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.

一a person set forth in Article 29-4, paragraph (1), item (ii), (a) through (i);

二a person that has had the registration as a sales representative (including the sales representative prescribed in paragraph (1) of the preceding Article as applied mutatis mutandis pursuant to Article 66-25 and the sales representative prescribed in Article 75, paragraph (1) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the same applies in the following item) rescinded pursuant to the provisions of Article 64-5, paragraph (1) (including as applied mutatis mutandis pursuant to Article 66-25 and pursuant to Article 77 of that Act), for whom five years have not passed since the date of the rescission;

三a person registered as a sales representative that belongs to a financial instruments business operator, etc. or financial instruments intermediary service provider, or financial service intermediary other than the applicant for registration; or

四a person that has obtained the registration referred to in Article 66 or a person that has obtained 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).

一a particular set forth in Article 64, paragraph (3), item (iii), (a) or (b) changes;

二the case comes to fall under the case specified by Cabinet Office Order as being likely to fall under Article 29-4, item (ii), (a);

三the person comes to fall under any of Article 29-4, paragraph (1), item (ii), (b) through (i); or

四the person no longer performs the duties of a sales representative due to leaving office or for other reasons.