Article 64Registration of Sales Representatives

一the following acts involving securities (excluding rights set forth in the items of Article 2, paragraph (2) that are deemed to be securities pursuant to the provisions of that paragraph):

イacts set forth in Article 2, paragraph (8), items (i) through (iii), item (v), item (viii), and item (ix); and

ロthe following acts:

（１）soliciting an offer for a purchase and sale, or a request for the intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency thereof;

（２）soliciting an offer for a market derivatives transaction or foreign market derivatives transaction, or a request for the intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency thereof;

（３）soliciting the entrustment of a market derivatives transaction or foreign market derivatives transaction.

二the following acts:

イacts set forth in Article 2, paragraph (8), items (iv), (vi), and (x); and

ロsolicitation of offers in connection with over-the-counter derivatives transactions, etc.;

三beyond what is set forth in the preceding two items, acts specified by Cabinet Order.

一the trade name or name of the applicant for registration;

二the name of its representative, if the applicant for registration is a corporation;

三the following particulars of the sales representative to which the application for registration pertains:

イthe person's name and birth date;

ロwhether the person is an officer or an employee;

ハwhether the person has ever performed the duties of a sales representative (including the duties of a sales representative prescribed in the preceding paragraph as applied mutatis mutandis pursuant to Article 66-25 and the duties of a sales representative prescribed in Article 75, paragraph (2) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the same applies in (c)), and if the person has performed the duties of a sales representative before, the trade name or name of the financial instruments business operator, etc. or financial instruments intermediary service provider, or financial service intermediary to which the person belonged and the period during which the person performed those duties;

ニwhether the person has ever conducted financial instruments intermediary services or securities, etc. intermediary business operations, and if the person has conducted financial instruments intermediary services or securities, etc. intermediary business operations before, the period during which the person conducted the services; and

四other particulars specified by Cabinet Office Order.