Supplementary Provisions, Article 7

①The provisions of Article 79-13 of the New Securities and Exchange Act apply to acts committed by a securities dealers association on or after the effective date that violate the laws and regulations, etc. referred to in that Article, and to the omission by that securities dealers association referred to in Article 79-13 of the New Securities and Exchange Act in the case where an association member or an issuer of over-the-counter traded securities prescribed in Article 76 of the New Securities and Exchange Act has, on or after the effective date, violated those laws and regulations, etc. or acted contrary to the principle of good faith in transactions provided for in the articles of incorporation or other rules of the securities dealers association.

②In the case where a former association, or its association member or officer, has come to fall under any item of Article 75 of the Former Securities and Exchange Act before the effective date, the provisions of that Article (excluding the part pertaining to rescission of registration) remain in force. In this case, a securities dealers association under the provisions of the New Securities and Exchange Act is deemed to be the former association.