Regulations Governing Securities Firms Article 9
After completion of corporate registration, a securities firm shall deposit an operation bond with a bank designated by the FSC as follows:1. A securities underwriter: NT$40 million.2. A securities dealer: NT$10 million.3. A securities broker: NT$50 million. However, if the securities broker operates only the following business, the bond shall be NT$10 million:A. Operates only equity crowdfunding business.B. Operates only brokerage business for trading and exchanging beneficial certificates of funds.4. Operators of two or more types of securities business: aggregate of the amounts as referred to in the preceding three subparagraphs according to the types of business being engaged in.5. Establishment of a branch office: additional NT$5 million for each branch.6. Establishment of a simple branch office: additional NT$2 million for each simple branch.7. Conversion of a branch office into a simple branch office: for each branch that is converted, and after the license for the simple branch has been obtained, the originally deposited operation bond will be reduced to NT$2 million.The operation bond referred to in the preceding paragraph shall be deposited in cash, government bonds, or financial bonds.
中文原文 證券商管理規則第9條
證券商應於辦理公司登記後，依下列規定，向本會所指定銀行提存營業保證金：
一、證券承銷商：新臺幣四千萬元。
二、證券自營商：新臺幣一千萬元。
三、證券經紀商：新臺幣五千萬元。
但經營下列業務者為新臺幣一千萬元：
（一）僅經營股權性質群眾募資業務。
（二）僅經營基金受益憑證買賣及互易之居間業務。
四、經營二種以上證券業務者：按其經營種類依前三款規定併計之。
五、設置分支機構：每設置一家增提新臺幣五百萬元。
六、設置簡易分支機構：每設置一家增提新臺幣二百萬元。
七、分支機構變更為簡易分支機構：每變更一家並於取得簡易分支機構許可證照後，原提存之營業保證金減為新臺幣二百萬元。
前項之營業保證金，應以現金、政府債券或金融債券提存。
一、證券承銷商：新臺幣四千萬元。
二、證券自營商：新臺幣一千萬元。
三、證券經紀商：新臺幣五千萬元。
但經營下列業務者為新臺幣一千萬元：
（一）僅經營股權性質群眾募資業務。
（二）僅經營基金受益憑證買賣及互易之居間業務。
四、經營二種以上證券業務者：按其經營種類依前三款規定併計之。
五、設置分支機構：每設置一家增提新臺幣五百萬元。
六、設置簡易分支機構：每設置一家增提新臺幣二百萬元。
七、分支機構變更為簡易分支機構：每變更一家並於取得簡易分支機構許可證照後，原提存之營業保證金減為新臺幣二百萬元。
前項之營業保證金，應以現金、政府債券或金融債券提存。