Amendments


Title： Regulations Governing Securities Firms(2014.06.27)
Date：
Article 37-1        When a securities firm, in brokerage trading of securities, accepts customer settlement by means of mutually offsetting an equal quantity of cash purchases and spot sales of the same security that have been executed through the same account on the same business day, it shall do so in accordance with the Operational Rules Governing Day Trades of Securities as adopted by the Taiwan Stock Exchange and the GreTai Securities Marker.
     The types and scope of the securities under the preceding paragraph shall be separately prescribed by the FSC.
Article 69       These Regulations shall enter into force from the date of issuance, with the exception of Articles 16 and 47 as amended and issued on 11 October 2012, which shall enter into force from the fiscal year of 2013, and of Articles 37 and 37-1 as amended and issued on 30 December 2013, which shall enter into force from 6 January 2014, and of Article 37-1 as amended and issued on 27 June 2014, which shall enter into force from 30 June 2014.