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32![Tentative translation Only Japanese text is authentic Securities Inspection Guidelines August 2013 Tentative translation Only Japanese text is authentic Securities Inspection Guidelines August 2013](https://www.pdfsearch.io/img/7dbc95f392e209ae68d3f9cdb8a9971b.jpg) | Add to Reading ListSource URL: www.fsa.go.jpLanguage: English - Date: 2014-12-23 20:29:59
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33![Tentative translation Only Japanese text is authentic 〇 Frequently Asked Questions on Securities Inspections The Securities Exchange Surveillance Commission (SESC) has collected and summarized questions submitted by fi Tentative translation Only Japanese text is authentic 〇 Frequently Asked Questions on Securities Inspections The Securities Exchange Surveillance Commission (SESC) has collected and summarized questions submitted by fi](https://www.pdfsearch.io/img/08bae25ab334e40c90e979bb033506c5.jpg) | Add to Reading ListSource URL: www.fsa.go.jpLanguage: English - Date: 2014-12-23 20:29:58
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34![(Provisional Translation) April 16, 2013 Securities and Exchange Surveillance Commission The Securities Inspection Policy and the Program for 2013 I. Securities Inspection Policy (Provisional Translation) April 16, 2013 Securities and Exchange Surveillance Commission The Securities Inspection Policy and the Program for 2013 I. Securities Inspection Policy](https://www.pdfsearch.io/img/a496aef59ed302c5eb63b02c7bc05493.jpg) | Add to Reading ListSource URL: www.fsa.go.jpLanguage: English - Date: 2013-06-25 00:47:14
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35![Intermarket Surveillance Group _______________________________________ March 8, 2005 Jonathan G. Katz Secretary Securities and Exchange Commission Intermarket Surveillance Group _______________________________________ March 8, 2005 Jonathan G. Katz Secretary Securities and Exchange Commission](https://www.pdfsearch.io/img/106cc1e3fb1bd525736299878fac47e2.jpg) | Add to Reading ListSource URL: www.sec.govLanguage: English - Date: 2005-03-10 13:08:24
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36![NATIONAL MARKET SYSTEM PLAN OF THE OPTIONS REGULATORY SURVEILLANCE AUTHORITY The self-regulatory organizations named below as the parties to this plan, and any other self-regulatory organizations that may subsequently be NATIONAL MARKET SYSTEM PLAN OF THE OPTIONS REGULATORY SURVEILLANCE AUTHORITY The self-regulatory organizations named below as the parties to this plan, and any other self-regulatory organizations that may subsequently be](https://www.pdfsearch.io/img/f7437d49fff739b5f2b5ecae3847364b.jpg) | Add to Reading ListSource URL: www.sec.govLanguage: English - Date: 2006-04-17 14:42:22
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37![SRO FICC: Notice of Filing of Proposed Rule Change to Provide Interpretive Guidance to Members Regarding the Criteria Used to Place Members on Surveillance Status SRO FICC: Notice of Filing of Proposed Rule Change to Provide Interpretive Guidance to Members Regarding the Criteria Used to Place Members on Surveillance Status](https://www.pdfsearch.io/img/6694c3b5043ae256fcdba9f71f126b60.jpg) | Add to Reading ListSource URL: www.sec.govLanguage: English - Date: 2004-11-18 12:59:56
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38![ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION November[removed] ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION November[removed]](https://www.pdfsearch.io/img/44f767b3c85925efed827de877c510aa.jpg) | Add to Reading ListSource URL: www.sec.govLanguage: English - Date: 2009-01-21 11:53:10
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39![Agreement for the Allocation of Regulatory Responsibility of Surveillance, Investigation and Enforcement for Insider Trading pursuant to §17(d) of the Securities Exchange Act of 1934, 15 U.S.C. §78q (d), and Rule 17d-2 Agreement for the Allocation of Regulatory Responsibility of Surveillance, Investigation and Enforcement for Insider Trading pursuant to §17(d) of the Securities Exchange Act of 1934, 15 U.S.C. §78q (d), and Rule 17d-2](https://www.pdfsearch.io/img/9e92caa462d164bdbf30f3c9fcc68da4.jpg) | Add to Reading ListSource URL: www.sec.govLanguage: English - Date: 2008-10-20 15:44:17
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40![January 21, 2014 Securities and Exchange Surveillance Commission Toward Enhanced Market Integrity ‐SESC’s Policy Statement for the 8th Term*‐ January 21, 2014 Securities and Exchange Surveillance Commission Toward Enhanced Market Integrity ‐SESC’s Policy Statement for the 8th Term*‐](https://www.pdfsearch.io/img/e0a1afe558fbcff995571c60495c5463.jpg) | Add to Reading ListSource URL: www.fsa.go.jpLanguage: English - Date: 2014-01-31 04:46:47
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