To the Director-General of the Kanto Local Finance Bureau

Date: Y:2008M:01 D:28

To the Director-General of the Kanto Local Finance Bureau

Applicant / (Zip Code: 100-000)
Address:1 Lombard Street
San Francisco
California
United States of America
Telephone Number:+1 312 000 000
Name of Corporation: ABC Corporation
Full name: John Smith
Title: Managing Director
Signature: John Smith

Registration Application Form

In accordance with Article 29-2 of the Financial Instruments and Exchange Law (FIEL), I hereby apply for the registration stipulated in Article 29 of the FIEL. I confirm that the statements described in this application form and the attached documents are true and correct.

＊Registration No. / Kanto Local Finance Bureau No. (Y: /M: /D: )
＊Approval granted under Paragraph 1 of Article 30 of the Law / Approved business, if any / Date of Approval
1 / Legal status
(corporation or individual) / Corporation, etc. / Individual
( Readings ) / (Readings in katakana – TFX to input)
2 / Corporate name or denomination / ABCCorporation
( Readings) / (Readings in katakana – TFX to input)
3 / Full name / John Smith
4 / For a corporation, etc., capital amount or total amount of contribution (in the case of foreign entity that will operate the first financial instrument business, capital amount or total amount of contribution and amount of brought in capital) / See Exhibit 1
5 / Name or denomination of board members, in the case of corporation, etc. (for foreign entity, the name of the representative in Japan shall be included) / See Exhibit 2
6 / Name of employees who control compliance supervisory activities (including the name of those prescribed in Paragraph 1 of Article 6 of Ordinance) in relation to financial instruments business / See Exhibit 3
7 / Name of employees who control the division that provides advisory service or conducts investment management activities in relation to investment advisory or investment management business (including name of those prescribed in Paragraph 2 of Article 6 of Ordinance). / See Exhibit 4
8 / Name of employees who control the business activities of the sales offices or offices stipulated in Item 6 of Paragraph 1 of Article 29-2 of the Law in relation to the investment advisory and agency business (including the name of those stipulated in Paragraph 1 of Article 6 of Ordinance). / See Exhibit 5
9 / Business categories / See Exhibit 6
10 / Name and address of the principal business office and other sales offices or offices (in the case of a foreign entity, name and address of principal business office or principal sales offices or offices located in Japan) / See Exhibit 7
11 / Types of other businesses operated / See Exhibit 8
12 / Name of the financial instruments business association which the applicant will join and the authorized investor protection group which constitutes a target entity
13 / Name of financial instruments exchange which the applicant will become a member of / Tokyo Financial Exchange Inc.
14 / The matters prescribed in Paragraph 3-(b) and Paragraph 4 through Paragraph 9 of Article 7 of Ordinance / See Exhibit 9
15 / In the case that the applicant wishes to operate the first financial instruments business, the name of the investor protection fund that it will join

Registration Application Form (No. 3)

(No. 3)

（Exhibit 1: Capital Amount or Total Amount of Contributions and Amount of Brought In Capital）

ABC Corporation

Amount of capital or total amount of contribution / Date
○○○,○○○, ○○○, ○○○JPY
Amount in original currency:○○○GBP
Exchange rate used: 184.20 / As of YYYY/MM/DD
Amount of brought in capital / Date
○○○, ○○○, ○○○, ○○○JPY
Amount in original currency:○○○GBP
Exchange rate used: 184.20 / As of YYYY/MM/DD

Registration Application Form (No. 4)

(No. 4)

(Exhibit 2: Name and Title of Board Members (In the Case of a Foreign Entity, Incl. Representative in Japan))

ABC Corporation

(As of YYYY/MM/DD)

Full name or denomination / Title
ジョン スミス(inputted by TFX)
John Smith
ロバート ブラウン
Robert Brown
Saburo Minamida / Managing Director (Representative)
Chief Operating Officer
Accountant (Representative in Japan)

Registration Application Form (No. 5)

(No. 5)

(Exhibit 3: Name of Employees Who Control the Compliance Supervisory Activities in Relation to Financial Instruments Business)

ABC Corporation

(As of YYYY/MM/DD)

Full name / Title
Claire Spencer
Mark White / General Manager, Market Management Dept.
General Manager, Compliance Dept.

Registration Application Form (No.6)

(No. 6)

(Exhibit 4: Name of Employees Who Control the Division That Provides Investment Advisory Services or Conducts Investment Management with Respect to Investment Advisory Business or Investment Management Business)

ABC Corporation

(As of YYYY/MM/DD)

Full name / Title
○○○○ / ○○○○○○○○

Registration Application Form (No. 7)

(No. 7)

(Exhibit 5: Name of Employees Who Controls Business Activities of Sales Offices or Offices Stipulated in Item 6 of Paragraph 1 of Article 29-2 of the FIEL in respect to the Investment Advisory and Agency Business)

ABC Corporation

(As of YYYY/MM/DD)

Full name / Title
○○○○ / ○○○○○

Registration Application Form (No. 8)

(No. 8)

（Exhibit 6: Business Category）

ABC Corporation

(As of YYYY/MM/DD)

* 3 Business category
1 Business concerning the conduct stipulated in Item 1 of Paragraph 1 of Article 28 of the FIEL. (*4 Date: MM/DD/YYYY)
2 Business concerning the conduct stipulated in Item 2 of Paragraph 1 of Article 28 of the FIEL (Date: MM/DD/YYYY)
3 Business concerning the conduct stipulated in Item 3-(a) of Paragraph 1 of Article 28 of the FIEL (Date: MM/DD/YYYY)
4 Business concerning the conduct stipulated in Item 3-(b) of Paragraph 1 of Article 28 of the FIEL (Date: MM/DD/YYYY)
5 Business concerning the conduct stipulated in Item 3-(c) of Paragraph 1 of Article 28 of the FIEL (Date: MM/DD/YYYY)
6 Business concerning the conduct stipulated in Item 4 of Paragraph 1 of Article 28 of the FIEL (Date: MM/DD/YYYY)
7 Securities management business (Date: MM/DD/YYYY)
8 The second financial instruments business (Date: MM/DD/YYYY)
9 Investment advisory and agency business (Date: MM/DD/YYYY)
10 Investment management business (Date: MM/DD/YYYY)

Registration Application Form (No. 9)

(No. 9)

(Exhibit 7: Name and Address of the Principal Business Office or Other Sales Office and Offices (in the Case of a Foreign Entity, Principal Business Office and PrincipalSales Office or Office in Japan)

ABC Corporation

(As of YYYY/MM/DD

Denomination / Address
Principal business office
○○branch office
○○branch office
○○branch office
○○branch office / Address

Registration Application Form (No. 10)

(No. 10)

(Exhibit 7-2: Of Other Sales Offices or Offices, status of the unmanned office or office)

ABC Corporation

(As of YYYY/MM/DD)

Name of Finance Bureau, etc. / Principal business office, other sales offices or office that control the unmanned sales office or offices *3 / Number of unmanned sales offices or offices
Name / Address
○○Finance Bureau
○○Finance Bureau / Principal office
○○branch / ○-○-○○○-cho, ○○-shi, ○○Prefecture
○-○-○○○-cho, ○○-shi, ○○Prefecture / ○
○
○offices
in total

Registration Application Form (No. 11)

(No. 11)

(Exhibit 8: Types of Other Businesses Operated)

ABC Corporation

(As of YYYY/MM/DD)

Types of other businesses operated
e.g. Real estate lease business

Registration Application Form (No. 12)

(No. 12)

(Exhibit 9：Matters Subscribed in Paragraph 3-(a) and Paragraph 4 through Paragraph 9 of Article 7 of Ordinance)

ABC Corporation

(As of YYYY/MM/DD)

Matters Subscribed in Paragraph 3-(a) and Paragraph 4 through Paragraph 9 of Article 7
1The fact that the applicant will operate the securities related business
2 The fact that the applicant will operate commodity investment related business
⑴The fact that the commodity investment related business that the applicant will operate involves only the goods stipulated in the Item 2-(b) of Paragraph 1 of Article 37 of Order or agriculture, forestryandfisheriesrelated products, etc.
⑵The fact that the commodity investment related business that the applicant will operate involves only the goods stipulated in Item 2-(c) through (e) of Article 37 of the Order or economic or industrial products
⑶The fact that the applicant will operate race horse investment related business
3 The fact that the applicant will engage in the conduct stipulated in the each Item ofParagraph 2 of Article 194-6 of the FIEL
4 The fact that the applicant will operate specific real estate related investment management business
5 The fact that the applicant will conduct specific securities management activities
6 The fact that the applicant will conduct the specific underwriting activities.
7 The fact that the applicant will conduct specific securities management activities.

Written Oath by Representative

Date:YYYY/MM/DD

To the Director-General of the Kanto Local Finance Bureau

Applicant / (Zip Code: 100-000)
Address:1 Lombard Street
San Francisco
California
United States of America
Name of Corporation: ABC Corporation
Signature:______
Full name of representative: John Smith
Title of representative: Managing Director
Signature: John Smith

A Written Oath

I hereby swear that we, at this company, are not those who fall under any of the conditions stipulated in each Item of Paragraph 1 of Article 29-4 (except for Item 1-(c) and (d), and Item 5-(c)) of the Financial Instruments and Exchange Law.