“Advanced Financial Instruments and Exchange Act, 2nd Edition”

Table of Contents

Part I General Provisions 
Chapter 1 Purposes and Outlines of Revision of Financial Instruments and Exchange Act 
Chapter 2 Definition of Securities 
Chapter 3 Definition of Derivative Instruments

Part II Disclosure of Corporate Information, etc. 
Chapter 1 Disclosure in Primary Market 
Chapter 2 Disclosure in Secondary Market 
Chapter 3 Ensure the Effectiveness of Issuance and Distribution Disclosure 
Chapter 4 Procedures by Electronic Data Processing System for Disclosure 
Chapter 5 Proxy-Fight Regulations

Part III Disclosure of Tender Offer 
Chapter 1 Overview 
Chapter 2 Scope of Application for Tender Offer Regulations 
Chapter 3 Disclosure Regulations on Tender Offer 
Chapter 4 Substantive Regulations on Tender Offer 
Chapter 5 Ensuring Effectiveness of Tender Offer Regulations 
Chapter 6 Tender Offer for Share Certificates, etc. by Issuer

Part IV Disclosure of the Status of Large Volume Holding of Share Certificates, etc. 
Chapter 1 Overview of Disclosure of the Status of Large Volume Holding 
Chapter 2 Obligation to Submit Large Shareholding Report 
Chapter 3 Obligation to Submit Change Report 
Chapter 4 Disclosures in Change Report Pertaining to Report of Possession of Large Volume 
Chapter 5 Special Report 
Chapter 6 Delivery of Large Shareholding Reports and Public Inspection 
Chapter 7 Systems to Ensure Effectiveness of Disclosure by Large Shareholding Reports

Part V Regulations 
Chapter 1 Definition of Financial Instruments Business 
Chapter 2 Restrictions on Market Entrants of Financial Instruments Business 
Chapter 3 Scope of Work of Financial Instruments Business Operator “Regulations Governing Outside Work” 
Chapter 4 Registered Financial Institutions 
Chapter 5 Special Provisions for Foreign Business Operators 
Chapter 6 Fund Regulations 
Chapter 7 Sales Representative 
Chapter 8 Financial Instruments Intermediary Service Providers 
Chapter 9 Accounting 
Chapter 10 Special Provisions Concerning Special Financial Instruments Business Operators, etc.

Part VI Conduct Control Pertaining to Financial Instruments Business Operators etc. 
Chapter 1 Professional Investor System 
Chapter 2 Regulation on Advertisements, etc., of Financial Instruments Business Operators 
Chapter 3 Accountability 
Chapter 4 Various Prohibited Acts 
Chapter 5 Others 
Chapter 6 Special Provisions on Investment Advisory Business, Investment Management Business and Securities Managemen 
Chapter 7 Duty of Loyalty and Measures to Prevent Internal Collusion 
Chapter 8 Application Mutatis Mutandis of Banking Act, Insurance Business Act and Trust Business Act etc. 

Part VII Credit Rating Agencies

Part VIII Financial Instruments Firms Associations 
Chapter 1 Financial Instruments Firms Associations 
Chapter 2 Certified Investor Protection Organization

Part IX Financial Instruments Exchange, Foreign Financial Instruments Exchange 
Chapter 1 Financial Instruments Exchange 
Chapter 2 Foreign Financial Instruments Exchange

Part X Financial Instruments Clearing Organization, etc. and Trade Repository, etc.

Part XI Securities Finance Company 

Part XII Regulations on Transactions, etc. of Securities 
Chapter 1 Insider Trading Regulations 
Chapter 2 Market Manipulation Regulations 
Chapter 3 Other Unfair Trading Regulations

Part XIII Supervision of Financial Instruments Business and Investor Protection 
Chapter 1 Financial Services Agency and Securities and Exchange Surveillance Commission 
Chapter 2 Supervisory Dispositions, etc. 
Chapter 3 Monetary Penalty System 
Chapter 4 Investor Protection Fund

Index