ITEM DATE LAW NAME 1 2009.05.08 Directions for Public Companies Conducting Private Placements of Securities 2 2009.05.04 GreTai Securities Market Rules Governing Review of Call (put) Warrants Traded on Over-the-Counter Markets 3 2009.05.04 GreTai Securities Market Rules Governing Securities Trading on Over-the-Counter Markets 4 2009.05.04 GreTai Securities Market Regulations Governing Trading of Call (Put) Warrants 5 2009.04.30 Operating Rules of the Taiwan Stock Exchange Corporation 6 2009.04.30 GreTai Securities Market Rules Governing Over-the-Counter Trading of Emerging Stocks 7 2009.04.10 GreTai Securities Market Procedures for Review of Financial Reports of OTC Companies 8 2009.04.10 Taiwan Stock Exchange Corporation Measures for Responding to Natural Disasters 9 2009.04.10 GreTai Securities Market Handling Procedures for Routine Regulation and Regulation by Exception of Financial and Business Affairs of OTC Companies 10 2009.04.01 Taiwan Stock Exchange Corporation Rules Governing Trading of Securities in the Altered-Trading-Method Category 11 2009.03.31 Taiwan Stock Exchange Corporation Specific Standards and Procedures for Suspending and Reinstating Margin Purchase and Short Sale of Securities, and for Adjusting Margin Purchase Leverage Limits and Short Sale Margin Requirements 12 2009.03.30 GreTai Securities Market Rules Governing Review of Emerging Stocks Traded on the Over-the-Counter Market 13 2009.03.30 GreTai Securities Market Procedures for Verification and Disclosure of Material Information of OTC Companies 14 2009.03.30 Taiwan Stock Exchange Corporation Procedures for Review of Financial Reports of Listed Companies 15 2009.03.30 Taiwan Stock Exchange Corporation Procedures for Routine Regulation and Regulation by Exception Over Financial and Business Affairs of Listed Companies 16 2009.03.24 Taiwan Stock Exchange Corporation Rules Governing Information Reporting by Listed Companies 17 2009.03.16 Regulations Governing Establishment of Internal Control Systems by Public Companies 18 2009.03.10 GreTai Securities Market Procedures for Press Conferences Concerning Material Information of OTC companies 19 2009.03.06 Guidelines for Account Opening and Futures Trading by Insiders of Futures Introducing Brokers Opening Accounts to Engage in Futures Trading 20 2009.03.04 Regulations Governing the Operation of Futures Introducing Broker Business by Securities Firms 21 2009.02.13 Taiwan Futures Exchange Corporation Guidelines for Futures Commission Merchants Appointing Introducing Brokers to Assist in Processing Margin Withdrawal Requests from Futures Traders 22 2009.02.12 Regulations Governing the Preparation of Financial Reports by Futures Commission Merchants 23 2009.02.11 Regulations Governing Information to be Published in Order Tickets, Trade Reports, and Reconciliation Statements Prepared by Securities Brokers Upon Receiving Orders to Buy or Sell Securities 24 2009.02.06 Taiwan Stock Exchange Corporation Procedures for Verification and Disclosure of Material Information of Listed Companies 25 2009.02.03 Taiwan Stock Exchange Corporation Guidelines for Securities Brokers in Reporting Failed Trades and Default by Principals 26 2009.02.02 Taiwan Futures Exchange Corporation Operation Directions Governing the Sending of Reconciliation Statements and the Cancellation of Accounts by Futures Commission Merchants 27 2009.01.23 GreTai Securities Market Rules Governing Management of Foreign-denominated International Bonds 28 2009.01.23 GTSM Securities Market Rules Governing Review of OTC Trading of Foreign Securities 29 2009.01.17 Taiwan Stock Exchange Corporation Rules Governing Review of Securities Listings 30 2009.01.17 Operational Procedures for the Review of Foreign Securities for Listing by the Taiwan Stock Exchange Corporation 31 2009.01.15 Operational Regulations Governing Securities Firms Recommending Trades in Securities to Customers 32 2009.01.15 Operating Rules for Securities Business Money Lending by Securities Firms 33 2009.01.15 Regulations Governing Loaning of Funds and Making of Endorsements/Guarantees by Public Companies 34 2009.01.09 GreTai Securities Market Rules Governing Review of Securities Traded on Over-the-Counter Markets 35 2009.01.05 Taiwan Stock Exchange Corporation Rules Governing Brokerage Contracts of Securities Brokers 36 2008.12.31 Taiwan Stock Exchange Corporation Guidelines for the Exercise of Call (Put) Warrants 37 2008.12.31 Taiwan Stock Exchange Corporation Rules Governing Review of Call (Put) Warrant Listings 38 2008.12.31 Taiwan Stock Exchange Corporation Rules Governing Trading of Call (Put) Warrants 39 2008.12.31 GreTai Securities Market Directions for Review of Call (Put) Warrants 40 2008.12.31 Taiwan Stock Exchange Corporation Rules for Review of Call (Put) Warrant Listings 41 2008.12.31 Taiwan Stock Exchange Corporation Guidelines Governing the Particulars to be Recorded in a Public Offering Prospectus for Call (Put) Warrants 42 2008.12.31 GreTai Securities Market Directions for Information to be Published in Public Offering Prospectuses for Call (Put) Warrants 43 2008.12.29 Regulations Governing Applications for Issuance of Call (Put) Warrants by Issuers 44 2008.12.25 Taiwan Stock Exchange Corporation Rules Governing Block Trading of Listed Securities 45 2008.12.25 Regulations Governing Information to be Published in Annual Reports of Public Companies 46 2008.12.25 Regulations Governing Information to be Published in Public Offering and Issuance Prospectuses 47 2008.12.25 GreTai Securities Market Rules Governing Information Reporting by OTC Companies 48 2008.12.24 Taiwan Futures Exchange Corporation Trading Rules for the Gold Options Contract 49 2008.12.24 Taiwan Stock Exchange Corporation Operational Guidelines for Omnibus Trading Accounts 50 2008.12.24 Taiwan Futures Exchange Operational Key Points of Clearing and Settlement for Futures Commission Merchants and Clearing Members 51 2008.12.24 Taiwan Futures Exchange Corporation Rules Governing Surveillance Of Market Positions 52 2008.12.24 Taiwan Futures Exchange Corporation (TAIFEX) Operational Guidelines for Determining the NT Dollar-denominated Gold Futures Contract and Gold Options Contract Final Settlement Price 53 2008.12.24 Taiwan Futures Exchange Corporation Methods and Standards for Receipt of Clearing Margins 54 2008.12.24 Taiwan Futures Exchange Corporation Exchange Fee Schedule 55 2008.12.24 Directions for Reporting and Handling of Out-Trades and Account Number Corrections by Securities Brokers 56 2008.12.24 Taiwan Futures Clearing Service Fee Schedule 57 2008.12.23 Regulations Governing Securities Firms 58 2008.12.22 Regulations Governing Responsible Persons and Associated Persons of Securities Firms 59 2008.12.18 Regulations Governing The Use Of Trading Information 60 2008.12.18 Regulations Governing the Offering and Issuance of Securities by Foreign Securities Issuers 61 2008.12.15 GreTai Securities Market Rules Governing the Electronic Bond Trading System 62 2008.12.15 GreTai Securities Market Rules Governing When-issued Trading of Central Government Bonds at Places of Business of Securities Firms 63 2008.12.12 Taiwan Futures Exchange Corporation Trading Rules for Stock Option Contracts 64 2008.12.12 Operating Rules of the Taiwan Futures Exchange Corporation 65 2008.12.11 Taiwan Stock Exchange Corporation Procedures for Review of Securities Listings 66 2008.11.28 Regulations Governing Approval of Certified Public Accountants to Audit and Attest to the Financial Reports of Public Companies 67 2008.11.27 Regulations Governing Securities Investment Trust Funds (93.10.30) 68 2008.11.21 Taiwan Stock Exchange Corporation Rate Table for Securities Listing Fees 69 2008.11.21 Taiwan Stock Exchange Corporation Rules Governing the Collection of Securities Listing Application Review Fees 70 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Taiwan Stock Exchange Stock Index (TAIEX) Futures Contracts 71 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Taiwan Stock Exchange Electronic Sector Index Futures Contracts 72 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Taiwan Stock Exchange NonFinance NonElectronics Sub-Index Futures Contracts 73 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for MSCI Taiwan Stock Index SM Futures Contracts 74 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Taiwan Stock Exchange Banking and Insurance Sector Index Futures Contracts 75 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Mini-TAIEX Futures Contracts 76 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Taiwan Stock Exchange Taiwan 50 Index Futures Contracts 77 2008.11.07 Taiwan Futures Exchange Corporation Trading Rules for Taiwan Stock Exchange NonFinance NonElectronics Sub-Index Options Contracts 78 2008.11.05 Points For Attention for Futures Commission Merchants Engaging Securities Firms to Operate Futures Introducing Broker Business 79 2008.11.05 Taiwan Futures Exchange Directions For Clearing And Settlement Operations By Mandated Clearing Members 80 2008.11.04 GreTai Securities Market Guidelines for Lead Recommending Securities Firms Mandated to Assist Primary OTC Listed Companies in Complying with the Laws of the ROC and the GreTai Securities Market Rules Related to OTC listing 81 2008.11.04 Taiwan Stock Exchange Corporation Rules for the Review of Stock Exchange Listing Applications by Investment Holding Companies 82 2008.10.30 Regulations Governing Futures Trust Enterprises 83 2008.10.30 Regulations Governing Futures Trust Funds 84 2008.10.30 Standards Governing the Establishment of Futures Trust Enterprises 85 2008.10.29 Regulations Governing the Preparation of Financial Reports by Securities Firms 86 2008.10.23 Supplementary Provisions to the Taiwan Stock Exchange Corporation Rules for Review of Securities Listings 87 2008.10.14 Standards Governing Eligibility of Securities for Margin Purchase and Short Sale 88 2008.10.14 Regulations Governing Offshore Funds 89 2008.10.13 Taiwan Futures Exchange Corporation Guidelines Governing Applications by Institutional Investors to Increase Position Limits 90 2008.10.13 Taiwan Futures Exchange Corporation Rules Governing the Brokerage Contracts of Futures Brokers 91 2008.09.26 Operating Rules for Securities Lending by Securities Firms 92 2008.09.23 Agreement for Futures Trust Enterprise Engaging Other Professional Institution with Discretionary Power to Utilize Futures Trust Fund (Exemplar) 93 2008.09.05 GreTai Securities Market Rules Governing Over-the-Counter Trading of Financial Derivatives by Securities Firms 94 2008.09.04 Taiwan Stock Exchange Corporation Direction for Auditing Internal Control Systems of Listed Companies 95 2008.09.03 Guidelines for Settlement-Driven Securities Borrowing and Covering of Cash Collateral Shortfall by Securities Firms 96 2008.09.03 Taiwan Stock Exchange Corporation Operation Guidelines Governing Liquidity Providers of Exchange Traded Fund Beneficial Certificates 97 2008.09.03 Operating Rules for Securities Firms Handling Margin Purchases and Short Sales of Securities 98 2008.09.03 Taiwan Stock Exchange Corporation Securities Borrowing and Lending Rules 99 2008.09.03 Taiwan Stock Exchange Corporation Guidelines for Creation and Redemption of Exchange Traded Funds 100 2008.08.22 GreTai Securities Market Rules for Review of OTC Trading of Foreign Securities 101 2008.08.22 Taiwan Stock Exchange Corporation Procedures for Press Conferences Concerning Material Information of Listed Companies 102 2008.08.04 Regulations Governing Approval of Securities and Futures Transactions Between the Taiwan Area and the Mainland China Area 103