracked Changes Revisions to Business Regulations and Other Rules Pertaining to Revisions to the Method of Setting the Contract Months for Index Futures and Options Contents 1. Revisions to Business Regulations : ................................ ................................ ................................ ................................ ..... Page 1 2. Revisions to Enforcement Rules for Business Regulations: ................................ ................................ ................................ .. Page 7 1 Business Regulations (as of April 1May 26, 2025) Rule 7. Contracts and Number thereof 1. Index futures trading shall be conducted by dividing it into contracts whose last trading day is the day stipulated in the respective item for each underlying index (meaning an index which underlies index futures; the same shall apply hereinafter) referred to in each of the following items. (1) Nikkei 225, TOPIX, JPX-Nikkei Index 400, JPX Prime 150 Index, Tokyo Stock Exchange Growth Market 250 Index, RNP Index, TOPIX Core30, TOPIX Banks Index, and TSE REIT Index a. Regular contracts A trading day that ends on ...