Regulations Governing Securities Firms Article 19-3
A securities firm meeting the qualifying requirements listed below may operate derivative financial product trading business at its business premises, and shall do so in accordance with the provisions of the TPEx:1. It must be an integrated securities firm that concurrently engages in brokerage, underwriting, and dealership business.2. Its CPA audited or reviewed financial report for the most recent period shows net worth not less than paid-in capital, and its financial condition meets the provisions of Articles 13, 14, 16, 18, 18-1 and 19.3. It must have reported a regulatory capital adequacy ratio meeting the requirements of the FSC for each of the most recent 6 months.4. It must be free of any of the following circumstances:A. Any sanction, during the preceding 3 months, under Article 66, subparagraph 1 of the Act or Article 100, paragraph 1, subparagraph 1 of the Futures Trading Act.B. Any sanction, during the preceding 6 months, under Article 66, subparagraph 2 of the Act or Article 100, paragraph 1, subparagraph 2 of the Futures Trading Act.C. Any sanction imposed by the FSC during the preceding year requiring a suspension of business.D. Any sanction imposed by the FSC during the preceding 2 years voiding approval for any part of its business.E. Any sanction during the preceding 1 year of suspension or restriction of trading by the TPEx, TWSE, or TAIFEX pursuant to its operating rules or bylaws.Any securities firm in non-conformance with the conditions of subparagraph 4 of the preceding paragraph but that has made concrete improvement and has satisfied the FSC thereof shall not be subject to the restrictions of that subparagraph.
中文原文 證券商管理規則第19-3條
證券商符合下列資格條件，得於其營業處所經營衍生性金融商品交易業務，並應依證券櫃檯買賣中心之規定辦理：
一、須為同時經營證券經紀、承銷及自營業務之證券商。
二、最近期經會計師查核或核閱之財務報告淨值不低於實收資本額；財務狀況符合第十三條、第十四條、第十六條、第十八條、第十八條之一及第十九條之規定。
三、最近六個月每月申報之自有資本適足比率均須符合本會規定。
四、無下列情事之一：
（一）最近三個月曾受本法第六十六條第一款或期貨交易法第一百條第一項第一款之處分者。
（二）最近六個月曾受本法第六十六條第二款或期貨交易法第一百條第一項第二款之處分者。
（三）最近一年曾受本會停業處分者。
（四）最近二年曾受本會撤銷部分營業許可之處分者。
（五）最近一年曾受證券櫃檯買賣中心、證券交易所及臺灣期貨交易所股份有限公司依營業細則或業務章則處以停止或限制買賣處置者。
證券商不符前項第四款之條件，但其情事已具體改善，並經本會認可，得不受其限制。
一、須為同時經營證券經紀、承銷及自營業務之證券商。
二、最近期經會計師查核或核閱之財務報告淨值不低於實收資本額；財務狀況符合第十三條、第十四條、第十六條、第十八條、第十八條之一及第十九條之規定。
三、最近六個月每月申報之自有資本適足比率均須符合本會規定。
四、無下列情事之一：
（一）最近三個月曾受本法第六十六條第一款或期貨交易法第一百條第一項第一款之處分者。
（二）最近六個月曾受本法第六十六條第二款或期貨交易法第一百條第一項第二款之處分者。
（三）最近一年曾受本會停業處分者。
（四）最近二年曾受本會撤銷部分營業許可之處分者。
（五）最近一年曾受證券櫃檯買賣中心、證券交易所及臺灣期貨交易所股份有限公司依營業細則或業務章則處以停止或限制買賣處置者。
證券商不符前項第四款之條件，但其情事已具體改善，並經本會認可，得不受其限制。