Rules Concerning
Blocking of Relationship with Antisocial Forces(Purpose)
Article 1.
The purpose of these Rules is to contribute to sound development of Financial
Instruments Business and protection of investors through prescribing matters that arenecessary for blocking relationship with Antisocial Forces and thereby securing soundperformance of business by Regular Members and Electronic Public Offering Members
and realizing exclusion of Antisocial Forces from financial instruments transactions andfinancial instruments markets.

(Definitions)
Article 2.
In these Rules, the term “Antisocial Forces” shall refer to those set forth
below:(1)

Organized Crime Group (referring to the Organized Crime Group provided for inArticle 2, Item 2 of the Act on Prevention of Unjust Acts by Organized CrimeGroup Members (hereinafter referred to as the “Act on Prevention of Unjust Acts
by Organized Crime Group Members”));(2)

Organized Crime Group Members (referring to the Organized Crime Group
Members provided for in Article 2, Item 6 of the Act on Prevention of Unjust
Acts by Organized Crime Group Members);(3)

Quasi-member of Organized Crime Group (referring to a person, other thanorganized crime group member, who is under certain control of organized crimegroup or organized crime group member and is likely to commit Violent IllegalAct, etc. (referring to the Violent Illegal Act, etc. provided for in Article 2, Item 1of the Act on Prevention of Unjust Acts by Organized Crime Group Members; thesame shall apply hereafter in this Article) with the backing of the intimidation ofOrganized Crime Group, or who cooperates with or is involved in themaintenance or operation of Organized Crime Group through such acts asproviding funds, weapons, etc. to Organized Crime Group or Organized CrimeGroup Member);1(4) Company Related to Organized Crime Group (referring to a company—in which

Organized Crime Group Member is practically involved for its management or
which is practically managed by Quasi-member of Organized Crime Group orformer Organized Crime Group Member—which actively cooperates with or isinvolved in the maintenance or operation of Organized Crime Group throughsuch acts as providing funds, or a company which actively utilizes Organized
Crime Group in performing its business, etc. and cooperates in the maintenanceor operation of Organized Crime Group);(5)

Corporate Extortionist, etc. (referring to a person, such as a corporate extortionist
and racketeer, who is likely to commit Violent Illegal Act, etc. in attempt toobtain unjust profit from a corporation, etc. and thereby presenting a threat to thesafety of citizens);(6)

Racketeer Pretending as a Social Advocate, etc. (referring to a person who islikely to commit Violent Illegal Act, etc. in attempt to obtain unjust profit byposing or pretending to be a social or political advocate, and thereby presenting athreat to the safety of citizens);(7)

Violent group with special intelligence, etc. (referring to a group or a person,
other than those described under the preceding Items, that functions as the core ofa structural malfeasance based on its relationship with Organized Crime Group,
by utilizing intimidation of Organized Crime Group or by having a financial
relationship with Organized Crime Group); and(8)Any other person that is equivalent to any of those described in the preceding
Items.

(General Rules)
Article 3.
1. As a general rule, Regular Member and Electronic Public Offering Member must notengage in Self-Offering and Other Transactions, etc. (referring to the Self-Offeringand Other Transactions, etc. provided for in Item (9) of Article 3 of the Articles ofIncorporation; the same shall apply hereinafter) with a counterparty knowing thatsuch counterparty is an Antisocial Force.
2. Regular Member and Electronic Public Offering Member must not provide funds orgive any other benefit to a counterparty knowing that such counterparty is an
Antisocial Force.

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(Preparation and Publication of Fundamental Policy)
Article 4.
1. Each Regular Member and Electronic Public Offering Member must prepare its
fundamental policy of blocking of relationship with Antisocial Forces (hereinafterreferred to as the “Fundamental Policy”).
2. Each Regular Member and Electronic Public Offering Member must make theFundamental Policy widely known internally and also publish the Fundamental
Policy or its summary.

(Assurance of Not Being Antisocial Force)
Article 5.
Each Regular Member and Electronic Public Offering Member must, when it is about toengage in Self-Offering and Other Transactions, etc. with any customer for the first time,
obtain from the relevant customer an assurance to the effect that it is not an AntisocialForce; provided, however, that the foregoing does not apply if it has already obtained
from the relevant customer an assurance to the effect that it is not an Antisocial Force.

(Conclusion of Agreement for Excluding Antisocial Forces)
Article 6.
Each Regular Member and Electronic Public Offering Member must, when it is to engage
in Self-Offering and Other Transactions, etc. with any customer, stipulate the matters set
forth in the following Items in the relevant written contract, terms and conditions of thetransaction and the like:(1) The relevant contract shall be terminated upon the request of the relevant Regular

Member or Electronic Public Offering Member if the assurance provided for in thepreceding Article is deemed to be false;(2) The relevant contract shall be terminated upon the request of the relevant Regular

Member or Electronic Public Offering Member if the customer is deemed to fallunder Antisocial Forces; and(3) The relevant contract shall be terminated upon the request of the relevant Regular

Member or Electronic Public Offering Member if the Regular Member or Electronic
Public Offering Member deemed it to be difficult to continue the contract as a resultof the customer’s making a demand in a violent manner or making an unjust
demand in excess of legal liability, or committing any similar act.

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(Execution of Examination)
Article 7.
1. Each Regular Member and Electronic Public Offering Member must strive to
examine in advance whether the customer, for which it is about to engage in SelfOffering and Other Transactions, etc. for the first time, falls under Antisocial Forces.
2. Each Regular Member and Electronic Public Offering Member must strive toperiodically examine whether there is any customer of Self-Offering and OtherTransactions, etc. which falls under Antisocial Forces.
3. In addition to the provisions of the preceding two Paragraphs, each Regular Member
and Electronic Public Offering Member must examine whether a certain customer
falls under Antisocial Forces if a suspicion has arisen that such customer might fallunder Antisocial Forces.
(Prohibition of Concluding Agreement / Termination of Relationship)
Article 8.
1. If, as a result of the examination provided for in Paragraph 1 of the preceding Article,
the customer was found to fall under Antisocial Forces, the relevant Regular Member
or Electronic Public Offering Member must not engage in the transaction; provided,
however, that the foregoing does not apply to the case where the transaction isconducted in order to exclude Antisocial Forces from financial instrumenttransactions and financial instruments markets.
2. If, as a result of the examination provided for in Paragraph 2 or Paragraph 3 of thepreceding Article, a certain customer was found to fall under Antisocial Forces, therelevant Regular Member or Electronic Public Offering Member must strive toterminate the relationship as promptly as possible.

(Ascertaining Operating Partner, etc.)
Article 9.
Each Regular Member and Electronic Public Offering Member must strive to ascertain,
before it engages in Self-Offering and Other Transactions, etc., that the managing partner,
business operator, managing member, etc. related to the securities that are the subject of
the relevant transaction does not fall under Antisocial Forces.
(Collection of Information)
Article 10.
Regular Member and Electronic Public Offering Member must strive to collectinformation regarding Antisocial Forces.

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(Implementation of Training, etc.)
Article 11.
Each Regular Member and Electronic Public Offering Member must strive to educate its
officers and employees on such matters as the points for dealing with Antisocial Forces
and management of the information regarding Antisocial Forces by, for example,
implementing internal training.

(Preparation and Enhancement of Internal Control Environment)
Article 12.
1. Each Regular Member and Electronic Public Offering Member must establish
internal regulations to achieve its Fundamental Policy and make its officers andemployees observe such regulations.
2. Based on the internal regulations provided for in the preceding Paragraph, each
Regular Member and Electronic Public Offering Member must strive to prepare thecontrol environment for blocking of relationship with Antisocial Forces.
3. Each Regular Member and Electronic Public Offering Member must regularly audit
the control environment for blocking of relationship with Antisocial Forces.
(Aligning and Cooperating with the Association, Police, etc.)
Article 13.
1. Regular Member and Electronic Public Offering Member must strive to align andcooperate with the Association, police and other authorities concerned with regard toblocking of relationship with Antisocial Forces.
2. If any dispute with Antisocial Forces has arisen, the relevant Regular Member orElectronic Public Offering Member must strive to prevent occurrence of damageresulting from any act of Antisocial Forces by, for example, promptly contacting orconsulting lawyers, the Association, police or other authorities concerned.

Supplementary Provisions (May 20, 2011)
Article 1.
These Rules shall become effective from the date on which the Association is certified by
the Prime Minister as Financial Instruments Firms Association provided for in Article 78,Paragraph 1 of FIEA (June 30, 2011).

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Article 2.
Notwithstanding the provision of the preceding Article, the provisions of Article 5 andItem (1) of Article 6 shall become effective from January 1, 2012.

Supplementary Provisions (November 12, 2012)
This amendment shall become effective from January 1, 2013.
(Note) Amended provisions are as follows:
Amended Items (3), (4) and (7) of Article 2.

Supplementary Provisions (May 26, 2015)
This amendment shall become effective from the date (May 29, 2015) provided for in themain text of Article 1 of the Supplementary Provisions of the Act for Amendment of theFinancial Instruments and Exchange Act (2014, Act No. 44).
(Note) Amended provisions are as follows:
Amended Article 1; Paragraphs 1 and 2 of Article 3; Paragraphs 1 and 2 ofArticle 4; Article 5; Article 6 and Items (1) through (3) of Article 6;
Paragraphs 1 through 3 of Article 7; Paragraphs 1 and 2 of Article 8; Articles
9 through 11; Paragraphs 1 through 3 of Article 12; and Paragraphs 1 and 2 ofArticle 13.
This translation is solely for the convenience of those interested therein, andaccordingly all questions that may arise with regard to the meaning of the words orexpressions herein shall be dealt with in accordance with the original Japanese text.

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