Supplementary Provisions, Article 7
第七条
If the date of enforcement of the Act on the Arrangement of Related Acts upon the Enforcement of the Act Partially Amending the Securities and Exchange Act, etc. comes after the Partial Effective Date, for the application of the provisions of this Act set forth in the left-hand column of the following table during the period up to the day before the date of enforcement of that Act, the phrases set forth in the middle column of the same table in those provisions are deemed to be replaced with the phrases set forth in the right-hand column of the same table, respectively.
| Article 2, paragraph (2), item (xx) | financial instruments business operator prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act (Act No. 25 of 1948) | securities company, foreign securities company prescribed in Article 2, item (ii) of the Act on Foreign Securities Firms (Act No. 5 of 1971) (referred to simply as "foreign securities company" in Article 20, paragraph (6), item (i)), investment trust management company prescribed in Article 2, paragraph (18) of the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951) (referred to simply as "investment trust management company" in Article 20, paragraph (6), item (i)), trust beneficiary rights sales business operator prescribed in Article 2, paragraph (11) of the Trust Business Act (Act No. 154 of 2004), mortgage securities business operator prescribed in Article 2, paragraph (2) of the Act on Regulation of Mortgage Securities Business, etc. (Act No. 114 of 1987), commodity investment sales company prescribed in Article 2, paragraph (5) of the Act on Regulation of Commodity Investment (Act No. 66 of 1991) (referred to simply as "commodity investment sales company" in Article 20, paragraph (1), item (i)), and financial futures business operator prescribed in Article 2, paragraph (12) of the Financial Futures Trading Act (Act No. 77 of 1988) (referred to simply as "financial futures business operator" in Article 20, paragraph (6), item (i)) |
| Article 2, paragraph (2), item (xxi) | Article 2, paragraph (30) of the Financial Instruments and Exchange Act | Article 2, paragraph (32) of the Securities and Exchange Act (Act No. 25 of 1948) |
| Article 20, paragraph (1), item (i) | through item (xxiv) | , item (xxi), item (xxiii), item (xxiv) |
| Prime Minister | Prime Minister (or, for a specified business operator listed in item (xx) of that paragraph (limited to a commodity investment sales company), the competent minister prescribed in Article 49, paragraph (1) of the Act on Regulation of Commodity Investment) | |
| Article 20, paragraph (3) | Article 33-2 of the Financial Instruments and Exchange Act | Article 65-2, paragraph (1) of the Securities and Exchange Act |
| registered financial institution business (meaning the registered financial institution business prescribed in Article 33-5, paragraph (1), item (iii) of that Act; the same applies in paragraph (6), item (ii)) | the acts prescribed in each item of Article 65, paragraph (2) of that Act relating to the securities or transactions listed in each item of that paragraph (excluding those falling under the proviso to paragraph (1) of that Article) | |
| the registered financial institution business | the act | |
| Article 20, paragraph (6), item (i) | the specified business operators listed in Article 2, paragraph (2), items (xx) and (xxii) | the specified business operators listed in Article 2, paragraph (2), item (xx) (limited to securities companies, foreign securities companies, investment trust management companies and financial futures business operators) |
| Article 20, paragraph (6), item (ii) | relating to registered financial institution business | prescribed in paragraph (3) |
| Article 28 (including the heading) | Financial Instruments and Exchange Act | Securities and Exchange Act |
証券取引法等の一部を改正する法律の施行に伴う関係法律の整備等に関する法律の施行の日が一部施行日後となる場合には、同法の施行の日の前日までの間における次の表の上欄に掲げるこの法律の規定の適用については、これらの規定中同表の中欄に掲げる字句は、それぞれ同表の下欄に掲げる字句とする。
| 第二条第二項第二十号 | 金融商品取引法(昭和二十三年法律第二十五号)第二条第九項に規定する金融商品取引業者 | 証券会社、外国証券業者に関する法律(昭和四十六年法律第五号)第二条第二号に規定する外国証券会社(第二十条第六項第一号において単に「外国証券会社」という。)、投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)第二条第十八項に規定する投資信託委託業者(第二十条第六項第一号において単に「投資信託委託業者」という。)、信託業法(平成十六年法律第百五十四号)第二条第十一項に規定する信託受益権販売業者、抵当証券業の規制等に関する法律(昭和六十二年法律第百十四号)第二条第二項に規定する抵当証券業者、商品投資に係る事業の規制に関する法律(平成三年法律第六十六号)第二条第五項に規定する商品投資販売業者(第二十条第一項第一号において単に「商品投資販売業者」という。)及び金融先物取引法(昭和六十三年法律第七十七号)第二条第十二項に規定する金融先物取引業者(第二十条第六項第一号において単に「金融先物取引業者」という。) |
| 第二条第二項第二十一号 | 金融商品取引法第二条第三十項 | 証券取引法(昭和二十三年法律第二十五号)第二条第三十二項 |
| 第二十条第一項第一号 | から第二十四号まで | 、第二十一号、第二十三号、第二十四号 |
| 内閣総理大臣 | 内閣総理大臣(同項第二十号に掲げる特定事業者(商品投資販売業者に限る。)にあっては、商品投資に係る事業の規制に関する法律第四十九条第一項に規定する主務大臣) | |
| 第二十条第三項 | 金融商品取引法第三十三条の二 | 証券取引法第六十五条の二第一項 |
| 登録金融機関業務(同法第三十三条の五第一項第三号に規定する登録金融機関業務をいう。第六項第二号において同じ。) | 同法第六十五条第二項各号に掲げる有価証券又は取引に係る同項各号に定める行為(同条第一項ただし書に該当するものを除く。) | |
| 当該登録金融機関業務 | 当該行為 | |
| 第二十条第六項第一号 | 第二条第二項第二十号及び第二十二号に掲げる特定事業者 | 第二条第二項第二十号に掲げる特定事業者(証券会社、外国証券会社、投資信託委託業者及び金融先物取引業者に限る。) |
| 第二十条第六項第二号 | 登録金融機関業務に係る | 第三項に規定する |
| 第二十八条(見出しを含む。) | 金融商品取引法 | 証券取引法 |