Rules

Rules

Update : Jul. 17, 2013

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DISCLAIMER

DISCLAIMER: This translation may be used for reference purposes only. 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 differences including, but not limited to, those differences above 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., Tokyo Stock 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.

Tokyo Stock Exchange, Inc.

Articles of Incorporation

Articles of Incorporation of Tokyo Stock Exchange, Inc. (as of September 30, 2007) [To be updated] PDF
Advisory Committee Rules (as of November 1, 2007) PDF

Business Regulations and Related Rules

Business Regulations (as of July 16, 2013) [To be updated] PDF
Enforcement Rules for Business Regulations (as of July 16, 2013) [To be updated] PDF
Rules Concerning Bids and Offers (as of November 21, 2011) [To be updated] PDF
Rules Concerning Price Limits on Bids and Offers (as of July 16, 2013) [To be updated] PDF
Rules Regarding Trading Units of Foreign Stocks (as of April 1, 2011) PDF
Rules on Regulatory Measures Concerning Securities Trading, etc. or Its Brokerage (as of June 16, 2008) [To be updated] PDF

Trading Participant Regulations and Related Rules

Trading Participant Regulations (as of April 1, 2014) PDF
Trading Participant Agreement (For domestic corporations) (as of January 6, 2003) [To be updated] PDF
Trading Participant Agreement (For foreign corporations which are not exchange trading authorized firms) (as of February 9, 2009) [To be updated] PDF
Trading Participant Agreement (For remote trading participants) (as of February 9, 2009) [To be updated] PDF
Enforcement Rules for Trading Participant Regulations (as of July 16, 2013) [To be updated] PDF
Rules Concerning Examinations on Obtaining Trading Qualifications (as of March 24, 2014) PDF
Rules Regarding Trading Participant Fees, etc. (as of March 24, 2014) PDF
Rules Concerning Securities in lieu of Money as Participant Bonds, Trading Participant Security Money, and Trading Margin for When-issued Transactions (as of January 4, 2013) PDF
Rules on Reporting of Syndicate Cover Transactions (as of September 30, 2007) PDF
Rules Concerning an Issue under Trade Monitoring (as of July 16, 2013) [To be updated] PDF
Regulations for Trading Supervision Systems at Trading Participants to Prevent Unfair Trading (as of January 1, 2012) PDF
Regulations for Order Management Systems at Trading Participants (as of October 1, 2006) [To be updated] PDF
Regulations Concerning Trading Participants' Listing Eligibility Examination Systems (as of July 16, 2013) PDF
Rules Concerning Just and Equitable Principles of Trade (as of April 1, 2011) [To be updated] PDF
Arbitration Rules (as of September 30, 2007) [To be updated] PDF

Clearing and Settlement Regulations and Related Rules

Clearing and Settlement Regulations (as of July 16, 2013) [To be updated] PDF
Enforcement Rules for Clearing and Settlement Regulations (as of July 16, 2013) [To be updated] PDF

Margin/Loan Trading Regulations and Related Rules, etc.

Margin/Loan Trading Regulations (as of July 16, 2013) [To be updated] PDF
Rules for Treatment of Rights Pertaining to Standardized Margin Trading (as of July 16, 2013) [To be updated] PDF
Rules Concerning Selection of Stocks Eligible for Standardized Margin Trading and Loan Trading (as of July 16, 2013) PDF

Securities Listing Regulations and Related Rules

Securities Listing Regulations (as of July 17, 2013) [To be updated] PDF
Enforcement Rules for Securities Listing Regulations (as of March 31, 2013) [To be updated] PDF
Guidelines Concerning Listing Examination, etc. (as of July 16, 2013) PDF
Guidelines Concerning Listed Company Compliance, etc. (as of July 16, 2013) [To be updated] PDF

Brokerage Agreement Standards and Related Rules, etc.

Brokerage Agreement Standards (as of July 16, 2013) [To be updated] PDF
Agreement on Entrustment of When-Issued Transactions (July 16, 2013 Version) PDF
Agreement for Setting up Margin Trading Account (July 16, 2013 Version) PDF
The Rate of Delinquency Charges Based on the Agreements (as of November 1, 2001) [To be updated] PDF
Exclusion from Securities in lieu of Money for Customer Margin (as of September 30, 2007) PDF

Special Regulations and Related Rules

Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning ToSTNeT Market (as of July 16, 2013) [To be updated] PDF
Enforcement Rules for Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning ToSTNeT Market (as of July 16, 2013) [To be updated] PDF
Special Regulations of Securities Listing Regulations Concerning Specified Listed Securities (as of July 16, 2013) [To be updated] PDF
Enforcement Rules for Special Regulations of Securities Listing Regulations Concerning Specified Listed Securities (as of May 20, 2013) [To be updated] PDF
Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Specified Financial Instruments Exchange Markets (as of July 1, 2012) [To be updated] PDF
Enforcement Rules for Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Specified Financial Instruments Exchange Markets (as of July 1, 2012) PDF
Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Government Bond Futures Contract (as of July 16, 2013) PDF
Enforcement Rules for Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Government Bond Futures Contract (as of July 1, 2012) PDF
Rules on Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options Contract (as of July 16, 2013) PDF
Treatment of the Rules on Margin and Transfer of Unsettled Contracts Pertaining to Futures/Options Contract (as of November 21, 2011) PDF
AGREEMENT FOR SETTING UP FUTURES/OPTIONS TRADING ACCOUNT (July 16, 2013 Version) PDF
Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Index Futures Contract (as of July 16, 2013) PDF
Enforcement Rules for Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Index Futures Contract (as of July 1, 2012) PDF
Special Regulations of Business Regulations, Margin/Loan Trading Regulations and Brokerage Agreement Standards Concerning Individual Securities Options Contract (as of July 16, 2013) PDF
Enforcement Rules for Special Regulations of Business Regulations, Margin/Loan Trading Regulations, and Brokerage Agreement Standards Concerning Individual Securities Options Contract (as of March 12, 2012) PDF
Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Options Contract on Government Bond Futures (as July 16, 2013) PDF
Enforcement Rules for Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Options Contract on Government Bond Futures (as of November 21, 2011) PDF
Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Index Options Contract (as of July 16, 2013) PDF
Enforcement Rules for Special Regulations of Business Regulations and Brokerage Agreement Standards Concerning Index Options Contract (as of November 21, 2011) PDF

Tokyo Stock Exchange Regulation

Articles of Incorporation of Tokyo Stock Exchange Regulation (as of July 16, 2013) [To be updated] PDF
Business Regulations of Tokyo Stock Exchange Regulation (as of July 16, 2013) [To be updated] PDF
Enforcement Rules for the Business Regulations of Tokyo Stock Exchange Regulation (as of November 1, 2007) [To be updated] PDF

[Related link]

For the Financial Instruments and Exchange Act, the Companies Act, etc., please refer to the following webpage:

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