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Japan Securities Dealers Association

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Website:http://www.jsda.or.jp
Summary:Japan Securities Dealers Association (JSDA) is an association functioning as a self-regulatory organization (SRO) and as an interlocutor for the securities industry.
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Japan Securities Dealers Association (JSDA) is an association functioning as a self-regulatory organization (SRO) and as an interlocutor for the securities industry. Its legal status is a Financial Instruments Firms Association authorized by the Prime Minister pursuant to Article 67-2, Paragraph 2 of the Financial Instruments and Exchange Act (FIEA). Today JSDA comprises about 500 members consisting of securities firms and other financial institutions operating securities businesses in Japan.

As a fully empowered SRO, JSDA extensively regulates market intermediaries. Its self-regulatory functions encompass rule-making, enforcement, inspection, disciplinary actions, accreditation of sales representatives, and dispute mediation.

JSDA also provides vehicles for policy dialogue among the industry, the government and other related parties, conducts and promotes investor education, and implements studies for further activating the market.

Missions

The Missions of JSDA are to contribute to the protection of investors by ensuring fair and smooth trading in securities or other transactions by Association Members and to promote the sound development of the Japanese financial instruments business.

Types of members

Association Members are categorized into three groups:

1.Regular Members: Financial Instruments Business Operators conducting the Type I Financial Instruments Business (excluding, however, those who exclusively deal with OTC Financial Futures Derivative Transactions, etc. and those who fall into posterior 3.)
2.Specified Business Members: Financial Instruments Business Operators exclusively dealing with the following Type I Financial Instruments Businesses;
(i) Specified OTC Derivatives Transaction, etc.
(ii) Type I Small Amount Electronic Offering Handling Business prescribed in Article 29-4-2, Paragraph 10 of the FIEA.
3.Special Members: Registered Financial Institutions* prescribed in Article 2, Paragraph 11 of the FIEA.
Those who conduct the registered financial institutions businesses (among the businesses prescribed in Article 33-2 thereof, those set forth in Item 1 of the said Article (excluding those related to the rights that are set forth in each Item of Article 2, Paragraph 2 thereof and regarded as securities prescribed in the said Paragraph), Item 2 (excluding those related to the rights that are set forth in each Item of Article 2, Paragraph 2 thereof and regarded as securities prescribed in the said Paragraph), or Item 3 (limited to those related to the Specified OTC Derivative Transactions, etc.) or Securities, etc. administration business).
As of Jan.12, 2016, Association Members include 254 Regular Members, 3 Specified Business Members, and 213 Special Members.

History

1940 to 1941 According to the policy of one association for one prefecture, securities dealers associations were established in many local districts.
May 1949 The Japan Securities Dealers Joint Association was established as a federation of securities dealers associations.
May 1968 Thirty-three local securities dealers associations were consolidated into ten associations.
July 1973 The Japan Securities Dealers Joint Association and ten local securities dealers associations were dissolved and the Japan Securities Dealers Association was newly established, consisting of all national securities companies as direct constituent members, with its headquarters in Tokyo and with ten district offices.
July 1992 The association was reorganized fro m a corporate juridical person under the Civil Code to an authorized corporation under the Securities and Exchange Law with the revision of the Securities and Exchange Law.
April 1994 Financial institutions authorized to undertake securities business joined the association as special members.
April 1995 South Kyushu District Office was consolidated into the Kyushu District Office.
July 1998 JSDA integrated the Bond Underwriters Association of Japan into its organization.
February 2001 JSDA entrusted the operation of the over-the-counter stock market to Jasdaq.
July 2004 JSDA established a governance structure to manage independently the different functions of self-regulation and trade association in the same legal entity, and shifted to a new structured organization consisting of three sectors: Self-regulation, Securities Strategic Policy and General Affairs and Administration. JSDA also merged with the Association of Tokyo Stock Exchange Regular Members.
December 2004 Along with the establishment of Jasdaq Securities Exchange Inc., JSDA closed its Over-the-Counter Trading Securities Market.
April 2005 JSDA integrated the Japan Institute for Securities Information and Public Relations into its organization.
September 2007 With the implementation of Financial Instruments and Exchange Act, JSDA became an Authorized Financial Instruments Firms Association under the said Act.
February 2010 The JSDA entrusted the task of handling of customers' complaints, consultation regarding JSDA members and providing mediation service to resolve dispute over securities transaction between customers and JSDA members to Financial Instruments Mediation Assistance Center (FINMAC), which is an NPO.

〒103-0025
東京都中央区日本橋茅場町1の5の8
1-5-8, Kayaba-cho, Nihombashi, Chuo-ku, Tokyo 103-0025

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1 floor Japan Securities Dealers Association [*.*.*.*] published in 2016/01/23/ 04:22:00
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Japan Securities Dealers Association (JSDA) is an association functioning as a self-regulatory organization (SRO) and as an interlocutor for the securities industry.

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