Regulations Governing Securities Firms Article 3
In case of any of the following events, a securities firm shall report to the FSC for approval in advance:1. Change of name of the firm.2. Change of capital amount, working capital, or funds for operating business.3. Change of the business premises of the firm, a branch office, or a simple branch office.4. Acquisition of the entire or major part of the business or assets of another person, or transfer of the entire or major part of the business or assets of the firm to another person.5. Merger or dissolution.6. Investment in a foreign securities firm.7. Any other matters which under the regulation of the FSC shall be reported to and approved by the FSC in advance.Where a securities firm has entered into a contract for using the centralized securities market with the TWSE, matters to be reported and approved as referred to in the preceding paragraph shall be submitted to the TWSE for transmittal to the FSC. Where a securities firm only entered into a contract for trading securities on the Taipei Exchange (TPEx), the submission shall be made to the FSC through the TPEx. Where no contract has been entered into, the submission shall be made to the FSC through the Securities Association.
中文原文 證券商管理規則第3條
證券商有下列情事之一者，應先報經本會核准：
一、變更機構名稱。
二、變更資本額、營運資金或營業所用資金。
三、變更機構、分支機構或簡易分支機構營業處所。
四、受讓或讓與他人全部或主要部分營業或財產。
五、合併或解散。
六、投資外國證券商。
七、其他經本會規定應先報經核准之事項。
證券商與證券交易所訂立有價證券集中交易市場使用契約者，前項所列須先報經核准之事項，應送由證券交易所轉送本會；僅與財團法人中華民國證券櫃檯買賣中心（以下簡稱證券櫃檯買賣中心）訂立證券商經營櫃檯買賣有價證券契約者，應送由證券櫃檯買賣中心轉送本會；均未訂立者，應送由證券商同業公會轉送本會。
一、變更機構名稱。
二、變更資本額、營運資金或營業所用資金。
三、變更機構、分支機構或簡易分支機構營業處所。
四、受讓或讓與他人全部或主要部分營業或財產。
五、合併或解散。
六、投資外國證券商。
七、其他經本會規定應先報經核准之事項。
證券商與證券交易所訂立有價證券集中交易市場使用契約者，前項所列須先報經核准之事項，應送由證券交易所轉送本會；僅與財團法人中華民國證券櫃檯買賣中心（以下簡稱證券櫃檯買賣中心）訂立證券商經營櫃檯買賣有價證券契約者，應送由證券櫃檯買賣中心轉送本會；均未訂立者，應送由證券商同業公會轉送本會。