DETAILED RULES RELATED TO THE RULES CONCERNINGACCEPTANCE, ETC. OF DEPOSIT OF SECURITIES(November 14, 1974)(Purpose)
Article 1 The Detailed Rules Related to the Rules Concerning Acceptance of Deposit, Etc. of Securities
shall prescribe the matters deemed necessary with respect to the enforcement of the Rules Concerning
Acceptance of Deposit, Etc. of Securities (hereinafter referred to as "Rules").
(Delivery of Notice of Reconciliation and Document to Be Delivered upon Conclusion of a Contract
by Means Other than Postal Mail)
Article 2 The process as prescribed in the provisions of Article 11, Paragraph 4 (including the casewhere the provisions apply mutatis mutandis in the provisions of Article 13, Paragraph 1) shall be
conducted in accordance with each of the following Items for the respective categories enumerated
therein.
(1) In case the Notice of Reconciliation or the Document to Be Delivered upon Conclusion of aContract is in a state of being ready for immediate delivery to a customer and it is delivered
directly to the customer concerned over the counter:(i)

Notice of Reconciliation
Chief Manager prescribed in the provisions of Article 11, Paragraph 5 shall directly deliver
it to the customer. In this case, the Chief Manager must promptly collect from the said
customer a reply to the Notice of Reconciliation.

(ii)

Document to Be Delivered upon Conclusion of a Contract
The document shall be delivered to the customer by the Chief Manager or an employee
authorized by the Chief Manager.

(2) In case a customer has made a special offer about the method of delivery of the Notice ofReconciliation or the Document to Be Delivered upon Conclusion of a Contract:(i)

Notice of Reconciliation(a) A letter of comfort using the form specified by the Regular Member in which themethod of delivery of Notice of Reconciliation and the period and other mattersdeemed necessary are stated shall be collected from the said customer. In such a case,
the Regular Member shall confirm that the said letter of comfort is an indication fromthe said customer.
(b) In case a letter of comfort has been collected from a customer pursuant to theprovisions of (a) above, Chief Manager shall directly confirm the fact by inquiring of
the said customer by a phone call or any other means.
(c) The Notice of Reconciliation shall be delivered to the said customer without delay,after preparation.
(d) The safekeeping and delivery to a customer of the Notice of Reconciliation shall bemade by Chief Manager. In this case, the Chief Manager must promptly collect from1the said customer a reply to the Notice of Reconciliation.
(ii)

Document to Be Delivered upon Conclusion of a Contract(a) The provisions of (i) (a) through (c) above shall apply mutatis mutandis to theDocument to Be Delivered upon Conclusion of a Contract.
(b) The safekeeping and delivery to a customer of the Document to Be Delivered uponConclusion of a Contract shall be made by Chief Manager.

(Collection Using Electromagnetic Methods)
Article 3 In substitution for the collection of a letter of comfort, based on the “Rules Concerning
Handling of Documents Delivery, Etc. through Electromagnetic Methods”, the Regular Member may
use methods employing electronic information processing systems or other information technologies
to collect the matters to be recorded in the letter of comfort. In such a case, the Regular Members shallbe regarded as having collected the letter of comfort.
(Application Mutatis Mutandis to Special Members)
Article 4 The provisions of Articles 2 and 3 hereof shall apply mutatis mutandis to the Special Members.
In this case, the term "Regular Member" in these provisions shall be changed to read "Special
Member" and the term "Article 11 of the Rules" in Article 2 shall be changed to read "Article 11,
which applies mutatis mutandis in Article 16 of the Rules” respectively.
(Application Mutatis Mutandis to Specified Business Members)
Article 5 The provisions of Articles 2 and 3 hereof shall apply mutatis mutandis to the Specified
Business Members. In this case, the term "Regular Member" in these provisions shall be changed toread "Specified Business Member" and the term "Article 11 of the Rules" in Article 2 shall be changed
to read "Article 11, which applies mutatis mutandis in Article 19 of the Rules" respectively.

SUPPLEMENTARY PROVISIONS [Omitted](Note) These Rules are based on the version in effect as of February 18, 2020.
This translation is solely for the convenience of those interested therein, and accordingly all questions thatmay arise with regard to the meaning of the words or expressions herein shall be dealt with in accordancewith the original Japanese text.

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