Article 194-4Notice to the Minister of Finance

二authorization under the provisions of Article 30, paragraph (1);

三an order under the provisions of Article 52, paragraph (1), Article 52-2, paragraph (1), or Article 53, paragraph (1) or (2);

四the rescission of the registration referred to in Article 29 under the provisions of Article 52, paragraph (1) or (4), Article 53, paragraph (3) or Article 54;

五the rescission of the registration referred to in Article 33-2 under the provisions of Article 52-2, paragraph (1) or (3) or Article 54;

六the rescission of the authorization referred to in Article 30, paragraph (1) under the provisions of Article 52, paragraph (1);

六の二an order under the provisions of Article 57-6, paragraph (1); Article 57-20, paragraph (2); or Article 57-21, paragraph (4) (for an order under the provisions of Article 57-20, paragraph (2), limited to one that concerns a subject special financial instruments business operator);

六の三the rescission of the registration referred to in Article 29 under the provisions of Article 57-6, paragraph (3);

六の四a designation under the provisions of Article 57-12, paragraph (1);

六の五the cancellation of the designation referred to in Article 57-12, paragraph (1) under the provisions of paragraph (5) of that Article;

六の六an order under the provisions of Article 57-20, paragraph (1) or (2) or Article 57-21, paragraph (1) or (2) (for an order under the provisions of Article 57-20, paragraph (2), limited to one that concerns a designated parent company);

七permission under the provisions of Article 60, paragraph (1) or Article 60-14, paragraph (1);

八an order under the provisions of Article 60-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2));

九the rescission of the permission referred to in Article 60, paragraph (1) under the provisions of Article 60-8, paragraph (1) or Article 60-9, paragraph (1) or rescission of the permission referred to in Article 60-14, paragraph (1) under the provisions of Article 60-8, paragraph (1) or Article 60-9, paragraph (1) as applied mutatis mutandis pursuant to Article 60-14, paragraph (2);

十authorization under the provisions of Article 67-2, paragraph (2);

十一the rescission of the authorization referred to in Article 67-2, paragraph (2) under the provisions of Article 67-6 or Article 74, paragraph (1);

十二authorization to change the articles of incorporation in connection with the particulars set forth in Article 67-8, paragraph (1), item (xiii) (limited to authorization for the establishment or closure of an over-the-counter securities market) under the provisions of Article 67-8, paragraph (2);

十三an order for the suspension of all or part of the business, an order for a change of business methods, or an order prohibiting performance of part of the business, under the provisions of Article 74, paragraph (1);

十四authorization under the provisions of Article 77-6, paragraph (2);

十五a license under the provisions of Article 80, paragraph (1);

十六authorization under the provisions of Article 106-3, paragraph (1);

十七an order under the provisions of Article 106-7, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article);

十八the rescission of an Article 106-3, paragraph (1) authorization under the provisions of Article 106-7, paragraph (1);

十九authorization under the provisions of Article 106-10, paragraph (1) or the proviso to paragraph (3) of that Article;

二十authorization under the provisions of Article 106-17, paragraph (1);

二十一an order under the provisions of Article 106-21, paragraph (1) (including as applied mutatis mutandis pursuant to paragraph (4) of that Article);

二十二the rescission of an Article 106-17, paragraph (1) authorization under the provisions of Article 106-21, paragraph (1);

二十三the rescission of authorization referred to in Article 106-10, paragraph (1) or the authorization referred to in the proviso to paragraph (3) of that Article, under the provisions of Article 106-26;

二十四an order under the provisions of Article 106-28, paragraph (1) (including as applied mutatis mutandis pursuant to Article 109);

二十五the rescission of authorization referred to in Article 106-10, paragraph (1) or the authorization referred to in the proviso to paragraph (3) of that Article, under the provisions of Article 106-28, paragraph (1);

二十六authorization under the provisions of Article 135, paragraph (1);

二十七authorization under the provisions of Article 140, paragraph (1);

二十八the rescission of the license referred to in Article 80, paragraph (1) under the provisions of Article 148 or Article 152, paragraph (1), item (i);

二十九authorization under the provisions of Article 149, paragraph (1) (limited to authorization for the closure of all financial instruments exchange markets);

三十an order for the suspension of all or part of the business, an order for a change in the business, or an order prohibiting performance of part of the business, under the provisions of Article 152, paragraph (1), item (i);

三十一an order under the provisions of Article 152, paragraph (1), item (ii);

三十二authorization under the provisions of Article 155, paragraph (1);

三十三the rescission of authorization referred to in Article 155, paragraph (1) under the provisions of Article 155-6 or 155-10, paragraph (1);

三十四an order under the provisions of Article 155-10, paragraph (1);

三十五a license under the provisions of Article 156-2, or approval under the provisions of Article 156-19, paragraph (1);

三十五の二authorization under the provisions of Article 156-5-5, paragraph (1) or the proviso to paragraph (4) of that Article;

三十五の三an order under the provisions of Article 156-5-9, paragraph (1);

三十五の四the rescission of authorization referred to in Article 156-5-5, paragraph (1) or the authorization referred to in the proviso to paragraph (4) of that Article, under the provisions of Article 156-5-9, paragraph (1);

三十六the rescission of the license referred to in Article 156-2 under the provisions of Article 156-17, paragraph (1) or (2); or the rescission of approval referred to in Article 156-19, paragraph (1) under the provisions of Article 156-17, paragraph (2) or Article 156-20, paragraph (1);

三十七an order for the suspension of all or part of the business under the provisions of Article 156-17, paragraph (2);

三十八authorization under the provisions of Article 156-18;

三十八の二a license under the provisions of Article 156-20-2;

三十八の三the rescission of the license referred to in Article 156-20-2 under the provisions of Article 156-20-14, paragraph (1) or (2);

三十八の四an order for the suspension of all or part of the business under the provisions of Article 156-20-14, paragraph (2);

三十八の五authorization under the provisions of Article 156-20-15;

三十八の六authorization under the provisions of Article 156-20-16, paragraph (1);

三十八の七the rescission of the authorization referred to in Article 156-20-16, paragraph (1) under the provisions of Article 156-20-20 or Article 156-20-22;

三十八の八an order under the provisions of Article 156-20-22;

三十九a license under the provisions of Article 156-24, paragraph (1);

四十the rescission of the license referred to in Article 156-24, paragraph (1) under the provisions of Article 148 as applied mutatis mutandis pursuant to Article 156-26, or the provisions of Article 156-32, paragraph (1);

四十一an order for the suspension of all or part of the business under the provisions of Article 156-32, paragraph (1); or

四十二authorization under the provisions of Article 156-36.

一a notification under the provisions of Article 50-2, paragraph (1) or (7);

一の二a notification under the provisions of Article 57-18, paragraph (2);

二a notification under the provisions of Article 60-7 (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2));

三a notification under the provisions of Article 67-16 (limited to a notification of the suspension of all purchase and sales of over-the-counter traded securities registered by an authorized financial instruments firms association, or notification of the cancellation of that suspension);

四a notification under the provisions of Article 77-6, paragraph (3);

五a notification under the provisions of Article 106-8, paragraph (2), Article 106-22, paragraph (2), or Article 107, paragraph (2);

六a notification under the provisions of Article 120;

七a notification under the provisions of Article 128 (limited to a notification of the suspension of all purchase and sales of securities or market derivatives transactions for each financial instruments exchange market, or notification of the cancellation of that suspension);

八a notification under the provisions of Article 134, paragraph (2) or Article 135, paragraph (2); or

九a notification under the provisions of Article 155-8, paragraph (2).

十a notification under the provisions of Article 156-5-10, paragraph (1) or (2);

十一a notification under the provisions of Article 156-20-21, paragraph (3).