(i)certificate of registered information;

(ii)officers' resume (when the officer is a juridical person, a document stating the history of the officer) and extracts of residence certificate (limited to those stating the registered domicile; when the officer is a juridical person, a certificate of registered information of the officer) or other documents in lieu thereof and a document with which officers pledge that the officers do not fall under any of Article 82, paragraph (2), item (iii) (a), (b) or (e) of the Act;

(iii)a document stating the name or trade name of shareholders and the number of shares held by the shareholders;

(iv)a copy of a document on a contract concerning the utilization of clearing systems of a Financial Instruments Exchange Market (meaning Financial Instruments Exchange Market prescribed in Article 2, paragraph (17) of the Act; the same applies hereinafter) established by a Financial Instruments Exchange (meaning Financial Instruments Exchange prescribed in paragraph (16) of that Article; the same applies hereinafter) or an Over-the-Counter Securities Market (meaning Over-the-Counter Securities Market prescribed in Article 67, paragraph (2) of the Act; the same applies hereinafter) established by an Authorized Financial Instruments Firms Association (meaning Authorized Financial Instruments Firms Association prescribed in Article 2, paragraph (13) of the Act; the same applies hereinafter) concluded by the applicant for license with the Financial Instruments Exchange or the Authorized Financial Instruments Firms Association;

(v)a document related to the conditions for lending money or Securities;

(vi)a document related to fund procurement method;

(vii)a document stating the projections for transactions and income and expenditure for the three business years after the commencement of business (if the duration of the business year is one year or more, two business years; the same applies hereinafter);

(viii)if money or Securities are loaned to a Member, etc. of a Financial Instruments Exchange (meaning Member, etc. prescribed in Article 81, paragraph (1), item (iii) of the Act) or an Association Member of an Authorized Financial Instruments Firms Association upon filing an application for a license, a document stating the loan status thereof;

(ix)the balance sheet as of the end of the last three business years (including related notes; the same applies hereinafter, excluding Article 3-3, paragraph (1), item (ii)) and profit and loss statement for the last three business years (including related notes; the same applies hereinafter);

(x)the statements of changes in net assets for the last three business years (including related notes; the same applies hereinafter);

(xi)recent daily trial balance sheet; and

(xii)other documents that will be helpful.

(i)if the articles of incorporation (excluding matters pertaining to authorization and approval) are amended;

(ii)if the contents and methods of business (excluding matters pertaining to authorization prescribed in Article 156-28, paragraph (1)) of the Act are amended; or

(iii)if a contract concerning the utilization of clearing systems of a Financial Instruments Exchange Market established by a Financial Instruments Exchange or an Over-the-Counter Securities Market established by an Authorized Financial Instruments Firms Association concluded with the Financial Instruments Exchange or the Authorized Financial Instruments Firms Association are amended.

(i)track format: Method prescribed in JIS X6225;

(ii)volume and file composition: Method prescribed in JIS X0605.

(i)trade name of applicant; and

(ii)application date.

(i)lending of money secured by securities (excluding business specified in Article 156-24, paragraph (1) of the Act and Article 156-27, paragraph (1), items (ii) and (iii) of the Act);

(ii)agency business related to delivery of securities;

(iii)agency business for payment of principal and interest of national government bond securities;

(iv)custody business for securities and certificates, etc. notified to the Commissioner of the Financial Services Agency;

(v)business of leasing facilities to accommodate money or securities, etc. to a customer who will be the counterparty to a transaction when conducting business specified in Article 156-24, paragraph (1) of the Act, Article 156-27, paragraph (1), items (i) to (iii) inclusive of the Act or the preceding items;

(vi)transfer business conducted as an account management institution referred to in Article 2, paragraph (4) of the Act on Book-Entry of Company Bonds, Shares, etc. (Act No. 75 of 2001); and

(vii)business of lending money or securities as necessary for settlement of Brokerage for Clearing of Securities, etc. (meaning Brokerage for Clearing of Securities, etc. prescribed in Article 2, paragraph (27) of the Act) by a Clearing Participant (meaning Clearing Participant prescribed in Article 156-7, paragraph (2), item (iii) of the Act) of a Financial Instruments Clearing Organization (meaning Financial Instruments Clearing Organization prescribed in Article 2, paragraph (29) of the Act) by utilizing clearing systems of a Financial Instruments Exchange Market or Over-the-Counter Securities Market (excluding business pertaining to transactions specified in Article 19-6, items (ii) and (iii) of the Order for Enforcement of the Financial Instruments and Exchange Act (Cabinet Order No. 321 of 1965).

(i)a document stating the reason for conducting the businesses listed in the items of Article 156-27, paragraph (1) of the Act;

(ii)a document stating the methods of business; and

(iii)other documents that will be helpful.

(i)a document stating the contents of business to be approved and the projections of income and expenditure thereof;

(ii)if it is necessary to amend the articles of incorporation, the minutes of the shareholders meeting related thereto (if a resolution of the shareholders meeting is deemed to have been made pursuant to the provisions of Article 319, paragraph (1) of the Companies Act (Act No. 86 of 2005), a document proving that such case applies; the same applies hereinafter); and

(iii)a recent daily trial balance sheet.

(i)a document stating the reason for the change;

(ii)if the application for authorization pertains to the reduction of the amount of the stated capital, the minutes of the shareholders meeting or the minutes of the meeting of the board of directors related thereto, or other document proving that necessary procedures had been taken; and

(iii)a recent daily trial balance sheet.

(i)when determining or changing the conditions for lending money or securities:a table comparing the new and old documents stating the conditions for lending;

(ii)when increasing the amount of the stated capital:the minutes of the shareholders meeting or the minutes of the meeting of the board of directors or other document proving that necessary procedures had been taken, and a document stating the method of capital raising as well as the estimated balance sheet after the capital raising;

(iii)when changing the trade name:the minutes of the shareholders meeting.

(i)if restrictive measures for transactions have been implemented or withdrawn;

(ii)if the lending interest rate or the rate of stock lending fees in lending transactions has been established or changed; or

(iii)if the loan limit amount has been established or changed.

(i)a document stating the reason for determining the matters listed in the items of Article 156-36 of the Act;

(ii)the minutes of the shareholders meeting or other document proving that necessary procedures had been taken; and

(iii)a daily trial balance sheet and a document clarifying what assets and liabilities consisted of as at the time of the resolution.

(i)period required to make corrections to the application;

(ii)period required by the person who filed the application to change the content of the application; or

(iii)period required by the person who filed the application to add materials deemed necessary for examination of the application.