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Activities | Japan Exchange Group An introduction of JPX-R's activities. Lists of New Listings and Segment Transfers An introduction of companies which were newly listed or whose market segments were changed. Disciplinary Action on Listed Companies An introduction of status of measures against listed companies and designation of issues as Securities on Alert/Securities to be Delisted, etc. Disciplinary Action on Trading Participants An introduction of disciplinary actions against trading participants....

Ensuring Sound Market Operations | Japan Exchange Group Japan Exchange Regulation (JPX-R) is the quality control center providing self-regulation for markets operated by Tokyo Stock Exchange and Osaka Exchange. JPX-R engages in the following initiatives to ensure sound market operations. Listing Eligibility and Compliance An introduction of initiatives to maintain the eligibility of newly listing companies and listed companies. Listing Eligibility Listed Company Compliance Aiming for Better Equity Financing Principles for Responding to Corporate Scandals Principles for Preventing Corporate Scandals Maintaining Trading Participant Quality An introduction of initiatives and measures to maintain the quality of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange), as well as checkpoints for trading participants' internal management systems and points considered when determining disciplinary actions. Outline Inspection Plan Check Points related to Trading Participant Internal Management Systems Points of Note When Determining Disciplinary ...

Listing Eligibility and Compliance | Japan Exchange Group An introduction of initiatives to ensure the quality of new listings and the continued eligibility of listed companies. Listing Eligibility Listed Company Compliance Aiming for Better Equity Financing Principles for Responding to Corporate Scandals Principles for Preventing Corporate Scandals...

File a Tip or Complaint on Possible Irregularities or Violations | Japan Exchange Group We welcome information from the general public to assist us in our activities regarding unfair trading in JPX markets, trading participants‘ compliance with laws and regulations, the listing eligibility of listed companies, and the eligibility of new listing applicants. Report Unfair Trading in JPX Markets Provide us with information on unfair trading in JPX markets (insider trading, market manipulation, spreading rumors, improper large acquisitions of shares, violations of the obligation to submit large shareholding reports, etc.). Report Non-Compliance with Laws and Regulations by Trading Participants Provide us with information regarding compliance in general at trading participants, including their business structures, entrustment and execution practices, and internal control systems. Report Matters Affecting the Eligibility of Listed Companies Provide us with information regarding a listed company‘s eligibility for listing, such as the appropriateness of corporate disclosure, compliance ...

Maintaining Trading Participant Quality | Japan Exchange Group An introduction of initiatives and measures to maintain the quality of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange). Outline An introduction of initiatives and measures to maintain the quality of trading participants (broker-dealers qualified to access directly the trading platforms of Tokyo Stock Exchange or Osaka Exchange). Inspection plan An introduction of the inspection policy and important points for inspection. JPX-R Inspection Plan TOCOM Audit Plan Current Inspections and Inspection Results An introduction of the current inspections. Points of Consideration When Determining Disciplinary Actions When a trading participant violates laws, regulations, or exchange rules, the exchange takes disciplinary action against the participant in accordance with exchange rules. This is an introduction of matters considered when determining whether to take disciplinary actions and the details of such actions. Points of Consideration ...

Self-Regulatory Operations | Japan Exchange Group This section describes how JPX self-regulates trading in stocks, derivatives and other financial instruments on Tokyo Stock Exchange and Osaka Exchange under the Financial Instruments and Exchange Act (FIEA) and other related laws. Necessity of Self-Regulatory Operations Outline of Self-Regulatory Operations...

Preventing Unfair Trading | Japan Exchange Group Insider Trading Market Manipulation Examination of Trades (Market Surveillance) at TOCOM Examination of Trades (Trade Practice Examination) Unfair Trading under Commodity Derivatives Act Examples of Trade Practices which Might Trigger Action by TOCOM Perspectives of Trade Practice Surveillance Specific Examples of Action Taken Educational Activities for Preventing Unfair Trading Educational Activities for Preventing Unfair Trading Other Activities Status of Market Surveillance Activities...

Publications | Self-Regulation | Japan Exchange Group Application of AI to Market Surveillance Prevention of Corporate Scandals Response to Corporate Scandals Response to Equity Financing Guidelines on Prevention of Unfair Trading Technical Listings Publications 　 Annual Reports Application of AI to Market Surveillance Prevention of Corporate Scandals Response to Corporate Scandals Response to Equity Financing Guidelines on Prevention of Unfair Trading Technical Listings Press release regarding the introduction of Artificial Intelligence to market surveillance operations. Introduction of Artificial Intelligence to Market Surveillance Operations　(Mar. 2018) Principles to encourage listed companies to take initiatives to prevent corporate scandals and set forth conduct expected of listed companies from the perspective of preventing damage to corporate value. Establishment of “Principles for Prevention of Corporate Scandals” (Mar. 2018) (in Japanese only) Principles for Prevention of Corporate Scandals Fundamental principles of conduct for listed companies in dealing with corporate scandals aimed at helping to restore corporate value ...

Trading Participants | Japan Exchange Group Overview of a Trading Participant/Acquisition of Trading Qualifications What is a Trading Participant? Acquisition of Trading Qualifications List of Trading Participants Capital Adequacy Ratio of General Trading Participants Trading Participation Fees Disciplinary Actions Tokyo Stock Exchange Osaka Exchange Tokyo Commodity Exchange Permission from Overseas Relevant Authorities Remote Trading Participant System Permission from Overseas Relevant Authorities concerning overseas investor...

Public Comments | Japan Exchange Group The table shows the latest information on public comments. For details on each subject, please click the title to view comments that were received and responses for closed items. Before submitting comments, please read and agree to our policy on public comments and the rules for submitting comments in the following page. Policy on Public Comment Procedures Archives: 2025 2024 2023 2022 2021 2020 2019 2018 2017 2016 Announcement Date Closing Date Issued by * Subject Jul. 29, 2025 Aug. 28, 2025 TOCOM Addition of Chubu-Area Electricity to Monthly and Fiscal Year Contracts on Electricity Futures Jul. 29, 2025 Aug. 28, 2025 TSE Change in Settlement Schedule for GX Credits on the Carbon Credit Market Jul. 29, 2025 Aug. 28, 2025 TSE Revisions to the Listing Rules for Real Estate Investment Trust Securities in Accordance With the Clarified Definition of Real Estate in the Act ...