一its trade name or name;

二the location of its head office or principal office;

三the amount of stated capital or the total amount of contributions;

四the title and the name of the officer that has the authority of representation;

五the name, and the address, residence, or other contact address in Japan, of the person that will perform the activities to which the application pertains;

六the following particulars, as scheduled, of the securities that are connected with the activities to which the application pertains:

イthe issuer or holder;

ロthe class;

ハthe volume and amount;

ニthe issuance or sales location;

ホthe date of issuance or sale;

ヘthe other financial instruments business operator managing the underwriting (meaning the financial instruments business operator that holds discussions with the issuer or holder of the securities in order to fix the content of the wholesale underwriting contract, when a wholesale underwriting contract is being concluded); and

七the amount that the applicant for permission seeks to underwrite.

一a document giving the business outline;

二a document summarizing underwriting activities in the most recent one-year period;

三a document in which the officer that has the authority of representation pledges that the applicant does not fall under the purview of Article 59-4, paragraph (1), item (i) or (ii), and that no officer falls under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i) (if the applicant for permission is an individual, a document in which the individual pledges that the relevant individual does not fall under the purview of Article 59-4, paragraph (1), item (i) or (ii) or under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i)); and

四the balance sheet and profit and loss statement for each business year ending in the most recent one-year period.

一the applicant has been continuously engaged in the same type of business in a foreign country as the business for which it seeks to obtain permission, for a period longer than the period specified by Cabinet Order;

二the applicant is a corporation whose stated capital or total contributions are not less than the amount specified by Cabinet Order as the amount necessary and appropriate in the public interest or for the protection of investors in light of the mode of business for which the applicant seeks to obtain permission; and

三the net assets provided for in Article 29-4, paragraph (1), item (v), (b) are not less than the amount specified by Cabinet Order as provided for in the preceding item.

一the applicant is a person that has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 53, paragraph (3), has had the permission referred to in Article 59, paragraph (1) rescinded pursuant to the provisions of paragraph (1) of the following Article, has had the registration referred to in Article 66 rescinded pursuant to the provisions of Article 66-20, paragraph (1), has had the registration referred to in Article 66-27 rescinded pursuant to Article 66-42, paragraph (1), has had the registration referred to in Article 66-50 rescinded pursuant to Article 66-63, paragraph (1), has had the registration referred to in Article 66-71 rescinded pursuant to Article 66-85, paragraph (1), or has had the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations; hereinafter the same applies in this item) rescinded pursuant to the provisions of Article 38, paragraph (1) of that Act (excluding items (ii), (iii), and (v)); or a person that had a registration of the same kind as the registration referred to in Article 29, Article 66, Article 66-27, Article 66-50, or Article 66-71 or Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto obtained in the country where its head office is located (including permission or any other administrative disposition similar to such a registration) rescinded pursuant to a foreign law or regulation that is equivalent to this Act or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; and for whom five years have not passed since the day of the rescission;

二the applicant has been sentenced to a fine (including an equivalent sentence under foreign laws and regulations) for violating the provisions of this Act, the Act on Investment Trusts and Investment Corporations, the Commodity Derivatives Transaction Act, the Act on Regulation of Commodity Investment, the Money Lending Business Act, the Act Regulating the Receipt of Contributions, the Receipt of Deposits, and Interest Rates, or the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; or for violating the provisions of a foreign law or regulation that is equivalent to any of these Acts, and five years have not passed since the day on which the applicant finished serving the sentence or ceased to be subject to its enforcement; and

三the applicant is a corporation that has a person falling under any of the persons set forth in Article 29-4, paragraph (1), item (ii), (a) through (i), as an officer (including a person that is found to have at least the same amount of authority as an officer over the corporation, irrespective of their title; hereinafter the same applies in paragraph (1), item (iii) of the following Article, Article 60-3, paragraph (1) and Article 60-8, paragraph (2)) or the domestic representative (meaning the representative in Japan of a foreign securities services provider prescribed in Article 817, paragraph (1) of the Companies Act; hereinafter the same applies in this Section).

一the foreign securities services provider comes to fall under paragraph (1), item (i) or (ii) of the preceding Article;

二the foreign securities services provider violates a law or regulation (including a foreign law or regulation) or a disposition by a government agency which is based on a law or regulation, or violates a condition attached to its permission or to the registration, etc. it has obtained in the state where its head office is located (meaning a registration of the same kind as the registration referred to in Article 29 (including permission or any other administrative disposition similar to such a registration); hereinafter the same applies in Article 60-3, paragraph (1), item (i), (b)), and rescinding its permission is found to be necessary and appropriate in the public interest or for the protection of investors; or

三the officer or the domestic representative of the foreign securities services provider (or, if the foreign securities services provider is an individual, that individual) comes to fall under any of the categories of persons set forth in Article 29-4, paragraph (1), item (ii), (a) through (i), or has acted as set forth in the preceding item, and it is found to be likely that the activities subject to the permission will not be performed fairly.