Article 1The media specified by an ordinance of the competent ministry as prescribed in Article 11, paragraph (5) of the Commodity Exchange Act (hereinafter referred to as the "Act") shall be a magnetic disk or a medium on which certain information can be securely recorded by an equivalent method.

Article 2(1)The measure that can replace signatures or names and seals specified by an ordinance of the competent ministry as prescribed in Article 11, paragraph (5) of the Act shall be an Electronic Signature.

(2)The "Electronic Signature" set forth in the preceding paragraph shall be a measure taken so that information can be recorded onto an Electromagnetic Record (which means the Electromagnetic Record prescribed in Article 11, paragraph (5) of the Act; the same shall apply hereinafter), which satisfies all of the following requirements:

Article 2-2The type and contents of the Electromagnetic Means (which means Electromagnetic Means prescribed in Article 12, paragraph (4) of the Act; the same shall apply hereinafter except for Article 7) that should be employed pursuant to the provisions of Article 1-2, paragraph (1) of the Order for Enforcement of the Commodity Exchange Act (Cabinet Order No. 280 of 1950; hereinafter referred to as the "Order") shall be as follows:

Article 2-3(1)The methods using an electronic data processing system or using other information communications technology specified by an ordinance of the competent ministry as prescribed in Article 12, paragraph (4) of the Act are as follows:

(2)The methods listed in the preceding items shall be the ones by which a receiver can prepare a written document by outputting the record from a file.

Article 2-4(1)The preparation of the minutes of an organizational meeting pursuant to the provisions of Article 13, paragraph (7) of the Act shall be prescribed in this Article.

(2)The minutes of an organizational meeting shall be prepared in the form of a written document or an Electromagnetic Record.

(3)The minutes of an organizational meeting shall include the following matters:

Article 3The documents specified by an ordinance of the competent ministry set forth in Article 14, paragraph (2) of the Act shall be as follows (in the case of a certification issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for a permission):

Article 3-2The method specified by an ordinance of the competent ministry set forth in Article 847, paragraph (1) of the Companies Act (Act No. 86 of 2005) as applied mutatis mutandis by replacing the terms pursuant to Article 18, paragraph (2), Article 58, and Article 77, paragraph (2) of the Act shall be the submission of a document that contains the following matters or the provision of said matters through an Electromagnetic Means:

Article 3-3The method specified by an ordinance of the competent ministry set forth in Article 847, paragraph (4) of the Companies Act as applied mutatis mutandis by replacing the terms pursuant to Article 18, paragraph (2), Article 58, and Article 77, paragraph (2) of the Act shall be the submission of a document that contains the following matters or the provision of said matters through an Electromagnetic Means:

Article 4Documents specified by an ordinance of the competent ministry set forth in Article 19, paragraph (2) of the Act shall be as follows (in the case of a certification issued by a public agency, limited to documents prepared within three months prior to the date of filing the application):

Article 5Deleted

Article 6The method specified by an ordinance of the competent ministry set forth in the following provisions shall be a method to display the matters recorded in an Electromagnetic Record set forth in the following provisions in the form of writing or an image:

Article 7The Electromagnetic Means specified by an ordinance of the competent ministry set forth in the following provisions shall be the means designated by a Commodity Exchange from those listed in the respective items of Article 2-3, paragraph (1):

Article 8The method specified by an ordinance of the competent ministry set forth in Article 59, paragraph (5) of the Act shall be a method listed in Article 2-3, paragraph (1), item (ii).

Article 9The type and contents of the Electromagnetic Means to be specified pursuant to the provisions of Article 4, paragraph (1) of the Order for Enforcement of the Commodity Exchange Act (Cabinet Order No. 280 of 1950; hereinafter referred to as the "Order") shall be the following matters:

Article 9-2(1)The preparation of the minutes of a general meeting of members pursuant to the provisions of Article 62-3 of the Act shall be prescribed in this Article.

(2)The minutes of a general meeting of members shall be prepared in the form of a written document or an Electromagnetic Record.

(3)The minutes of a general meeting of members shall include the following matters:

Article 10With regard to the interpretation of terms set forth in the following Article through Article 26 and the application of the provisions thereunder, generally accepted corporate accounting standards and other accounting practices shall be taken into consideration.

Article 10-2The Settlement Related Documents, etc. set forth in Article 66, paragraph (1) of the Act shall be specified in the provisions of the following Article to Article 20.

Article 11A balance sheet shall, for the purpose of clarifying the financial condition of a Member Commodity Exchange, include or record the entire assets, liabilities, and net assets thereof at the end of each business year, and indicate them accurately to Members and any other interested party.

Article 12The form of a balance sheet shall be a balance account format.

Article 13(1)A balance sheet shall indicate the values by classifying them into the following sections; provided, however, that the title of the contribution section may be used as the title of the net assets section if necessary:

(2)Respective sub-items in the assets section or the liabilities section shall be given the appropriate titles to indicate the assets or liabilities concerning said items.

Article 14(1)The assets section shall be classified into the following sub-items.In this case, the respective sub-items (excluding the sub-items listed in item (ii)) shall be broken down into appropriate particulars:

(2)The sub-item pertaining to fixed assets shall be classified into the following sub-items.In this case, the respective sub-items shall be broken down into appropriate particulars:

(3)The assets listed in the following items shall belong to those specified in said items:

(4)"Within a Year" prescribed in the preceding paragraph refers to the days within a year from the days specified in the following items for the categories of balance sheet set forth respectively therein (hereinafter the same shall apply in this Article through Article 16-8):

Article 15(1)The liabilities section shall be classified into the following sub-items.In this case, the respective sub-items shall be broken down into appropriate particulars:

(2)Liabilities listed in the following items shall belong to those specified in said items:

Article 16(1)The net assets section shall be classified into the following sub-items; provided, however, that the title of member contribution may be used as the title of member capital:

(2)Sub-items pertaining to member capital shall be classified into the following sub-items.In this case, respective sub-items may be broken down into the appropriate particulars:

(3)Sub-items pertaining to valuation/translation difference shall be broken down into the following particulars and any other particulars with an appropriate title:

Article 16-2(1)Allowances pertaining to the respective assets shall be indicated as a deduction for said respective assets under sub-items with titles that indicate the purpose of allowances for bad debts and other relevant allowances excluding cases prescribed in the following paragraph; provided, however, that they are not precluded from being indicated in the sum total as a deduction for the total of current assets, tangible fixed assets, intangible fixed assets, investment and other assets, or deferred assets for the categories thereof .

(2)Allowances pertaining to the respective assets may be deducted directly from the amount of said respective assets and the outstanding amount of the deduction may be indicated as the amount of said respective assets.

Article 16-3(1)Accumulated depreciation for the respective tangible fixed assets shall be indicated as a deduction for said respective tangible fixed assets under the sub-item of accumulated depreciation excluding cases prescribed in the following paragraph; provided, however, that they are not precluded from being indicated in the sum total as a deduction for these tangible fixed assets.

(2)Accumulated depreciation for the respective tangible assets may be deducted directly from the amount of said respective tangible assets and the outstanding amount of the deduction and may be indicated as the amount of said respective tangible assets.

Article 16-4(1)Accumulated impairment loss for the respective tangible fixed assets shall be deducted directly from the amount of said respective tangible fixed assets (in the case where accumulated depreciation for tangible fixed assets is deducted directly from the amount of said tangible fixed assets pursuant to the provisions of paragraph (2) of the preceding Article, the amount after deduction) and the outstanding amount of the deduction shall be indicated as the amount of said respective tangible fixed assets, excluding cases prescribed in the following paragraph and paragraph (3).

(2)Accumulated impairment loss for the respective tangible fixed assets for which depreciation is carried out may be indicated as a deduction for said respective tangible fixed assets under the sub-item of accumulated impairment loss; provided, however, that they are not precluded from being indicated in the sum total as the deduction for those tangible fixed assets.

(3)In the case where accumulated depreciation and accumulated impairment loss are indicated as deductions pursuant to the provisions of paragraph (1) of the preceding Article and the preceding paragraph, the accumulated impairment loss may be added to the accumulated depreciation and be indicated under the sub-item of accumulated depreciation.

Article 16-5Accumulated depreciation and accumulated impairment loss for the respective intangible fixed assets shall be deducted directly from the amount of said respective intangible assets, and the outstanding amount of the deduction shall be indicated as the amount of said respective intangible fixed assets.

Article 16-6Shares or the contribution of Affiliated Companies shall be indicated separately under the sub-items of shares or contribution of Affiliated Companies.

Article 16-7(1)With regard to the amount of deferred tax assets belonging to current assets and the amount of deferred tax liabilities belonging to current liabilities, only the difference shall be indicated as deferred tax assets or deferred tax liabilities in current assets or current liabilities.

(2)With regard to the amount of deferred tax assets belonging to fixed assets and the amount of deferred tax liabilities belonging to fixed liabilities, only the difference shall be indicated as deferred tax assets or deferred tax liabilities in fixed assets or fixed liabilities.

Article 16-8Accumulated extinguishment for the respective deferred assets shall be deducted directly from the amount of said respective deferred assets and the outstanding amount of the deduction shall be indicated as the amount of said respective deferred assets.

Article 17A profit and loss statement shall, for the purpose of clarifying the status of the profit and loss of a Member Commodity Exchange, include or record the entire profit and loss in a single accounting period, and indicate them accurately to Members and any other interested party.

Article 18Deleted

Article 19(1)A profit and loss statement shall be broken down into income and expenditure, and this will in turn be subdivided with appropriate titles according to the characteristics of the income and the purposes of the expenditure.

(2)In the expenditure section as set forth in the preceding paragraph, the surplus or loss for the term shall be included or recorded.

Article 20A business report shall include or record the following matters and any other important matters concerning the businesses of a Member Commodity Exchange:

Article 21(1)A Member Commodity Exchange shall prepare accurate accounting books on a timely basis pursuant to the provisions of the following paragraph, and the following Article through Article 26.

(2)Accounting books shall be prepared in the form of a written document or an Electromagnetic Record.

Article 22(1)With regard to the assets, the acquisition cost thereof shall be recorded in accounting books, excluding the case where special provisions exist in laws and regulations other than this Ordinance or the Act.

(2)With regard to the assets to be extinguished, the relevant extinguishment shall be carried out as on the last day of a business year.

(3)With regard to the assets listed in the following items, the price specified in the respective items shall be recorded in the case where such price should be recorded as on the last day of a business year:

(4)With regard to claims that are likely to be uncollectible, the amount estimated as being uncollectible as on the last day of a business year shall be deducted.

(5)With regard to claims, an appropriate price may be recorded in the case where the acquisition cost thereof is different from the amount of claims or where there are other reasonable grounds.

(6)With regard to the following assets, current market price or appropriate price at the time may be recorded as on the last day of a business year:

Article 23(1)With regard to liabilities, the debt quota shall be recorded in accounting books, excluding the case where special provisions exist in laws and regulations other than this Ordinance or the Act.

(2)With regard to the following liabilities, the current market price or appropriate price at the time may be recorded as on the last day of a business year:

Article 24(1)With regard to the amount of the contribution of a Member Commodity Exchange, the amount which the Member Commodity Exchange determined to record in the amount of the contribution within the limits specified in the following items shall be added only in cases listed in said respective items in addition to what is specified in the provisions of Article 60-5 to Article 60-7 and Article 60-9 to Article 60-11:

(2)The amount specified in the following items shall be subtracted from the amount of the contribution of a Member Commodity Exchange only in cases listed in said respective items:

Article 25(1)With regard to the amount of the capital surplus of a Member Commodity Exchange, the amount specified in the following items shall be added only in cases listed in said respective items in addition to what is specified in the provisions of Article 60-5 to Article 60-7 and Article 60-9 to Article 60-11:

(2)The amount specified in the following items shall be subtracted from the amount of the capital surplus of a Member Commodity Exchange only in the cases listed in said respective items:

Article 26(1)With regard to the amount of the accumulated profit of a Member Commodity Exchange, the amount specified in the following items shall be added only in the cases listed in said respective items in addition to what is specified in the provisions of Article 60-5 to Article 60-7 and Article 60-9 to Article 60-11:

(2)The amount specified in the following items shall be subtracted from the amount of the accumulated profit of a Member Commodity Exchange only in the cases listed in said respective items; provided, however, that the amount equivalent to the book value of the property repaid by the repayment of the contribution shall not be deducted from the amount of the accumulated profit:

Article 26-2The method specified by an ordinance of the competent ministry set forth in Article 68-2, paragraph (2) of the Act shall be the method using an electronic data processing system to connect a computer used by a Member Commodity Exchange through a telecommunications line, which is for recording the information recorded in a file on said computer in a file on a computer used by the principal office or secondary office of the Member Commodity Exchange through a telecommunications line.

Article 26-3In the case where a Member Commodity Exchange gives public notice under the provisions of Article 68-3 of the Act, it shall clarify the amount of the net surplus or net loss for the term in said public notice.

Article 27When a Member Commodity Exchange seeks to receive approval for a merger under the provisions of Article 76, paragraph (1) of the Act, it shall attach the following documents to a written application for approval and submit them to the competent minister:

Article 27-2(1)An inventory of property to be prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act shall be specified by this Article.

(2)With regard to the property to be recorded in an inventory of property set forth in the preceding paragraph, the disposal price as on the day when the case has fallen under the cases set forth in the provisions of Article 475 (excluding item (i) and item (iii)) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act shall be recorded excluding the case where it is difficult to record the disposal price.In this case, with regard to the accounting books of a Member Commodity Exchange which is about to go into liquidation pursuant to the provisions of Article 475 (excluding item (i) and item (iii)) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act, the price recorded in the inventory of property shall be deemed to be the acquisition cost.

(3)An inventory of property set forth in paragraph (1) shall indicate the values by classifying them into the following sections.In this case, the parts listed in items (i) and (ii) may be broken down into sub-items with an appropriate title showing the contents:

Article 27-3(1)A balance sheet to be prepared pursuant to the provisions of Article 492, paragraph (1) of the Companies Act as applied mutatis mutandis pursuant to Article 77, paragraph (1) of the Act shall be specified by this Article.

(2)A balance sheet set forth in the preceding paragraph shall be prepared based on an inventory of property.

(3)A balance sheet set forth in paragraph (1) shall indicate the values by classifying them into the following parts.In this case, the parts listed in items (i) and (ii) may be broken down into sub-items with an appropriate title showing the contents:

(4)In the case where there are assets whose disposal price is difficult to record, a balance sheet set forth in paragraph (1) shall include a note to show the policy for property valuation pertaining to said assets.

Article 28(1)Documents specified by an ordinance of the competent ministry set forth in Article 79, paragraph (2) of the Act shall be as follows (in the case of a certification issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for a license):

(2)In the case where a stock company other than an Incorporated Commodity Exchange submits a written application for a license to become an Incorporated Commodity Exchange by changing its prior purpose pursuant to the provisions of Article 79, paragraph (1) of the Act, the documents specified by an ordinance of the competent ministry set forth in paragraph (2) of the same Article shall be those listed as follows, in addition to those listed in the respective items (excluding item (vi)) of the preceding paragraph:

Article 29Documents specified by an ordinance of the competent ministry set forth in Article 85, paragraph (2) of the Act shall be as follows (in the case of a certification issued by a public agency, limited to documents prepared within three months prior to the date of filing the application):

Article 30Voting rights specified by an ordinance of the competent ministry set forth in Article 86, paragraph (1) of the Act shall be the following voting rights:

Article 31Cases specified by an ordinance of the competent ministry set forth in Article 86, paragraph (2) of the Act shall be as follows:

Article 32(1)The matters specified by an ordinance of the competent ministry set forth in Article 87 of the Act shall be the total number of issued shares and the number of voting rights of all shareholders of said Incorporated Commodity Exchange.

(2)In the case where there is a change to the total number of issued shares or the number of voting rights of all shareholders by way of the conversion of the shares or the exercise of the rights to subscribe for new shares, the total number of issued shares and the number of voting rights of all shareholders may be deemed to be those as on the last day of the previous month.

(3)In the case where there is a change to the total number of issued shares of an Incorporated Commodity Exchange, the registered total number of issued shares shall be deemed to be the total number of issued shares set forth in paragraph (1) during the period until the registration thereof is completed.

(4)An Incorporated Commodity Exchange shall preserve documents, including the matters specified in paragraph (1), at its head office and make them available for public inspection during its business hours.

Article 33When an Incorporated Commodity Exchange seeks approval for a reduction of the capital amount under the provisions of Article 88, paragraph (1) of the Act, it shall attach the following documents to a written application for approval and submit them to the competent minister:

Article 34When an Incorporated Commodity Exchange intends to give notification of an increase of the capital amount under the provisions of Article 88, paragraph (2) of the Act, it shall attach the following documents to a written application for approval and submit them to the competent minister:

Article 35When an Incorporated Commodity Exchange seeks to receive approval for the resolution of a general meeting of shareholders with regard to the dissolution under the provisions of Article 96, paragraph (1) of the Act, it shall attach the following documents to a written application for approval and submit them to the competent minister:

Article 36The cases specified by an ordinance of the competent ministry set forth in the proviso of Article 96, paragraph (2) of the Act shall be the case where the merger set forth in Article 145, paragraph (1) of the Act is implemented.

Article 37When a Commodity Exchange determines the minimum amount of the net assets of Members who carry out transactions on the Commodity Market pursuant to the provisions of Article 99, paragraph (1) of the Act, it shall take into consideration transaction types, transaction units, transaction amounts, and other circumstances on said Commodity Market and the securing of the fair and smooth performance of transactions on the Commodity Market.

Article 38(1)When calculating the net assets pursuant to the provisions of Article 99, paragraph (7) of the Act (including cases where it is applied mutatis mutandis pursuant to Article 175, paragraph (3), Article 192, paragraph (3), Article 211, paragraph (4), Article 232, paragraph (4), and Article 294, paragraph (2), of the Act), the total amount to be recorded in the liabilities section (in the case where it is applied mutatis mutandis pursuant to Article 211, paragraph (4) of the Act, excluding the total amount of the liabilities listed in items (xviii) to (xx) inclusive, and in other cases, excluding the total amount of the liabilities listed in item (xviii)) shall be deducted from the total amount to be recorded in the assets section in a report concerning the net assets prepared according to Form No. 1 (in the case where it is applied mutatis mutandis pursuant to Article 211, paragraph (4) of the Act, excluding the total amount of the assets listed in items (i) to (xvii) inclusive, and in other cases, excluding the total amount of the assets listed in item (i) and item (v)):

(2)In the case of the preceding paragraph, the total amount of those listed in item (iv) and items (xviii) to (xx) inclusive of the same paragraph (with regard to those listed in item (xix) of the same paragraph, within the limit of the amount equivalent to 200 percent of the amount deducting the total of the amount listed in items (i) to (iii) inclusive and items (v) to (xvii) inclusive of the preceding paragraph from the Amount of Basic Items, and with regard to those listed in item (xx) of the same paragraph, within the limit of the amount equivalent to 50 percent of the Amount of Basic Items) shall not exceed the Amount of Basic Items.

(3)The amount of the assets and liabilities set forth in paragraph (1) shall be based on the value assessed according to generally accepted corporate accounting standards as on the day when the amount of the net assets is calculated.

(4)In the case of paragraph (1) (limited to the case where it is applied mutatis mutandis pursuant to Article 211, paragraph (4) of the Act), when liabilities include a guarantee obligation or guarantee booking (hereinafter referred to as a "Guarantee Obligation" in this paragraph), the amount equivalent to 25 percent of said Guarantee Obligation (in the case where debt guarantee loss allowances are recorded, the largest of the amounts equivalent to 25 percent of said respective Guarantee Obligations and debt guarantee loss allowances) shall be deemed as appraised value.

(5)The Short-Term Subordinated Claims prescribed in paragraph (1), item (vi) shall be Subordinated Loans (which means loans made by loan agreements with a special clause of subordinated contents with regard to the recovery of the interest and principal; the same shall apply in the following paragraph) or Subordinated Bonds (which means bonds payable with a special clause of subordinated contents with regard to the recovery of the interest and principal; the same shall apply in the following paragraph) which have all the following characteristics:

(6)The Long-Term Subordinated Claims prescribed in paragraph (1), item (xiii) shall be Subordinated Loans or Subordinated Bonds which have all the following characteristics:

(7)The Short-Term Subordinated Debts prescribed in paragraph (1), item (xix) shall be Subordinated Borrowings (which means debts incurred by loan agreements with a special clause of subordinated contents with regard to the payment of the interest and principal; the same shall apply hereinafter) or Subordinated Bonds (which means bonds payable with a special clause of subordinated contents with regard to the payment of the interest and principal; the same shall apply hereinafter) which have all the following characteristics:

(8)The Long-term Subordinated Debts prescribed in paragraph (1), item (xix) and item (xx) shall be Subordinated Borrowings or Subordinated Bonds which have all the following characteristics:

(9)With regard to Short-Term Subordinated Debts prescribed in paragraph (7) and Long-Term Subordinated Debts prescribed in the preceding paragraph, in the cases listed in the following items, the amount specified in said respective items shall be deducted from the amount of said Short-Term Subordinated Debts or Long-Term Subordinated Debts:

(10)When a Futures Commission Merchant intends to receive approval under paragraph (7), item (iii) or paragraph (8), item (iii), he/she shall submit a written application for approval including the following matters to the competent minister with a copy of contract or an equivalent document attached to it:

(11)When a competent minister intends to grant approval under paragraph (7), item (iii) or paragraph (8), item (iii), he/she shall confirm that said short-term subordinated debts or long-term subordinated debts have not improved the Net Assets Regulation Ratio temporarily and intentionally, and review whether they meet any of the following criteria:

Article 39(1)The allocation price of the Securities and warehouse receipt under Article 101, paragraph (3) or Article 103, paragraph (5) of the Act (including the case where it is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act) shall not exceed the maximum limit specified by a Commodity Exchange (in the case where Article 103, paragraph (5) of the Act is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act, a Commodity Clearing Organization) within the limit of 95 percent of the current market price with regard to national government bond certificates, 85 percent of the current market price with regard to local government bond certificates, bond certificates issued by a juridical person pursuant to special Acts, or fund certificates issued by the Bank of Japan, 70 percent of the current market price with regard to shares, corporate bond certificates, or beneficiary certificates, and 70 percent of the current market price of the Listed Commodities whose retention is proved by warehouse receipts with regard to warehouse receipts.

(2)After a Commodity Exchange (in the case where Article 103, paragraph (5) of the Act is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act, a Commodity Clearing Organization) has specified the maximum limit of the allocation price with regard to national government bond certificates, local government bond certificates, bond certificates issued by a juridical person pursuant to special Acts, fund certificates issued by the Bank of Japan, shares, corporate bond certificates, beneficiary certificates, or warehouse receipts, pursuant to the provisions of the preceding paragraph, if the current market price becomes lower than said maximum limit, the Commodity Exchange (in the case where Article 103, paragraph (5) of the Act is applied mutatis mutandis pursuant to Article 179, paragraph (6) of the Act, a Commodity Clearing Organization) shall change said maximum limit without delay, pursuant to the provisions of the preceding paragraph.

Article 40(1)When a Commodity Exchange receives the deposit of clearing margins from an Intermediary (which means an Intermediary prescribed in Article 103, paragraph (1), item (ii) of the Act; hereinafter the same shall apply in this Article through Article 43), a Customer (which means a Customer prescribed in the same item; hereinafter the same shall apply in this Article through Article 43), or an Intermediation Customer (which means an Intermediation Customer prescribed in item (iv) of the same paragraph; hereinafter the same shall apply in this Article through Article 43), pursuant to the provisions of Article 103, paragraph (1) of the Act, it shall receive the deposit of said clearing margins through an agent specified in the following items for the categories of cases set forth respectively in those items:

(2)When a Commodity Exchange receives the deposit of clearing margins from a Member, etc. or an Intermediary pursuant to the provisions of Article 103, paragraph (1) of the Act (excluding the case where a Member, etc. carries out transactions on a Commodity Market on a person's own account), it shall recognize that a person specified in the following items for the categories of cases set forth respectively in those items has the right to claim the return for said clearing margin (limited to within the amount of the customer margin or intermediation margin which the person specified in said respective items has deposited):

Article 41(1)When a Member, etc. has a Customer, an Intermediary, or an Intermediation Customer (hereinafter referred to as a "Customer, etc." in this Article) deposit a customer margin pursuant to the provisions of Article 103, paragraph (2) of the Act, he/she shall obtain written consent from said Customer, etc. to the effect that said customer margin will be deposited with him/her.

(2)When a Member, etc. has an Intermediation Customer deposit a customer margin pursuant to the provisions of Article 103, paragraph (2) of the Act, he/she shall receive the deposit of said customer margin through the Intermediary, as an agent, who brokers intermediation of the consignment of transactions on a Commodity Market from said Intermediation Customer.

(3)A Member, etc. may, in lieu of the written consent of a Customer, etc. under paragraph (1), obtain the consent of said Customer, etc. by a method using an Electronic Data Processing System or a method using other information communications technology which are listed as follows (hereinafter referred to as an "Electromagnetic Means" in this Article) by obtaining an acceptance from said Customer, etc., pursuant to the provisions of paragraph (6).In this case, said Member, etc. is deemed to have obtained the written consent of said Customer, etc.:

(4)The methods listed in the preceding items shall be the ones by which a Customer, etc. can prepare a written document by outputting the record from a file.

(5)An "Electronic Data Processing System" as set forth in paragraph (3) refers to an Electronic Data Processing System connecting a computer used by a Member, etc. and a computer used by a Customer, etc. through a telecommunications line.

(6)When a Member, etc. seeks to obtain consent from a Customer, etc. pursuant to the provisions of paragraph (3), he/she shall inform said Customer, etc. of the type and contents of the following Electromagnetic Means which he/she intends to use and gain acceptance in writing or by an Electromagnetic Means, in advance:

(7)A Member, etc. who has obtained acceptance pursuant to the provisions of the preceding paragraph shall not obtain consent by an Electromagnetic Means when said Customer, etc. has stated in writing or by an Electromagnetic Means that he/she would not give consent by an Electromagnetic Means; provided, however, that this shall not apply when said Customer, etc. has given his/her acceptance under the same paragraph at another time.

Article 42(1)When an Intermediary has an Intermediation Customer deposit an intermediation margin pursuant to the provisions of Article 103, paragraph (3) of the Act, he/she shall obtain written consent from said Intermediation Customer that said intermediation margin would be deposited with him/her.

(2)The provisions of paragraphs (3) to (7) inclusive of the preceding Article shall be applied mutatis mutandis to the written consent of an Intermediation Customer under the provisions of the preceding paragraph.

Article 43(1)When a Commodity Exchange manages a clearing margin based on the provisions of Article 103, paragraph (4) of the Act, it shall manage such clearing margin separately from its private property and property other than a clearing margin for each classification listed in the following items and for each Member, etc.:

(2)When a Commodity Exchange manages a clearing margin based on the provisions of Article 103, paragraph (4) of the Act, it shall manage said clearing margin in the methods listed as follows, excluding those managed based on the provisions of the following paragraph:

(3)When a Commodity Exchange manages Securities, etc. for Allocation (which means Securities and warehouse receipts allocated for clearing margins pursuant to the provisions of Article 103, paragraph (5) of the Act [hereinafter referred to as "Securities, etc."]; hereinafter the same shall apply in this Article) based on the provisions of paragraph (4) of the same Article, it shall manage said Securities, etc. for Allocation by the methods specified in the following items for the categories of Securities, etc. set forth respectively in those items:

Article 44(1)The financial institutions specified by an ordinance of the competent ministry set forth in Article 103, paragraph (7) of the Act (hereinafter referred to as a "Bank, etc." in this Article) shall be as follows:

(2)In the case where a Member, etc. or Intermediary (which means a Member, etc. or Intermediary prescribed in Article 103, paragraph (7) of the Act; hereinafter the same shall apply in this Article) seeks to conclude a contract set forth in Article 103, paragraph (7) of the Act with a Bank, etc., he/she shall ensure that the contents thereof meet the following requirements:

(3)When a Member, etc. or Intermediary seeks to receive approval pertaining to the conclusion of a contract (including a change to a contract) set forth in Article 103, paragraph (7) of the Act, he/she shall submit a written application for approval including the following matters to the competent minister:

(4)When the competent minister finds that the application for approval set forth in the preceding paragraph meets the following requirements, he/she shall grant the approval set forth in the same paragraph:

(5)When a Member, etc. or Intermediary has concluded a contract set forth in Article 103, paragraph (7) of the Act (including when making a change to said contract), he/she shall submit a copy of the contract to the competent minister and a Commodity Exchange.

(6)When a Member, etc. or Intermediary had canceled a contract set forth in Article 103, paragraph (7) of the Act, he/she shall submit a document stating the fact thereof to the competent minister and a Commodity Exchange.

Article 45The provisions of the preceding Article shall apply mutatis mutandis to the case where the provisions of Article 103, paragraph (7) of the Act are applied mutatis mutandis pursuant to Article 179, paragraph (7) of the Act.In this case, the term "Article 103, paragraph (9)" in paragraph (2), item (i) of the preceding Article shall be deemed to be replaced with "Article 103, paragraph (9) of the Act as applied mutatis mutandis pursuant to Article 179, paragraph (7)," the terms "a Member, etc. or Intermediary" and "a Commodity Exchange" in the same paragraph and paragraph (3), paragraph (5), and paragraph (6) of the same Article shall be deemed to be replaced with "a Member, etc. or an Intermediary, etc." and "a Commodity Clearing Organization," respectively.

Article 46The method specified by an ordinance of the competent ministry set forth in Article 110 of the Act (including the case where it is applied mutatis mutandis by replacing the terms pursuant to Article 180, paragraph (5) of the Act) shall be as follows:

Article 47(1)When a Commodity Exchange intends to give a notification and publish pursuant to the provisions of Article 111 of the Act, it shall notify and publish to its Members, etc. by the method specified in its market rules, for each transaction type on a Commodity Market, and type of Listed Commodities or Listed Commodity Indices.

(2)The amount of the consideration for which transactions were closed or the Contract Price, etc. on a Commodity Market where transactions are carried out by the method of buying-in and selling-out with a single amount of the consideration or Contract Price, etc. (which means the Contract Price, etc. prescribed in Article 111, item (ii) of the Act; the same shall apply hereinafter) shall be specified by an ordinance of the competent ministry set forth in Article 111, item (ii) of the Act. On a Commodity Market where transactions are carried out by the method of buying-in and selling-out with an individually determined amount of the consideration or Contract Price, etc., it shall be the first amount of the consideration of the day or the Contract Price, etc., the highest amount of the consideration or Contract Price, etc., the lowest amount of the consideration or Contract Price, etc., and the final amount of the consideration or Contract Price, etc. on said Commodity Market.

Article 48When a Commodity Exchange prepares quotation and transaction volume reports and submits them to the competent minister pursuant to the provisions of Article 112, paragraph (1) of the Act, it shall do so in accordance with the Appended Table 1, without delay.

Article 49(1)The amount specified by an ordinance of the competent ministry set forth in Article 112, paragraph (2) of the Act shall be the amount listed in column 3 of the Appended Table 2 corresponding to the Commodity Markets listed in column 2 of the same Table which are opened by Commodity Exchanges listed in column 1 of the same Table, for each said Commodity Market, and by buying and selling.

(2)The requirements specified by an ordinance of the competent ministry set forth in Article 112, paragraph (2) of the Act shall be that the transactions on the Commodity Market fall under any of the following items:

(3)When a Commodity Exchange reports pursuant to the provisions of Article 112, paragraph (2) of the Act, it shall submit a report including the matters listed in the following items:

Article 50(1)Pursuant to the provisions of Article 115 of the Act, a Member, etc. shall carry out separate accounting for transactions on a Commodity Market and other transactions by separating books and other business-related documents.

(2)A Member, etc. shall prepare books and other business-related documents specified in the Appended Table 3 for transactions on each Commodity Market separately.

(3)The preservation period of books and other business-related documents set forth in the preceding paragraph shall be 10 years.

Article 51When the contents of books and other business-related documents set forth in paragraph (2) of the preceding Article are recorded by an Electromagnetic Means (which means a method such as an electronic method or a magnetic method that cannot be recognized by human perception; the same shall apply in Article 114), and said record is preserved so as to be displayed promptly on a computer or through other equipment as needed, said preservation of record may substitute for the preservation of books and other business-related documents set forth in paragraph (3) of the preceding Article.In this case, a Member, etc. shall take the necessary measures for preventing the loss of and damage to said record.

Article 52When a Commodity Exchange has carried out mediation pursuant to the provisions of Article 120, paragraph (1) of the Act, it shall prepare a report of the conditions of said mediation arrangement as of the end of every month and submit it to the competent minister by 10th day of the month following that pertaining to said report.

Article 53Deleted

Article 54The matters specified by an ordinance of the competent ministry set forth in Article 123, paragraph (1) of the Act shall be as follows:

Article 55The matters specified by an ordinance of the competent ministry set forth in Article 125, paragraph (1) of the Act shall be as follows:

Article 55-2With regard to the interpretation of the terms set forth in the following Article through Article 55-5 and the application of the provisions thereunder, generally accepted corporate accounting standards and other accounting practices shall be taken into consideration.

Article 55-3The amount that should be included in the stated capital of an Incorporated Commodity Exchange after Entity Conversion specified by an ordinance of the competent ministry set forth in Article 127 of the Act shall be the amount of the contribution of a Member Commodity Exchange immediately prior to the entity conversion.

Article 55-4The matters necessary for the accounting at the time of entity conversion specified by an ordinance of the competent ministry set forth in Article 128 of the Act shall be specified in the following Article.

Article 55-5(1)In the case where a Member Commodity Exchange implements entity conversion, it may not change the book value of its assets and liabilities on the grounds of implementing said entity conversion.

(2)In the case where a Member Commodity Exchange implements entity conversion, the amount of an Incorporated Commodity Exchange after Entity Conversion listed in the following items shall be the amount specified in said respective items:

Article 55-6The matters specified by an ordinance of the competent ministry set forth in Article 130, paragraph (1), item (iv) of the Act shall be as follows:

Article 55-7A magnetic disk with a structure falling under any of the items of Article 36, paragraph (1) of the Ordinance for Commercial Registration (Ordinance of the Ministry of Justice No. 23 of 1964) (limited to Electromagnetic Records) and an Electromagnetic Record specified by a receiver thereof pursuant to the provisions of the same paragraph shall be the documents or Electromagnetic Records specified by an ordinance of the competent ministry set forth in Article 207, paragraph (4) of the Companies Act as applied mutatis mutandis by replacing the terms pursuant to Article 131-6 of the Act.

Article 55-8The method specified by an ordinance of the competent ministry set forth in Article 207, paragraph (6) of the Companies Act as applied mutatis mutandis by replacing the terms pursuant to Article 131-6 of the Act shall be an Electromagnetic Means specified by a receiver of the matters recorded in an Electromagnetic Record set forth in the same paragraph, pursuant to the provisions of the same paragraph.

Article 55-9The method specified by an ordinance of the competent ministry set forth in Article 207, paragraph (9), item (iii) of the Companies Act as applied mutatis mutandis by replacing the terms pursuant to Article 131-6 of the Act shall be the method deemed to be the higher of the following amounts as the price of Securities prescribed in the same item:

Article 55-10The person specified by an ordinance of the competent ministry set forth in Article 213, paragraph (1), item (ii) of the Companies Act as applied mutatis mutandis by replacing the terms pursuant to Article 131-6 of the Act shall be as follows:

Article 56The documents specified by an ordinance of the competent ministry set forth in Article 132, paragraph (3) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing the application):

Article 56-2The matters specified by an ordinance of the competent ministry set forth in Article 140, item (iii) of the Act shall be as follows:

Article 57The matters specified by an ordinance of the competent ministry set forth in Article 141, item (v) of the Act shall be as follows:

Article 58The matters specified by an ordinance of the competent ministry set forth in Article 144, paragraph (1) of the Act shall be as follows, in the case where a Member Commodity Exchange Surviving an Absorption-Type Merger is a Member Commodity Exchange:

Article 59The matters specified by an ordinance of the competent ministry set forth in Article 144, paragraph (1) of the Act shall be as follows in the case where a Member Commodity Exchange Dissolved in an Absorption-Type Merger is an Incorporated Commodity Exchange:

Article 59-2The matters specified by an ordinance of the competent ministry set forth in Article 144-2 paragraph (1) of the Act shall be as follows:

Article 59-3The matters specified by an ordinance of the competent ministry set forth in Article 144-2, paragraph (4) of the Act shall be as follows:

Article 59-4The matters specified by an ordinance of the competent ministry set forth in Article 144-3, paragraph (1) of the Act shall be as follows in the case where a Member Commodity Exchange Established by a Consolidation-Type Merger is a Member Commodity Exchange:

Article 59-5The matters specified by an ordinance of the competent ministry set forth in Article 144-3, paragraph (1) of the Act shall be as follows in the case where a Member Commodity Exchange Established by a Consolidation-Type Merger is an Incorporated Commodity Exchange:

Article 59-6The matters specified by an ordinance of the competent ministry set forth in Article 144-4, paragraph (3) of the Act shall be as follows:

Article 59-7The matters specified by an ordinance of the competent ministry set forth in Article 144-4, paragraph (4) of the Act shall be the matters recorded in a written or Electromagnetic Record which the Member Commodity Exchange Dissolved in a Consolidation-Type Merger filed pursuant to the provisions of Article 144-3, paragraph (1) of the Act (excluding the contents of the Consolidation-Type Merger contract).

Article 59-8The matters specified by an ordinance of the competent ministry set forth in Article 144-5, paragraph (1) of the Act shall be as follows:

Article 59-9(1)The amount specified by an ordinance of the competent ministry as the amount of the liabilities prescribed in Article 144-6, paragraph (2), item (i) of the Act shall be the amount obtained by subtracting the amount listed in item (ii) from the amount listed in item (i):

(2)The amount specified by an ordinance of the competent ministry as the amount of the assets prescribed in Article 144-6, paragraph (2), item (i) of the Act shall be the amount obtained by subtracting the amount listed in item (ii) from the amount listed in item (i):

Article 59-10The method specified by an ordinance of the competent ministry set forth in Article 144-7, paragraph (1), item (ii) of the Act shall be the method in which the amount of the net assets of the Member Commodity Exchange Surviving an Absorption-Type Merger is deemed to be the amount obtained by subtracting the amount listed in item (vii) from the total of the amounts listed in items (i) to (vi) inclusive as on the Calculation Date (which means the Absorption-Type Merger contract day [in the case where the calculation date which is different from the Absorption-Type Merger contract day is specified (limited to during the period between said Absorption-Type Merger contract day and the day when the Absorption-Type Merger came into effect) by said contract, said date]) (in the case where said obtained amount is less than five million yen, the amount shall be five million yen):

Article 59-11The number specified by an ordinance of the competent ministry set forth in Article 144-7, paragraph (2) of the Act shall be the smallest number among those listed as follows:

Article 59-12The matters specified by an ordinance of the competent ministry set forth in Article 144-10, paragraph (2), item (iii) of the Act shall be those specified in the following items for the categories of cases set forth respectively in those items as on the earlier day between the day of the public notice set forth in the same paragraph and the day of the notice set forth in the same paragraph:

Article 59-13The matters specified by an ordinance of the competent ministry set forth in Article 144-11, paragraph (1) of the Act shall be as follows:

Article 59-14The matters specified by an ordinance of the competent ministry set forth in Article 144-12, paragraph (1) of the Act shall be as follows:

Article 59-15The matters specified by an ordinance of the competent ministry set forth in Article 144-19, paragraph (1) of the Act shall be as follows:

Article 59-16The matters specified by an ordinance of the competent ministry set forth in Article 144-19, paragraph (2) of the Act shall be the matters recorded in a written or Electromagnetic Record which the Commodity Exchange Dissolved in a Consolidation-Type Merger filed pursuant to the provisions of Article 144-3, paragraph (1) and Article 144-12, paragraph (1) of the Act (excluding the contents of the Consolidation-Type Merger contract).

Article 60The documents specified by an ordinance of the competent ministry set forth in Article 145, paragraph (3) of the Act shall be as listed in the following (in case of documents certified by a public agency, limited to documents prepared within three months prior to the date of filing the application):

Article 60-2The method specified by an ordinance of the competent ministry set forth in Article 234, paragraph (2) of the Companies Act as applied mutatis mutandis by replacing the terms pursuant to Article 150 of the Act shall be the method of deciding the price of shares prescribed in Article 234, paragraph (2) of the Companies Act, as applied mutatis mutandis by replacing the terms pursuant to Article 150 of the Act using the prices specified in the following items for the categories of cases set forth respectively in those items:

Article 60-3The necessary matters concerning the accounting at the time of a merger specified by an ordinance of the competent ministry set forth in Article 154, paragraph (2) of the Act shall be specified in the provisions of the following Article through Article 60-12.

Article 60-4With regard to the interpretation of terms set forth in the following Article through Article 60-12 and the application of such provisions, generally accepted corporate accounting standards and other accounting practices shall be taken into consideration.

Article 60-5(1)In the case where all or part of the property delivered to Members of a Commodity Exchange Dissolved in an Absorption-Type Merger by the Member Commodity Exchange Surviving an Absorption-Type Merger (hereinafter referred to as the "Consideration of an Absorption-Type Merger") at the time of an Absorption-Type Merger (which means an Absorption-Type Merger prescribed in Article 140 of the Act; the same shall apply hereinafter through Article 60-7) is the contribution of the Member Commodity Exchange Surviving an Absorption-Type Merger (excluding cases where the provisions of the following Article are applied), the amount set forth in the following items of the Member Commodity Exchange Surviving an Absorption-Type Merger shall be the amounts specified in said respective items:

(2)The term "Amount of Change in Members' Capital in an Absorption-Type Merger" as used in the preceding paragraph shall be the amounts specified in the following items for the categories of cases set forth respectively in those items:

Article 60-6(1)In cases where it is appropriate to calculate the contributions, membership fees, capital surplus, statutory capital, and accumulated profit of the Member Commodity Exchange Surviving an Absorption-Type Merger as those succeeding to the contributions, membership fees, capital surplus, statutory capital and accumulated profit, respectively, of the Member Commodity Exchange Dissolved in an Absorption-Type Merger immediately prior to the Absorption-Type Merger, the amount set forth in the following items of the Member Commodity Exchange Surviving an Absorption-Type Merger subsequent to the Absorption-Type Merger shall be the amount specified in such items, respectively:

(2)The phrase "cases where it is appropriate to calculate the contributions, membership fees, capital surplus, statutory capital, and accumulated profit of the Member Commodity Exchange Surviving an Absorption-Type Merger as those succeeding to the contributions, membership fees, capital surplus, statutory capital and accumulated profit, respectively, of the Member Commodity Exchange Dissolved in an Absorption-Type Merger immediately prior to the Absorption-Type Merger" as used in the preceding paragraph means cases that fall under all of the following items:

Article 60-7Deleted.

Article 60-8With regard to the application of the provisions of Part II, Chapter II, Section 2, Subsection 1 and Subsection 2; and Chapter III, Section 4, Subsection 1 of the Ordinance on Accounting of Companies in the case of an Absorption-Type Merger of a Member Commodity Exchange and an Incorporated Commodity Exchange, the phrase, "stated capital, capital surplus, and accumulated profit immediately prior to an Absorption-Type Merger" in Article 59 of the same Ordinance shall be deemed to be replaced with, "contributions, membership fees, capital surplus, statutory capital, and accumulated profit immediately prior to an Absorption-Type Merger"; the phrase, "amount of stated capital" shall be replaced with, "amount of contributions"; the phrase, "amount of capital reserve" shall be replaced with, "amount of membership fees"; the phrase, "other amount of capital surplus" shall be deemed to be replaced with, "amount of capital surplus"; the phrase, "amount of earned reserve" shall be deemed to be replaced with "amount of statutory capital"; and the phrase, "amount of other accumulated profits" shall be replaced with, "amount of accumulated profit," respectively.

Article 60-9(1)In the case where the acquisition costs of the entire property that a Member Commodity Exchange Established by a Consolidation-Type Merger acquired by succession as the result of a Consolidation-Type Merger (which refers to a Consolidation-Type Merger prescribed in Article 141 of the Act; the same shall apply hereinafter until Article 60-11) (hereinafter referred to as the "Property subject to a Consolidation-Type Merger") (excluding the property of a Member Commodity Exchange acquired through a Consolidation-Type Merger [which means a single Member Commodity Exchange in the case where the book value immediately prior to a Consolidation-Type Merger for the property held by such single Member Commodity Exchange should be used as the book value of the Member Commodity Exchange Established by a Consolidation-Type Merger for said property; the same shall apply hereinafter]; hereinafter the same shall apply in this Article), the acquisition costs of such property are to be measured by a method calculating the current market value of the Consideration of the Consolidation-Type Merger (which means property delivered to Members of a Member Commodity Exchanges Dissolved in a Consolidation-Type Merger by the Member Commodity Exchange Established by a Consolidation-Type Merger at the time of the Consolidation-Type Merger; hereinafter the same shall apply in this Article) and other current market values of said Property subject to a Consolidation-Type Merger, the amounts set forth in the following items for the Member Commodity Exchange Established by a Consolidation-Type Merger shall be the amounts set forth in said respective items; provided, however, that this shall not apply if it is determined that such amounts are to be prescribed pursuant to the provisions of the following paragraph by the Consolidation-Type Merger contract:

(2)In the case prescribed in the proviso of the preceding paragraph, the amounts listed in the following items of a Member Commodity Exchange Established by a Consolidation-Type Merger shall be the amounts set forth in the following items:

Article 60-10(1)In cases where it is appropriate to calculate the contributions, membership fees, capital surplus, statutory capital, and accumulated profit of the Member Commodity Exchange Established by a Consolidation-Type Merger as those succeeding to the contributions, membership fees, capital surplus, statutory capital, and accumulated profit of all Member Commodity Exchanges Dissolved in a Consolidation-Type Merger immediately prior to the Consolidation-Type Merger, the amounts set forth in the following items of the Member Commodity Exchange Established by a Consolidation-Type Merger shall be the amounts specified in such items, respectively:

(2)The phrase "cases where it is appropriate to calculate the contributions, membership fees, capital surplus, statutory capital, and accumulated profit of the Member Commodity Exchange Established by a Consolidation-Type Merger as those succeeding to the contributions, membership fees, capital surplus, statutory capital, and accumulated profit of all Member Commodity Exchanges Dissolved in a Consolidation-Type Merger immediately prior to the Consolidation-Type Merger" as used in the preceding paragraph means cases that fall under all of the following items:

Article 60-11When it is not possible or it is inappropriate to calculate the Members' capital by applying the provisions of Article 69-9, the amounts set forth in the following items of a Member Commodity Exchange Established by a Consolidation-Type Merger shall be the amounts specified in such items, respectively; provided, however, that this shall not apply when applying the provisions of the preceding Article:

Article 60-12With regard to the application of the provisions of Part II, Chapter II, Section 2, Subsection 1 and Subsection 5, and Chapter III, Section 6, Subsection 2 of the Ordinance on Accounting of Companies for the case of a Consolidation-Type Merger of a Member Commodity Exchange and an Incorporated Commodity Exchange, the phrase, "amount of stated capital immediately prior to" shall be deemed to be replaced with, "contribution or amount of stated capital immediately prior to"; the term, "capital reserve immediately prior to" shall be deemed to be replaced with, "membership fee or capital reserve immediately prior to"; the phrase, "other Capital Surplus immediately prior to" shall be deemed to be replaced with, "Capital Surplus and other Capital Surplus immediately prior to"; the phrase, "earned reserve immediately prior to" shall be deemed to be replaced with "statutory capital or earned reserve immediately prior to"; the phrase, "other accumulated profit immediately prior to" shall be deemed to be replaced with, "accumulated profit or other accumulated profit immediately prior to"; the phrase, "amount of stated capital" in Article 77 of the same Ordinance shall be deemed to be replaced with, "amount of contributions or stated capital"; the phrase, "stated capital, Capital Surplus, and accumulated profit immediately prior to" in Article 78 shall be deemed to be replaced with, "contributions, stated capital, membership fees, Capital Surplus, statutory capital, and accumulated profit immediately prior to"; the phrase, "amount of stated capital" shall be deemed to be replaced with, "amount of contributions or stated capital"; the phrase, "amount of capital reserve" shall be deemed to be replaced with, "amount of membership fees or capital reserve"; the phrase, "amount of other Capital Surplus" shall be deemed to be replaced with, "amount of Capital Surplus or other Capital Surplus"; and the phrase, "amount of earned reserve" shall be deemed to be replaced with, "amount of statutory capital or earned reserve", and the phrase, "amount of other accumulated profit" shall be deemed to be replaced with "amount of accumulated profit or other accumulated profit," respectively.

Article 61The documents specified by an ordinance of the competent ministry set forth in Article 155, paragraph (2) of the Act shall be those specified in the following items for the categories of cases set forth respectively in those items:

Article 62The documents specified by an ordinance of the competent ministry set forth in Article 156, paragraph (2) of the Act shall be as follows:

Article 63The identification that inspection officials shall carry pursuant to the provisions of Article 157, paragraph (3) of the Act shall be prepared according to Form No. 2.

Article 64The requirements specified by an ordinance of the competent ministry set forth in Article 166, paragraph (1) of the Act shall be to fall under all of the following items; provided, however, that this shall not apply to a case where the competent minister has granted approval:

Article 65The matters specified by an ordinance of the competent ministry set forth in Article 166, paragraph (3) of the Act shall be as follows:

Article 66The documents specified by an ordinance of the competent ministry set forth in Article 168, paragraph (2) of the Act shall be as follows (in the case of a certification issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for a license):

Article 67(1)When a Commodity Clearing Organization intends to receive approval pursuant to the provisions of Article 170, paragraph (1) of the Act, a written application for approval that states the following matters shall be submitted to the competent minister:

(2)The following documents shall be attached to the written application for approval specified in the preceding paragraph:

Article 68In the case of submitting a notification pursuant to the provisions of Article 170, paragraph (2) of the Act, a Commodity Clearing Organization shall submit a written notification stating the following matters:

Article 69(1)In the case of submitting a notification pursuant to the provisions of Article 171 of the Act, a Commodity Clearing Organization shall submit a written notification stating the following matters:

(2)The written notification prescribed in the preceding paragraph shall attach the documents specified in the following items for the categories set forth respectively in those items:

Article 70The documents specified by an ordinance of the competent ministry set forth in Article 173, paragraph (3) of the Act shall be as follows:

Article 71The matters specified by an ordinance of the competent ministry set forth in Article 175, paragraph (2), item (vi) of the Act shall be as follows:

Article 72(1)When receiving a deposit of clearing margins, based on the provisions of Article 179, paragraph (1) of the Act, from an Intermediary (which means an Intermediary prescribed in item (i), (b) of the same paragraph; hereinafter the same shall apply in this Article and the following Article), a Customer (which means a Customer prescribed in (b) of the same item; hereinafter the same shall apply in this Article and the following Article), an Intermediation Customer (which means an Intermediation Customer prescribed in (d) of the same item; hereinafter the same shall apply in this Article and the following Article), a Clearing Intermediary (which means a Clearing Intermediary prescribed in item (ii), (b) of the same paragraph; hereinafter the same shall apply in this Article and the following Article), a Clearing Intermediation Customer (which means a Clearing Intermediation Customer prescribed in (b) of the same item; hereinafter the same shall apply in this Article and the following Article), or a Customer of the Clearing Intermediary (which means a Customer of the Clearing Intermediary prescribed in (d) of the same item; hereinafter the same shall apply in this Article and the following Article), a Commodity Clearing Organization shall designate the person specified in the following items, respectively, as an agent, and receive the deposit of said clearing margin, for the categories of cases set forth respectively in those items:

(2)When receiving a deposit of clearing margins, based on the provisions of Article 179, paragraph (1) of the Act, from a Member, etc., an Intermediary, or a Clearing Intermediary (excluding cases where a Member, etc. carries out the transaction on the Commodity Market on his or her own account and where a Clearing Participant carries out the Commodity Clearing transaction on the account of the Member, etc. who consigned such transaction), a Commodity Clearing Organization shall consent to a person prescribed in the following items, respectively, holding a right to claim a return against said clearing margins (limited to within the scope of the amount of customer margins, intermediation margins, or clearing intermediation margins deposited by the person specified in said respective items) for the categories of cases set forth respectively in those items:

Article 73(1)When a Member, etc. requests a Customer, an Intermediary or an Intermediation Customer, or a Clearing Intermediation Customer, a Clearing Intermediary, or a Customer of the Clearing Intermediary (hereinafter referred to as a "Customer, etc." in this Article) to deposit a customer margin, a written consent for depositing said customer margin with the Member, etc. shall be obtained by the Member, etc. from said Customer, etc., pursuant to the provisions of Article 179, paragraph (2) of the Act.

(2)A Member, etc. shall receive a deposit of a customer margin pursuant to the provisions of Article 179, paragraph (2) of the Act by appointing, as an agent, the Intermediary who brokers intermediation of the consignment of transactions on a Commodity Market from an Intermediation Customer when requesting said Intermediation Customer to deposit said customer margin; and by appointing, as an agent, the Clearing Intermediary who brokers intermediation of the consignment for intermediation of the consignment of Commodity Clearing Transactions from a Customer of the Clearing Intermediary when requesting said Customer of the Clearing Intermediary to deposit said customer margin pursuant to the provisions of the same paragraph.

(3)When requesting an Intermediation Customer to deposit an intermediation margin, an Intermediary shall obtain written consent for depositing said intermediation margin with the Intermediary from said Intermediation Customer pursuant to the provisions of Article 179, paragraph (3) of the Act.

(4)When requesting a Customer of the Clearing Intermediary to deposit a clearing intermediation margin, a Clearing Intermediary shall obtain written consent for depositing said clearing intermediation margin with the Clearing Intermediary from said Customer of the Clearing Intermediary pursuant to the provisions of Article 179, paragraph (4) of the Act.

(5)The provisions of Article 41, paragraph (3) through paragraph (7) shall apply mutatis mutandis to the written consent of a Customer, etc., an Intermediation Customer and a Customer of the Clearing Intermediary prescribed in paragraph (1) and the preceding two paragraphs.

Article 74(1)When a Commodity Clearing Organization manages clearing margins based on the provisions of Article 103, paragraph (4) of the Act, as applied mutatis mutandis pursuant to Article 179, paragraph (5) of the Act, the clearing margins shall be managed separately from its own property and property other than that of the clearing margins, by the categories set forth in the following items, respectively, and by each Member, etc.:

(2)When managing clearing margins based on the provisions of Article 103, paragraph (4) of the Act, as applied mutatis mutandis pursuant to Article 179, paragraph (5) of the Act, excluding those clearing margins managed based on the provisions of the following paragraph, a Commodity Clearing Organization shall manage said clearing margins by the following methods:

(3)When managing Securities, etc. for Allocation (which means the securities and warehouse receipts [hereinafter referred to as the "Securities, etc." in this Article] which are allocated to clearing margins pursuant to the provisions of Article 103, paragraph (5) of the Act, as applied mutatis mutandis pursuant to Article 179, paragraph (6); hereinafter the same shall apply in this Article) based on the provisions of Article 103, paragraph (4) of the Act, as applied mutatis mutandis pursuant to Article 179, paragraph (5) of the Act, a Commodity Clearing Organization shall manage said Securities, etc. for Allocation, by the methods specified in the following items for the categories of Securities, etc., set forth respectively in those items:

Article 75(1)When seeking to obtain approval pursuant to the provisions of Article 182 of the Act, a Commodity Clearing Organization shall submit a written application for approval stating the following matters to the competent minister:

(2)The written application for approval set forth in the preceding paragraph shall have the following documents attached:

Article 76When an application based on the provisions of Article 182 of the Act is filed, the competent minister shall examine whether the application conforms to laws and regulations, and is sufficient for operating the business appropriately and steadily.

Article 77When seeking to obtain approval for the abolishment of the Business of Assuming Commodity Transaction Debts or a resolution of dissolution prescribed in the provisions of Article 183 of the Act, a Commodity Clearing Organization shall attach the following documents to a written application for approval and submit them to the competent minister:

Article 78The identification that inspection officials shall carry out pursuant to the provisions of Article 157, paragraph (3) of the Act, as applied mutatis mutandis pursuant to Article 184, paragraph (2) of the Act shall be prepared according to Form No. 3.

Article 79The matters specified by an ordinance of the competent ministry set forth in Article 192, paragraph (1), item (v) of the Act shall be as follows:

Article 80(1)The documents specified by an ordinance of the competent ministry set forth in Article 192, paragraph (2) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for a license) excluding the case specified in the following paragraph:

(2)In the case where obtaining a renewal of the license prescribed in Article 190, paragraph (2) of the Act, in addition to those listed in the preceding paragraph, the documents specified by an ordinance of the competent ministry set forth in Article 190, paragraph (2) shall be as follows:

Article 81The amount specified by an ordinance of the competent ministry set forth in Article 193, paragraph (2) of the Act shall be 100 million yen.

Article 82(1)Cases specified by an ordinance of the competent ministry set forth in Article 195, paragraph (1), item (iv) of the Act shall be the following:

(2)The documents specified by an ordinance of the competent ministry set forth in Article 195, paragraph (2) of the Act shall be those specified in the following items for the categories of cases set forth respectively in those items (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the notification):

Article 83(1)When submitting a notification of operating subsidiary business pursuant to the provisions of Article 196, paragraph (1) of the Act, a Futures Commission Merchant shall submit a written notification prepared according to Form No. 11 and pertaining to the outline of said subsidiary business no later than 20 days prior to the commencement date of said subsidiary business.

(2)When a Futures Commission Merchant who submitted a notification in the preceding paragraph intends to change the content of said subsidiary business, he/she shall submit a notification in advance which states the matters set forth in the following items, respectively, and when abolishing said subsidiary business, he/she shall file the same documents without delay after said abolishment:

(3)The written notifications set forth in the following items shall include as attachments the documents specified in the following items, respectively:

Article 84The relationship specified by an ordinance of the competent ministry set forth in Article 196, paragraph (2) of the Act shall be as set forth in the following items:

Article 85(1)When a Futures Commission Merchant provides notification that a Merchant has obtained a controlling interest in another juridical person pursuant to the provisions of Article 196, paragraph (2) of the Act, a written notification shall be prepared according to Form No. 12 and pertaining to the description of a Juridical Person with Controlling Interest.

(2)A written notification prescribed in the preceding paragraph shall include as attachments the articles of incorporation of said Juridical Person with Controlling Interest (in the case of a foreign juridical person, a document equivalent to articles of incorporation), a certificate of the registered matters, and the Financial Statements, etc. of the preceding business year.

Article 86(1)When a matter to be stated in a written notification prescribed in paragraph (1) of the preceding Article has changed or the controlling interest has been extinguished, a Futures Commission Merchant who submitted the notification prescribed in the same Article shall submit a written notification stating the matters set forth in the following items, respectively:

(2)A written notification prescribed in the preceding paragraph shall include as attachments the minutes of board of directors' meetings or another document certifying that the necessary procedures have been followed.

Article 87The business specified by an ordinance of the competent ministry set forth in Article 196, paragraph (3) of the Act (hereinafter referred to as a "Specified Business") shall be as follows:

Article 88(1)When a Futures Commission Merchant provides a notification of a Specified Business pursuant to the provisions of Article 196, paragraph (3) of the Act, a written notification prepared according to Form No. 13 and pertaining to the outline of the Specified Business shall also be submitted pursuant to the provisions of paragraph (1) or paragraph (2) of the same Article.

(2)In the case of changing the matters to be recorded in a written notification prescribed in the preceding paragraph, the Futures Commission Merchant who submitted the written notification prescribed in the same paragraph shall submit a written notification stating the matters set forth in the following items, respectively, in advance, when the Specified Business pertaining to said change is subject to the business of said Futures Commission Merchant, and submit the written notification without delay when the Specified Business falls under the catgegory of business of a Juridical Person with Controlling Interest:

Article 89A person who provides a notification pursuant to the provisions of Article 197, paragraph (1) of the Act, shall submit to the competent minister a written notification stating the matters specified in the center column of the following table and attach the documents specified in the right column of the same table, by the category set forth in the left column of the same table.

Article 90(1)A public notice pursuant to the provisions of Article 197, paragraph (3) of the Act shall be published by an official gazette or in a daily newspaper which publishes matters of current events, or through an Electronic Public Notice.

(2)In the case where a Futures Commission Merchant provides a public notice via an Electronic Public Notice prescribed in the preceding paragraph, the public notice shall be continuously published via the Electronic Public Notice until the date on which one month has elapsed from the commencement date of said public notice.

(3)A public notice pursuant to the provisions of Article 197, paragraph (3) of the Act and a display at the business office of the Futures Commission Merchant shall indicate the method of completion of transactions on a Commodity Market on customer's accounts as prescribed in paragraph (5) of the same Article, and the method of returning property deposited by customers with regard to Commodity Transactions Brokerage Business and property which is held by said Futures Commission Merchant on customer's accounts.

(4)In the case of submitting a notification pursuant to the provisions of Article 197, paragraph (4) of the Act, the written notification shall include the matters set forth in the following:

(5)A written notification prescribed in the preceding paragraph shall include as an attachment a document stating the method as prescribed in paragraph (3).

Article 91The sign prescribed in Article 198, paragraph (1) of the Act shall be prepared according to Form No. 14.

Article 92(1)The documents specified by an ordinance of the competent ministry set forth in Article 200, paragraph (4) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing for registration) excluding the case specified in the following paragraph:

(2)In the case where obtaining a renewal of approval for registration prescribed in Article 200, paragraph (7) of the Act, the documents specified by an ordinance of the competent ministry set forth in paragraph (4) of the same Article shall be as follows:

Article 93The matters specified by an ordinance of the competent ministry set forth in Article 200, paragraph (5) of the Act shall be as follows:

Article 94Pursuant to the provisions of Article 206, paragraph (1) of the Act, the Association shall carry out the affairs pertaining to registration set forth in the following items, respectively, and the affairs pertaining to Association Members assigned to said Association:

Article 95When intending to submit a notification pursuant to the provisions of Article 206, paragraph (4) of the Act, the Association shall submit to the competent minister the documents stating the matters set forth in the following items, respectively:

Article 96When paying registration fees by cash pursuant to the provisions of the proviso of Article 10, paragraph (2) of the Order, the registration fees shall be paid by complying with the payment information obtained by filing such registration.

Article 97(1)The items specified by an ordinance of the competent ministry set forth in Article 210 of the Act shall be the cash and Securities equivalent to the total amount of the value set forth in the following items (including a warehouse receipt; hereinafter the same shall apply in this Article, paragraph (1) and paragraph (4) of the following Article, and Article 138, paragraph (3)):

(2)In the case of the preceding paragraph, the value of the Securities shall be based on the then current market value.

Article 98(1)Measures specified by an ordinance of the competent ministry set forth in Article 210 of the Act (hereinafter referred to as "Measures for Customer Assets Preservation") shall be as follows:

(2)A Futures Commission Merchant shall submit a copy of the contract to the competent minister without delay when concluded or after changing the contract as set forth in the respective items of the preceding paragraph; provided, however, that in the case of changing a Trust Contract, a certificate of the deposit balance issued by the trust company concluding said contract or a Financial Institution Engaged in Trust Business shall be attached.

(3)When a Futures Commission Merchant intends to rescind a contract set forth in the respective items of paragraph (1), a notification of such fact shall be provided to the competent minister 30 days prior to such action.

(4)With regard to transactions on a Commodity Market, a Futures Commission Merchant shall not deposit as collateral, loan, nor dispose of Securities deposited by a customer or Securities on a customer's account contrary to the purpose of the consignment; provided, however, that this shall not apply in cases of depositing with a Consumer Protection Fund, depositing as collateral, or entrusting assets to the following financial institutions, after obtaining the consent of the customer:

Article 99The amount calculated pursuant to an ordinance of the competent ministry set forth in Article 211, paragraph (1) of the Act shall be the sum total of the amounts obtained pursuant to the provisions in the Appended Table 4.

Article 100(1)The cases specified by an ordinance of the competent ministry set forth in Article 211, paragraph (1) of the Act shall be the cases as set forth in the following:

(2)A Futures Commission Merchant shall submit to the competent minister a written notification for each month-end prepared using Form No. 15 and pertaining to the Net Assets Regulation Ratio by the 20th day of the month following the subject month based on the provisions of Article 211, paragraph (1) of the Act.

(3)A Futures Commission Merchant who has fallen under paragraph (1), item (i) shall immediately notify the competent minister of such fact, prepare a written notification according to Form No. 15 on every business day pertaining to the Net Assets Regulation Ratio, and submit the notification to the competent minister without delay based on the provisions of Article 211, paragraph (1) of the Act.

(4)The written notification specified in the preceding paragraph shall attach the documents specified in the following items for the categories of cases set forth respectively in those items:

(5)A Futures Commission Merchant, who has fallen under paragraph (1), item (ii) shall notify the competent minister of such fact without delay based on the provisions of Article 211, paragraph (1) of the Act.

(6)A Futures Commission Merchant shall be aware of the status of the Merchant's own Net Assets Regulation Ratio appropriately on every business day.

Article 100-2The acts specified by an ordinance of the competent ministry as set forth in the paragraphs of Article 213-2 of the Act shall be the provision of information with the same contents to a large number of persons by postal mail, Correspondence Delivery (which means the Correspondence Delivery prescribed in Article 2, paragraph (2) of the Act on Correspondence Delivery by Private Business Operators [Act No. 99 of 2002] made by a general correspondence delivery operator prescribed in paragraph (6) of the same Article or by a specified correspondence delivery operator prescribed in paragraph (9) of the same Article), the method of transmission using a facsimile, the method of transmission of Electronic Mail (which means electronic mail prescribed in Article 2, item (i) of the Act on Regulation of Transmission of Specified Electronic Mail [Act No. 26 of 2002]), the method of distribution of fliers or pamphlets or any other method (excluding the following):

Article 100-3(1)When a Futures Commission Merchant conducts advertising or an act prescribed in the preceding Article (hereinafter referred to as "Advertising, etc." in this Article) with regard to the contents of its Commodity Transactions Brokerage Business, the Futures Commission Merchant shall clearly and accurately indicate the matters listed in the items of Article 213-2, paragraph (1) of the Act.

(2)When a Futures Commission Merchant conducts Advertising, etc. with regard to the contents of its Commodity Transactions Brokerage Business, the Futures Commission Merchant shall indicate the matter set forth in Article 10-2, item (iv) of the Order by using the letters or numbers in a size that is not substantially different from the largest letters or numbers used for indicating other matters.

Article 100-4The matters specified by an ordinance of the competent ministry as prescribed in Article 10-2, item (i) of the Order shall be the amounts or the upper limits of the considerations to be paid by a customer with regard to a Brokerage Contract, whether they are known as fees, remunerations, expenses or by any other name (excluding values pertaining to receipt or delivery, the amount of the consideration for the transactions prescribed in Article 2, paragraph (8), item (iv) of the Act, and the amount of Clearing Margin, etc. [which means the Clearing Margin, etc. prescribed in Article 217, paragraph (1), item (i) of the Act; the same shall apply hereinafter]; referred to as "Fees, etc." in this Article and Article 100-6), by type of consideration, or the outline of their calculation method (including the percentage to the Amount of Transactions [which means the Amount of Transactions prescribed in Article 10-2, item (iii) of the Order] based on said Brokerage Contract), and the sum of such amounts, or the upper limit thereof or the outline of their calculation method; provided, however, that, in cases where it is not possible to indicate these, said matters shall be a statement to that effect and the reason therefor.

Article 100-5The matters specified by an ordinance of the competent ministry as prescribed in Article 10-2, item (v) of the Order shall be, in cases where the Futures Commission Merchant has joined a Commodity Futures Association, a statement to that effect and the name of said Commodity Futures Association.

Article 100-6The matters specified by an ordinance of the competent ministry as prescribed in Article 213-2, paragraph (2) of the Act shall be the following matters:

Article 101With regard to Article 214, item (iii) of the Act, the matters specified by an ordinance of the competent ministry shall be as follows:

Article 102(1)With regard to Article 214, item (iii) of the Act, those acts specified by an ordinance of the competent ministry to be matters that are not lacking in protection for the customer or that are not likely to harm the fairness of transactions shall be as follows:

(2)In the preceding paragraph, item (i), said other juridical persons or other organizations when such Futures Commission Merchant and its Foreign Subsidiary or Foreign Subsidiary of such Futures Commission Merchant hold shares or contributions pertaining to 50 percent or more of the Voting Rights of all shareholders of another foreign juridical person or other organization under its own name or of another person, shall be deemed to be a Foreign Subsidiary of said Futures Commission Merchant, and said other juridical persons or other organizations of which the Foreign Parent Company of said Futures Commission Merchant hold shares or contributions pertaining to 50 percent or more of the Voting Rights of all shareholders of another foreign juridical person or other organizations under its own name or that of another person shall be deemed to be a Foreign Parent Company of said Futures Commission Merchant.

(3)A Futures Commission Merchant who intends to engage in acts set forth in the respective items of paragraph (1) shall establish a sufficient internal administrative system in advance so that transactions, etc., carried out on a Commodity Market based on said actions are not lacking in protection for the customer and are not likely to harm the fairness of transactions.

Article 103Acts specified by an ordinance of the competent ministry set forth in Article 214, item (ix) of the Act shall be those listed in the following items:

Article 103-2(1)The cases specified by an ordinance of the competent ministry set forth in the proviso of Article 214-2, paragraph (3) of the Act shall be the following cases:

(2)The benefits set forth in item (ix) of the preceding paragraph shall be calculated for each of the categories of acts listed in the items of Article 112.In this case, with regard to the amount of benefits pertaining to the category of acts set forth in item (iii) or item (iv) of the same Article, the amount of property benefits for which an offer or promise is made or is provided in the cases set forth in item (x) of the preceding paragraph shall be deducted.

(3)In any of the cases listed in item (iv) (limited to a settlement reached as a result of the resolution of a complaint by a Commodity Futures Association or mediation by an organization designated by the competent minister) and items (v) to (x) of paragraph (1), if a Futures Commodity Merchant has made an offer or promise to provide property benefits or has provided property benefits to a customer without obtaining the confirmation set forth in the proviso of Article 214-2, paragraph (3) of the Act, the matters listed in the items of Article 103-4 shall be reported to the competent minister by the last day of the month following the month that contains the date on which such offer, promise or provision was made; provided, however, that if the person who is making said report is a member of a Commodity Futures Association, such report shall be made via the Commodity Futures Association.

Article 103-3A person who intends to obtain the confirmation set forth in Article 214-2, paragraph (5) of the Act shall submit a written application and a document under the provisions of the same paragraph to the competent minister; provided, however, that if the person who intends to obtain said confirmation is a member of a Commodity Futures Association, such submission shall be made via the Commodity Futures Association.

Article 103-4The matters specified by an ordinance of the competent ministry as set forth in Article 214-2, paragraph (5) of the Act shall be the following matters:

Article 103-5(1)The document specified by an ordinance of the competent ministry as set forth in Article 214-2, paragraph (5) of the Act shall be a document proving that the customer has confirmed the contents of the matters listed in the items of the preceding Article and any other material to be used as a reference.

(2)The provisions of the preceding paragraph shall not apply in cases where the written application under the provisions of Article 214-2, paragraph (5) of the Act pertains to an offer made under paragraph (1), item (ii) of the same Article.

Article 104(1)The matters specified by an ordinance of the competent ministry set forth in Article 217, paragraph (1), item (iv) of the Act shall be as follows:

(2)Letters or numbers used in documents under Article 217, paragraph (1) of the Act shall be 8 point or in a larger size of font as prescribed in Japanese Industrial Standard Z8305; provided, however, that with regard to the following matters, such matters shall be stated in the frame of said documents using letters and numbers in 14 point or in a larger size of font as prescribed in Japanese Industrial Standard Z8305:

Article 105(1)The methods specified by an ordinance of the competent ministry set forth in Article 217, paragraph (2) of the Act (including cases where it is applied mutatis mutandis by replacing the terms pursuant to Article 349, paragraph (8) of the Act) shall mean the following methods (hereinafter referred to as an "Electromagnetic Means" in this Article):

(2)The methods set forth in the respective items of the preceding paragraph shall satisfy the following criteria:

(3)The term "Electronic Data Processing System" used in paragraph (1), item (i) shall mean an Electronic Data Processing System that connects a computer used by a Futures Commission Merchant, etc., and a computer that contains a Customer File used by Customers, etc., or a Futures Commission Merchant, etc., through an electronic telecommunication line.

Article 106The type and content of the method to be shown pursuant to the provisions of Article 11, paragraph (1) of the Order (including cases where applied mutatis mutandis by replacing the terms pursuant to Article 12 of the Order) shall be the following matters:

Article 107The persons prescribed in the ordinance of the competent ministry set forth in Article 218, paragraph (1) of the Act shall be the following persons:

Article 108(1)When a Futures Commission Merchant intends to provide explanations to a customer pursuant to the provisions of Article 218, paragraph (1) of the Act, the Futures Commission Merchant shall deliver the documents prescribed in Article 217, paragraph (1) of the Act to said customer prior to said explanation.

(2)In cases prescribed in the preceding paragraph, after a Futures Commission Merchant explains the matters set forth in Article 217, paragraph (1), item (i) to item (iii) of the Act in order for a customer to understand these matters, the Futures Commission Merchant shall explain the matters set forth in item (iv) of the same paragraph in order for said customer to understand these matters.

Article 109The matters specified by an ordinance of the competent ministry set forth in Article 220, paragraph (1) of the Act shall be as follows:

Article 110The provisions of Article 105 (excluding paragraph (1), item (i), (d), paragraph (2), item (iii), item (iv), (b), and item (v)) shall apply mutatis mutandis when the provisions of Article 217, paragraph (2) of the Act applies mutatis mutandis to Article 220, paragraph (2) of the Act.In this case, the phrase "the last date when transactions set forth in said Contents were carried out" in Article 105, paragraph (2), item (iv) shall be deemed to be replaced with "the date of recording."

Article 110-2(1)The document prescribed in an ordinance of the competent ministry as set forth in Article 220-2, paragraph (1) of the Act shall state the following matters:

(2)The document set forth in the preceding paragraph shall be prepared by using letters and numbers in eight point or in a larger size of font as prescribed in Japanese Industrial Standard Z8305.

(3)The provisions of paragraph (1) shall not apply when the receipt of a Clearing Margin, etc. under the provisions of Article 220-2, paragraph (1) of the Act is a receipt via a financial institution where the consent of the customer has been obtained in writing.

(4)The provisions of Article 41, paragraphs (3) to (7) shall apply mutatis mutandis to the consent in writing set forth in the preceding paragraph.

Article 111(1)The amount of liability reserve for commodity trading to be provided pursuant to the provisions of Article 221, paragraph (1) of the Act shall be the following listed items, whichever amount is least:

(2)In the cases set forth in the preceding paragraph, with regard to the amount of liability reserve for commodity trading to be accrued within three business years from the business year in which the license set forth in Article 190 of the Act (excluding a renewed license) was obtained, the phrase "the amount obtained by multiplying the transaction amounts of the transactions prescribed in Article 2, paragraph (8), item (i) of the Act (excluding transactions based on a person's own account and the transactions set forth in (e)) in each business year by the Problematic Conduct Rate -- which means the proportion of the total sum of the payments made as a result of any Problematic Conduct [which means the Problematic Conduct prescribed in Article 112] in each business year starting within three years prior to the commencement of the relevant business year [excluding payments pertaining to transactions in cases where a Futures Commission Merchant receives a consignment of transactions, etc. on the Commodity Market (excluding Commodity Clearing Transactions; hereinafter the same shall apply in this Article) from a Person with Specialized Knowledge and Experience (which means a person specified in Article 107; hereinafter the same shall apply in this Article) or receives a consignment of transactions, etc. on the Commodity Market by using an Electronic Data Processing System (which means an Electronic Data Processing System connecting a computer used by the Futures Commodity Merchant and a computer [including the input/output devices] used by the customer through a telecommunications line; hereinafter the same shall apply in this Article) without carrying out solicitation]; hereinafter the same shall apply in this Article) to the total sum of the transaction amounts of the transactions prescribed in Article 2, paragraph (8), items (i) to (iii) of the Act and the amount of the consideration for the transactions prescribed in item (iv) of the same paragraph (excluding the transaction amounts and the amount of the consideration for transactions in cases of transactions based on a person's own account and in cases where a Futures Commission Merchant receives a consignment of transactions, etc. on the Commodity Market from a Person With Specialized Knowledge and Experience or receives a consignment of transactions, etc. on the Commodity Market by using an Electronic Data Processing System without carrying out solicitation -- or the amount equivalent to 0.0001 percent of the transaction amounts, whichever amount is greater" in item (i) of the preceding paragraph shall be deemed to be replaced with "the amount equivalent to 0.003 percent of the transaction amounts of the transactions prescribed in Article 2, paragraph (8), item (i) of the Act (excluding transactions based on a person's own account and the transactions set forth in (e)) in each business year," the phrase "such larger amount" in the same item shall be deemed to be replaced with "such equivalent amount," the phrase "double the Problematic Conduct Rate, or by 0.0002 percent, whichever rate is higher" in the same item shall be deemed to be replaced with "0.006 percent," the phrase "an amount obtained by multiplying -- an amount calculated by dividing the amount that has been obtained by deducting the amount of liability reserve for commodity trading and the amounts listed in (b) to (h) from ten million yen by double the Problematic Conduct Rate, or by 0.0002 percent, whichever rate is higher (or, if said calculated amount exceeds the transaction amount in the relevant business year, such amount shall be the transaction amount in the relevant business year; hereinafter the same shall apply in this item) -- by the Problematic Conduct Rate or an amount equivalent to 0.0001 percent of said calculated amount, whichever amount is greater" in the same item shall be deemed to be replaced with "an amount equivalent to 0.003 percent of the amount calculated by dividing the amount that has been obtained by deducting the amount of liability reserve for commodity trading and the amounts listed in (b) to (h) from ten million yen by double the Problematic Conduct Rate, or by 0.0002 percent, whichever rate is higher (or, if said calculated amount exceeds the transaction amount in the relevant business year, such amount shall be the transaction amount in the relevant business year; hereinafter the same shall apply in this item)," the phrase "the amount obtained by multiplying the transaction amount of transactions prescribed in Article 2, paragraph (8), item (iii) of the Act (excluding transactions based on a person's own account and the transactions set forth in (g)) in each business year by the Problematic Conduct Rate, or the amount equivalent to 0.0001 percent of said transaction amount, whichever amount is greater" in the same item shall be deemed to be replaced with "the amount equivalent to 0.003 percent of the transaction amount of transactions prescribed in Article 2, paragraph (8), item (iii) of the Act (excluding transactions based on a person's own account and the transactions set forth in (g)) in each business year," and the phrase "the amount obtained by multiplying the total sum of the consideration for transactions prescribed in Article 2, paragraph (8), item (iv) of the Act (excluding transactions based on a person's own account and the transactions set forth in (h)) in each business year by the Problematic Conduct Rate, or the amount equivalent to 0.001 percent of said total sum of the consideration, whichever amount is greater" in the same item shall be deemed to be replaced with "the amount equivalent to 0.03 percent of the total sum of the consideration for transactions prescribed in Article 2, paragraph (8), item (iv) of the Act (excluding transactions based on a person's own account and the transactions set forth in (h)) in each business year."

Article 112A Problematic Conduct specified by an ordinance of the competent ministry set forth in Article 221, paragraph (2) of the Act shall be that whereby a Representative, etc. of a Futures Commission Merchant causes a customer a loss by committing any of the following acts with regard to the business of said Futures Commission Merchant concerning the undertaking of brokerage of Transactions on a Commodity Market, etc.:

Article 113(1)A Futures Commission Merchant shall prepare the books as prescribed in Appended Table 5 for Transactions on the Commodity Market at one of its business offices that carries out Commodity Transactions Brokerage Business pursuant to the provisions of Article 222 of the Act.

(2)A Futures Commission Merchant shall prepare the necessary record prescribed in Appended Table 5 corresponding to an order form and its content of Commodity Transactions Brokerage Business at the business offices of Commodity Transactions Brokerage Business; provided, however, that this shall not apply to business offices which prepare the books pursuant to the provisions of the preceding paragraph.

(3)The books prescribed in Appended Table 5 shall be retained for ten years.

Article 114When the content of the books prescribed in Appended Table 5 is recorded through an Electromagnetic Means and is retained to display said record for immediate inspection by a computer or other appliance as necessary, the preservation of said record may substitute for the retention of the books as prescribed in the preceding Article, paragraph (3).In this case, a Futures Commission Merchant shall take the necessary measures for preventing the loss of or damage to said record.

Article 115With regard to the books prescribed in Appended Table 5 (excluding futures transaction accounting records; hereinafter the same shall apply in this Article), a Futures Commission Merchant shall carry out accounting for transactions based on its own account and that for transactions based on its customer's accounts, and transactions pertaining to brokerage of Transactions on a Commodity Market, etc. (limited to those set forth in Article 2, paragraph (16), item (i) of the Act [excluding Commodity Clearing Transactions] or in item (iii)) and that pertaining to brokerage of Transactions on a Commodity Market, etc. (limited to those set forth in item (ii) or item (iv) of the same paragraph) separately in its books, pursuant to the provisions of Article 223 of the Act.

Article 116(1)The business report that a Futures Commission Merchant submits pursuant to the provisions of Article 224, paragraph (1) of the Act shall be prepared according to Form No. 15-2.

(2)Financial Statements, etc., and detailed statements thereof shall be attached to the business report specified in the preceding paragraph.

Article 117(1)A Futures Commission Merchant shall submit the documents listed in the following items to the competent minister within the period prescribed in the respective said items pursuant to the provisions of Article 224, paragraph (2) of the Act:

(2)In preparing the records prescribed in the preceding paragraph, item (i) and item (ii), and the monthly schedule of detailed account balances prescribed in the same paragraph, item (iv), a Futures Commission Merchant shall comply with accounting procedures specified by the competent minister and generally accepted corporate accounting standards.

(3)In preparing the statements of changes in net assets prescribed in paragraph (1), item (i), a Futures Commission Merchant shall make statements for the respective categories of the account balances as of the end of the previous business year, the amount of change during the period for the preparation of the records, and the balance as of the end of the period for the preparation of the records.

Article 118(1)In addition to the requirements listed in the respective items of Article 192, paragraph (1) of the Act, a Futures Commission Merchant shall submit to the competent minister a written application stating the following matters when intending to obtain approval for a merger as prescribed in Article 225, paragraph (1) of the Act:

(2)The document specified by an ordinance of the competent ministry set forth in Article 225, paragraph (3) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing the application):

Article 119(1)When seeking to obtain approval of a Consolidation-Type Split prescribed in the provisions of Article 226, paragraph (1) of the Act, a Futures Commission Merchant shall submit an application to the competent minister stating the following matters in addition to the matters set forth in the respective items of Article 192, paragraph (1) of the Act:

(2)The documents specified by an ordinance of the competent ministry set forth in Article 226, paragraph (3) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of the application for approval):

Article 120(1)When seeking to obtain approval for an Absorption-Type Split prescribed in the provisions of Article 227, paragraph (1) of the Act, a Futures Commission Merchant shall submit an application to the competent minister stating the following matters in addition to the matters set forth in the respective items of Article 192, paragraph (1) of the Act:

(2)The documents specified by an ordinance of the competent ministry set forth in Article 227, paragraph (3) of the Act shall be as follows (in cases of certificates issued by a public agency, limited to documents prepared within three months prior to the date of application for approval):

Article 121(1)When seeking to obtain approval for a Business Transfer prescribed in the provisions of Article 228, paragraph (1) of the Act, a Futures Commission Merchant shall submit an application to the competent minister stating the following matters in addition to the matters set forth in the respective items of Article 192, paragraph (1) of the Act:

(2)The documents specified by an ordinance of the competent ministry set forth in Article 228, paragraph (3) of the Act shall be as follows (in cases of certificates issued by a public agency, limited to documents prepared within three months prior to the date of the application for approval):

Article 122Identification that officials shall carry shall be prepared according to Form No. 19 pursuant to the provisions of Article 157, paragraph (3) of the Act which is applied mutatis mutandis pursuant to Article 231, paragraph (4) of the Act.

Article 123The ratio specified by an ordinance of the competent ministry set forth in Article 232, paragraph (2), item (i) of the Act shall be 10:1 and the ratio specified by an ordinance of the competent ministry set forth in the same paragraph, item (ii) shall be 1:1.

Article 124(1)Cases specified by an ordinance of the competent ministry set forth in Article 232, paragraph (2), item (iv) of the Act shall be as follows:

(2)The provisions of Article 38 shall apply to the amount of the net assets under the preceding paragraph, item (i) and item (ii).

Article 125(1)When calculating the total amount of liabilities pursuant to the provisions of Article 232, paragraph (3) of the Act, the amounts to be recorded in the liability section of the records pertaining to the amount of the net assets as prepared pursuant to Form No. 1 (excluding the amount of liability reserve for commodity trading) shall be rounded up.

(2)When calculating the total amount of current assets pursuant to Article 232, paragraph (3) of the Act, the amounts to be recorded in the current assets section of the records pertaining to the amount of the net assets as prepared pursuant to Form No. 1 (excluding the total amount of assets set forth in item (i) and item (ii)) shall be rounded up, and when calculating the total amount of current liabilities pursuant to the provisions of the same paragraph, the amounts to be recorded in the current liabilities section of the records pertaining to the amount of the net assets as prepared pursuant to Form No.1 shall be rounded up:

Article 126The amount of liabilities prescribed in Article 13 of the Order shall be calculated by deducting the amount of liabilities to Non-Residents from the amount of liabilities (including the amount of guaranteed debts) to be recorded in the liability section of the balance sheet.

Article 127The documents specified by an ordinance of the competent ministry set forth in Article 247, paragraph (2) of the Act shall be as follows (in the case of documents certified by a public agency, limited to documents prepared within three months prior to the date of filing the registration):

Article 128The documents specified by an ordinance of the competent ministry set forth in Article 250, paragraph (2) of the Act shall be as follows:

Article 129(1)After having responded to any complaints pursuant to the provisions of Article 259 of the Act, the Association shall prepare and submit a report regarding status of said complaint processing as of the end of every month to the competent minister by the 10th day of the month following the month pertaining to said report.

(2)Records as set forth in the following shall be attached to the report prescribed in the preceding paragraph and shall be submitted for every semiannual period:

Article 130Requirements specified by an ordinance of the competent ministry set forth in Article 260 of the Act shall be to fall under all of the following items:

Article 131When having conducted mediation/conciliation pursuant to the provision of Article 261 of the Act, the Association shall prepare and submit a report regarding the status of processing said mediation/conciliation as of the end of every month to the competent minister by the 10th day of the month following the month pertaining to said report.

Article 132Identification that officials shall carry shall be prepared according to Form No. 20 pursuant to the provisions of Article 157, paragraph (3) of the Act which is applied mutatis mutandis pursuant to Article 263, paragraph (2) of the Act.

Article 133The liquidator of a Consignor Protection Membership Corporation (which means a Consignor Protection Membership Corporation prescribed in Article 269, paragraph (4) of the Act; the same shall apply hereinafter) shall assign the retained residual assets of said Consignor Protection Membership Corporation to a Consumer Protection Fund, which members have joined or will join pursuant to the provisions of Article 292 of the Act, corresponding to the standards specified by said Consignor Protection Membership Corporation, including the accumulated amount of assessment charges that said members have paid as prescribed in Article 314, paragraph (1) of the Act.

Article 134A Consignor Protection Membership Corporation which intends to file for registration pursuant to Article 294, paragraph (1) of the Act shall attach the documents set forth in the following items (in the case of documents certified by a public agency, limited to documents prepared within three months prior to the date of filing the registration):

Article 135The matters specified by an ordinance of the competent ministry set forth in Article 302, paragraph (2), item (iii) of the Act shall be the following matters:

Article 136The amount calculated pursuant to an ordinance of the competent ministry set forth in Article 306, paragraph (1) of the Act shall be the amount specified in the following items for the categories of cases set forth respectively in those items:

Article 137Relationships specified by an ordinance of the competent ministry set forth in Article 19, item (ii) of the Order shall be as listed in the following items:

Article 138(1)When accepting the whole or a portion of a deposit of Property Subject to Preservation from a Member pursuant to Article 309 of the Act, the Consumer Protection Fund shall conduct procedures pursuant to Article 98, paragraph (1), item (ii).

(2)When managing Property Subject to Preservation deposited by a Member Futures Commission Merchant, based on the provisions of Article 309 of the Act, the Consumer Protection Fund shall manage said Property Subject to Preservation by the following methods (excluding property managed by the provisions of the following paragraph):

(3)When managing Securities as Property Subject to Preservation, pursuant to the provisions of Article 309 of the Act, the Consumer Protection Fund shall manage said Securities by the method specified in the following items for the categories of Securities set forth respectively in those items:

Article 139(1)Businesses specified by an ordinance of the competent ministry set forth in Article 310 of the Act shall be as listed in the following:

(2)The Consumer Protection Fund shall prepare a monthly report pertaining to the business status set forth in the respective items of the preceding paragraph and submit the report to the competent minister by the 10th day of the month following the subject month of said report.

Article 140(1)Accounts specified by an ordinance of the competent ministry set forth in Article 316, paragraph (2) of the Act shall be as follows:

(2)An account of the Consumer Protection Fund shall be separated for each account as set forth in the respective items of the preceding paragraph and each account shall be treated as a separate balance sheet account item and separate profit and loss account items.

Article 141The Budget of the Consumer Protection Fund shall consist of the general budget provisions and an income and expenditure budget.

Article 142General budget provisions shall include comprehensive provisions pertaining to income and expenditure budgets and the provisions pertaining to the matters listed below:

Article 143Income and expenditure budgets shall be separated according to the nature of the income, and as to the purpose for the expenditure.

Article 144When intending to submit a budget pursuant to the provisions of Article 317 of the Act, the Consumer Protection Fund shall attach and submit the following documents to the competent minister; provided, however, that when the budget is changed pursuant to the provisions of the second sentence of the same Article, the document prescribed in item (i) is not required to be attached:

Article 145The Consumer Protection Fund can provide contingency funds with regard to an income and expenditure budget in order to compensate for variances in items of an unpredictable nature in an expenditure budget.

Article 146The Consumer Protection Fund can assume debts within the scope of the expenditure budget and within the scope of the amount of the budget submitted to the competent minister for every fiscal year as necessary to conduct a business.

Article 147(1)The Consumer Protection Fund shall not use the funds represented in an expenditure budget for any purpose other than as specified in said budget; provided, however, that if it is appropriate and necessary for the implementation of the budget, the budget funds can be diverted within the scope of the budget of the accounts set forth in the respective items of Article 140, paragraph (1), notwithstanding the categories under Article 143.

(2)The Consumer Protection Fund shall not divert funds for the amount of an expense designated by general budget provisions to any of the Consumer Protection Fund's other budgeted expenditure items, nor to other non-Fund expenditures, nor apply the contingency funds, without obtaining a resolution to do so from the shareholders at a General Meeting.

Article 148(1)Funding plans for the Consumer Protection Fund shall be set forth pertaining to the following matters:

(2)When a funding plan is changed pursuant to the provisions of the second sentence of Article 317 of the Act, the Consumer Protection Fund shall submit a document including the matters pertaining to and the reasons for said change to the competent minister.

Article 149The Consumer Protection Fund shall report quarterly total income and expenditure by schedules of detailed account balances and report quarterly the debts that they assumed pursuant to the provisions of Article 146 by the amounts as stated by each matter to the competent minister within one month after the end of each calendar quarter.

Article 150The Business Report of the Consumer Protection Fund shall include the business results and the results of funding plans.

Article 151(1)The settlement of accounts of the Consumer Protection Fund shall be financial statements pertaining to income and expenditure, and debts.

(2)The settlement of accounts as prescribed in the preceding paragraph shall indicate the actual results compared with budgeted items pertaining to the matters prescribed in the general provisions of budgets pursuant to the provisions of Article 142.

Article 152(1)Financial statements prescribed in paragraph (1) of the preceding Article shall be prepared based on the same distinctions between income and expenditure by item as in the prepared budgets and shall state the matters as set forth in the following:

(2)The financial statements pertaining to debts under paragraph (1) of the preceding Article shall state the amount of debts assumed pursuant to the provisions of Article 146 for each matter.

Article 153The method specified by an ordinance of the competent ministry set forth in Article 320, item (iii) of the Act shall be a trust account with a Financial Institution Engaged in Trust Business.

Article 154(1)The Consumer Protection Fund shall determine accounting rules with regard to its finance and accounting.

(2)When determining accounting rules prescribed in the preceding paragraph, the Consumer Protection Fund shall obtain the approval of the competent minister.The same shall apply when intending to amend accounting rules.

Article 155Identification that officials shall carry shall be prepared according to From No. 21 pursuant to the provisions of Article 157, paragraph (3) of the Act which is applied mutatis mutandis pursuant to Article 321, paragraph (2) of the Act.

Article 156The method specified by an ordinance of the competent ministry set forth in Article 332, paragraph (1), item (i) of the Act shall be a method of adopting trading terms offered by a Type 1 Specified Facility Trading Participant when the trading terms offered by said Type 1 Specified Facility Trading Participant correspond to trading terms offered by another Type 1 Specified Facility Trading Participant, which is the counterparty of the trade, without relying on negotiation between the parties through a Facility Similar to a Type 1 Specified Commodity Market.

Article 157The documents specified by an ordinance of the competent ministry set forth in Article 332, paragraph (3) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for the permission):

Article 158Documents specified by an ordinance of the competent ministry set forth in Article 335, paragraph (2) of the Act shall be as follows:

Article 158-2When submitting a notification prescribed in Article 335, paragraph (3) of the Act, the following documents (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of notification of the change) shall be attached:

Article 159(1)The Establisher of a Type 1 Specified Facility shall prepare stating the following matters by each Commodity or Commodity Index subject to transactions regarding transactions at a Facility Similar to a Type 1 Specified Commodity Market pursuant to the provisions of Article 336, paragraph (1) of the Act:

(2)The books prepared as per the preceding paragraph shall be retained for ten years.

Article 160When the content of the books prescribed in paragraph (1) of the preceding Article is recorded through an Electromagnetic Means and is preserved to display said record for immediate inspection by computer or other appliance as necessary, the preservation of said record may substitute for the retention of the books prescribed in the preceding Article, paragraph (2).In this case, an Establisher of a Type 1 Specified Facility shall take the necessary measures for preventing the loss of and damage to said record.

Article 161The Establisher of a Type 1 Specified Facility shall report the matters set forth in Article 159, paragraph (1), item (ii) and item (iii) pursuant to Article 336, paragraph (2) of the Act to the competent minister by the 10th day of the month following the month pertaining to said report.

Article 162Identification that officials shall carry shall be prepared according to Form No. 22 pursuant to the provisions of Article 157, paragraph (3) of the Act which is applied mutatis mutandis pursuant to Article 338, paragraph (2), of the Act.

Article 163The provisions of Article 158 through the preceding Article shall apply mutatis mutandis pursuant to Article 345 of the Act when applying mutatis mutandis to Article 335, paragraph (2) and paragraph (3) of the Act; Article 336, paragraph (1) and paragraph (2); and Article 338, paragraph (2).In this case, the term "a Type 1 Specified Facility Trading Participant" in Article 158, item (iii) and Article 158-2, item (ii) shall be deemed to be replaced with "a Type 2 Specified Facility Trading Participant"; the terms "an Establisher of a Type 1 Specified Facility" in Article 159, paragraph (1) shall be deemed to be replaced with "an Establisher of a Type 2 Specified Facility," "a Facility Similar to a Type 1 Specified Commodity Market," shall be deemed to be replaced with "a Facility Similar to a Type 2 Specified Commodity Market," and "a Type 1 Specified Facility Trading Participant" shall be deemed to be replaced with "a Type 2 Specified Facility Trading Participant," respectively; the term "an Establisher of a Type 1 Specified Facility" in Article 160 shall be deemed to be replaced with "an Establisher of a Type 2 Specified Facility"; the term "an Establisher of a Type 1 Specified Facility" in Article 161 shall be deemed to be replaced with "an Establisher of a Type 2 Specified Facility" and the phrase "Article 159, paragraph (1), item (ii) and item (iii)" shall be deemed to be replaced with "Article 159, paragraph (1), item (ii) and item (iii) applied mutatis mutandis pursuant to Article 163," respectively; and the term "an Establisher of a Type 1 Specified Facility" in the preceding Article shall be deemed to be replaced with "an Establisher of a Type 2 Specified Facility" and the term "Form No. 22" shall be deemed to be replaced with "Form No. 23," respectively.

Article 164Items specified by an ordinance of the competent ministry set forth in Article 342, paragraph (1) of the Act shall be the following Commodities and Commodity Indices:

Article 165The method specified by an ordinance of the competent ministry set forth in Article 342, paragraph (1), item (i) of the Act shall be a method of adopting trading terms offered by a Type 2 Specified Facility Trading Participant, when the trading terms offered by said Type 2 Specified Facility Trading Participant correspond to trading terms offered by another Type 2 Specified Facility Trading Participant, which is the counterparty of the trade, without relying on negotiation between the parties through a Facility Similar to a Type 2 Specified Commodity Market.

Article 166The documents specified by an ordinance of the competent ministry set forth in Article 342, paragraph (3) of the Act shall be as follows (in the case of certifications issued by a public agency, limited to documents prepared within three months prior to the date of filing the application for the permission):

Article 167The products specified by an ordinance of the competent ministry set forth in Article 349, paragraph (1) of the Act shall be as listed in the following:

Article 168(1)When giving notification of engaging in Over-the Counter Commodity Futures Transactions as business pursuant to the provisions of Article 349, paragraph (2) of the Act, a person who intends to engage in Over-the-Counter Commodity Futures Transactions as business shall submit a written notification stating the matters set forth in item (i) through item (iii) of the same paragraph, no later than 20 days prior to the commencement date of business pertaining to said Over-the-Counter Commodity Futures Transactions.

(2)When intending to change the matters set forth in Article 349, paragraph (2), item (i) through item (iii) of the Act and item (i) or item (ii) of the following paragraph, an Over-the-Counter Commodity Futures Transactions Dealer who submitted a written notification as per the preceding paragraph shall submit a written notification stating the matters listed in the following items:

(3)The matters specified by an ordinance of the competent ministry set forth in Article 349, paragraph (2), item (iv) of the Act shall be as follows:

Article 169An Over-the-Counter Commodity Futures Transactions Dealer shall request a document stating the matters set forth in the following items to get confirmation from a Specified Commercial Dealer who is the counterparty to the Over-the-Counter Commodity Futures Transactions, etc., or the Over-the-Counter Commodity Futures Transactions Dealer regarding the fact that said Specified Commercial Dealer or Over-the-Counter Commodity Futures Transactions Dealer conducts said transactions for that dealer's own business based on the dealer's own account:

Article 170The matters specified by an ordinance of the competent ministry set forth in Article 349, paragraph (7) of the Act shall be as follows:

Article 171(1)Over-the-Counter Commodity Futures Transactions Dealers shall prepare the books stating matters listed in the following for each contract of Over-the-Counter Commodity Futures Transactions, etc., pursuant to the provisions of Article 349, paragraph (9) of the Act:

(2)When Over-the-Counter Commodity Futures Transactions Dealers prepare the books prescribed in Article 349, paragraph (9) of the Act, the preservation of the documents listed in the following items may substitute for the preservation of the record as prescribed in said items:

(3)The books prescribed in paragraph (1) or documents prescribed in the preceding paragraph shall be retained for ten years.

Article 172When the content of any of the books prescribed in paragraph (1) of the preceding Article or documents set forth in paragraph (2) of the same Article are recorded through an Electromagnetic Means and preserved to display said record for immediate inspection by a computer or other appliance as necessary, the preservation of said record may substitute for the retention of the books prescribed in the same Article, paragraph (3).In this case, an Over-the-Counter Futures Commodity Transaction Dealer shall take the necessary measures for preventing the loss of and damage to said record.

Article 173Identification that officials shall carry shall be prepared according to Form No. 24 pursuant to the provisions of Article 157, paragraph (3) of the Act which is applied mutatis mutandis pursuant to Article 349, paragraph (11) of the Act.

Article 174The matters specified by an ordinance of the competent ministry set forth in Article 352 of the Act shall be as follows:

Article 175(1)When an application pertaining to the permission (or license), approval, recognition, or designation set forth in the following items is filed, the competent minister shall endeavor to process said application within the term specified in said respective items from the date when the application is received by the competent ministry:

(2)The periods of time specified in the preceding paragraph of this Article shall not include the period of time set forth in the following: