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Read the text in force →金融商品取引法
Chapter VIII Penal Provisions (Articles 201 to 204)
The law as Act Partially Amending the Financial Instruments and Exchange Act and the Payment Services Act (Act No. 64 of 2026) leaves it, with the words it changes marked.
The main text is read a page at a time: a chapter to a page, and a long chapter in runs of articles. The whole main text, and the supplementary provisions and appended tables this amendment changes. Those it leaves untouched are on the page for the text in force.
If any of the following items applies, the person who has committed the violation is subject to punishment by imprisonment for not longer than one year, a fine of not more than one million yen, or both:
次の各号のいずれかに該当する場合には、当該違反行為をした者は、一年以下の拘禁刑若しくは百万円以下の罰金に処し、又はこれを併科する。
the person conducts business prescribed in Article 30, paragraph (1) without obtaining authorization under the provisions of that paragraph (excluding the case where the person conducts it pursuant to the provisions of the proviso to that paragraph);
第三十条第一項の規定による認可を受けないで同項に規定する業務を行つたとき（同項ただし書の規定により行う場合を除く。）。
the person violates the conditions attached pursuant to the provisions of Article 30-2, paragraph (1) (including as applied mutatis mutandis pursuant to Article 87-2, paragraph (3); Article 87-3, paragraph (5); Article 106-3, paragraph (6); Article 106-10, paragraph (5); Article 106-17, paragraph (5); Article 106-24, paragraph (2); Article 155, paragraph (2); Article 156-5-5, paragraph (6); or Article 156-20-16, paragraph (4)); Article 59, paragraph (2); Article 60, paragraph (2) (including as applied mutatis mutandis pursuant to Article 60-14, paragraph (2)); Article 85, paragraph (2); or Article 156-6, paragraph (4) (including as applied mutatis mutandis pursuant to Article 156-19, paragraph (4));
第三十条の二第一項（第八十七条の二第三項、第八十七条の三第五項、第百六条の三第六項、第百六条の十第五項、第百六条の十七第五項、第百六条の二十四第二項、第百五十五条第二項、第百五十六条の五の五第六項及び第百五十六条の二十の十六第四項において準用する場合を含む。）、第五十九条第二項、第六十条第二項（第六十条の十四第二項において準用する場合を含む。）、第八十五条第二項又は第百五十六条の六第四項（第百五十六条の十九第四項において準用する場合を含む。）の規定により付した条件に違反したとき。
the person violates the provisions of Article 31, paragraph (6);
第三十一条第六項の規定に違反したとき。
the person violates the provisions of Article 31-2, paragraph (5); Article 33, paragraph (1); Article 33-2; Articles 41-3 through 41-5; Article 42-5; Article 42-6; or Article 66-13;
第三十一条の二第五項、第三十三条第一項、第三十三条の二、第四十一条の三から第四十一条の五まで、第四十二条の五、第四十二条の六又は第六十六条の十三の規定に違反したとき。
the person conducts financial instruments business or performs services prescribed in Article 35, paragraph (1) and services other than those set forth in the items of Article 35, paragraph (2), without obtaining the approval under the provisions of Article 35, paragraph (4);
第三十五条第四項の規定による承認を受けないで金融商品取引業並びに同条第一項に規定する業務及び同条第二項各号に掲げる業務以外の業務を行つたとき。
the person violates a disposition for the suspension of business under Article 52, paragraph (1) (limited to the part involving the authorization referred to in Article 30, paragraph (1)) or Article 52-2, paragraph (1);
第五十二条第一項（第三十条第一項の認可に係るものに限る。）又は第五十二条の二第一項の規定による業務の停止の処分に違反したとき。
the person violates the provisions of Article 64, paragraph (2) (including as applied mutatis mutandis pursuant to Article 66-25) in allowing a person to perform the duties of a sales representative;
第六十四条第二項（第六十六条の二十五において準用する場合を含む。）の規定に違反して、外務員の職務を行わせたとき。
the person violates the provisions of Article 67-7, Article 97, or Article 102-21;
第六十七条の七、第九十七条又は第百二条の二十一の規定に違反したとき。
the person entrusts the self-regulatory services prescribed in Article 84, paragraph (2) to a self-regulatory organization prescribed in that paragraph without obtaining the authorization from the Prime Minster, in violation of Article 85, paragraph (1);
第八十五条第一項の規定に違反して内閣総理大臣の認可を受けないで同項に規定する自主規制法人に第八十四条第二項に規定する自主規制業務の委託を行つたとき。
the person violates an order under the provisions of Article 106-7, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) of that Article, or under the provisions of Article 106-21, paragraph (1) as applied mutatis mutandis pursuant to paragraph (4) of that Article;
第百六条の七第四項において準用する同条第一項又は第百六条の二十一第四項において準用する同条第一項の規定による命令に違反したとき。
the person violates an order under the provisions of Article 106-28, paragraph (1) (including as applied mutatis mutandis pursuant to Article 109);
第百六条の二十八第一項（第百九条において準用する場合を含む。）の規定による命令に違反したとき。
the person conducts business other than that prescribed in Article 156-24, paragraph (1) and the items of Article 156-27, paragraph (1) without obtaining the approval under the provisions of Article 156-27, paragraph (3); and
第百五十六条の二十七第三項の規定による承認を受けないで第百五十六条の二十四第一項及び第百五十六条の二十七第一項各号に規定する業務以外の業務を行つたとき。
the person performs an act that is allowed only with the authorization of the Prime Minister pursuant to Article 156-28, paragraph (1), without obtaining the authorization under the provisions of that paragraph.
第百五十六条の二十八第一項の規定による認可を受けないで、同項の規定により内閣総理大臣の認可を受けてできることとされる行為をしたとき。
A person that acts with the aim of paying or receiving the difference in quotations on a financial instruments exchange market (including financial indexes calculated based on prices or interest rates, etc. of financial instruments on a financial instruments exchange market) other than through a financial instruments exchange market, is subject to imprisonment for not more than one year, a fine of not more than one million yen, or both; provided, however, that this does not preclude the application of the provisions of Article 186 of the Penal Code.
取引所金融商品市場によらないで、取引所金融商品市場における相場（取引所金融商品市場における金融商品の価格又は利率等に基づき算出される金融指標を含む。）により差金の授受を目的とする行為をした者は、一年以下の拘禁刑若しくは百万円以下の罰金に処し、又はこれを併科する。ただし、刑法第百八十六条の規定の適用を妨げない。
The provisions of the preceding paragraph do not apply to the following transactions:
前項の規定は、次に掲げる取引については、適用しない。
over-the-counter derivatives transactions in which one of the parties is a financial instruments business operator (limited to one that engages in type-I financial instruments business prescribed in Article 28, paragraph (1); hereinafter the same applies in this paragraph) or a bank, cooperative financial institution, or financial institution specified by Cabinet Order as referred to in Article 33, paragraph (1);
金融商品取引業者（第二十八条第一項に規定する第一種金融商品取引業を行う者に限る。以下この項において同じ。）又は第三十三条第一項に規定する銀行、協同組織金融機関その他政令で定める金融機関が一方の当事者となる店頭デリバティブ取引
over-the-counter derivatives transactions for which a financial instruments business operator or a bank, cooperative financial institution, or financial institution specified by Cabinet Order as referred to in Article 33, paragraph (1) conducts intermediation, brokerage, or agency; and
金融商品取引業者又は第三十三条第一項に規定する銀行、協同組織金融機関その他政令で定める金融機関が媒介、取次ぎ若しくは代理を行う店頭デリバティブ取引
transactions in which one of the parties is a commodity futures transactions dealer or a person that made a notification prescribed in Article 349, paragraph (1) of the Commodity Derivatives Transaction Act.
商品先物取引業者又は商品先物取引法第三百四十九条第一項の届出をした者が一方の当事者となる取引
If the officer or official of a financial instruments business operator (or the domestic representative or officer stationed at a business office or office established in Japan, if the financial instruments business operator is a foreign corporation; hereinafter the same applies in this paragraph); the officer or official of a certified specified non-financial information audit certification business association prescribed in Article 26-29, paragraph (2); the officer or official of an authorized financial instruments firms association, certified financial instruments business association prescribed in Article 78, paragraph (2), or financial instruments exchange (including a provisional board member, provisional inspector, provisional director, provisional executive officer, or provisional company auditor); or the domestic representative or official of a foreign financial instruments exchange (if the foreign financial instruments exchange has a domestic office, this includes any officer stationed there) accepts a bribe in connection with that person's duties (in the case of the officer or official of a financial instruments business operator, limited to duties involved in the business of a financial instruments business operator that is entrusted by an investor protection fund pursuant to the provisions of Article 79-50, paragraph (1)), or requests or promises to do so, that person is subject to imprisonment for not more than five years.
金融商品取引業者の役員（当該金融商品取引業者が外国法人である場合には、国内における代表者及び国内に設ける営業所又は事務所に駐在する役員。以下この項において同じ。）若しくは職員、第二十六条の二十九第二項に規定する認定特定非財務情報監査証明業協会の役員若しくは職員、認可金融商品取引業協会若しくは第七十八条第二項に規定する認定金融商品取引業協会若しくは金融商品取引所の役員（仮理事及び仮監事並びに仮取締役、仮執行役及び仮監査役を含む。）若しくは職員又は外国金融商品取引所の国内における代表者（国内に事務所がある場合にあつては、当該事務所に駐在する役員を含む。）若しくは職員が、その職務（金融商品取引業者の役員又は職員にあつては、第七十九条の五十第一項の規定により投資者保護基金の委託を受けた金融商品取引業者の業務に係る職務に限る。）に関して、賄賂を収受し、又はその要求若しくは約束をしたときは、五年以下の拘禁刑に処する。
In the case referred to in the preceding paragraph, any bribe that is accepted is subject to confiscation. If all or part of a bribe cannot be confiscated, an equivalent value is to be collected.
前項の場合において、収受した賄賂は、これを没収する。その全部又は一部を没収することができないときは、その価額を追徴する。
A person that provides the bribe referred to in paragraph (1) or that offers or promises to do so is subject to imprisonment for not more than three years or by a fine of not more than three million yen.
第一項の賄賂を供与し、又はその申込み若しくは約束をした者は、三年以下の拘禁刑又は三百万円以下の罰金に処する。
The provisions regarding the crimes referred to in paragraph (1) of the preceding Article also apply to a person that commits a crime referred to in that paragraph outside Japan.
前条第一項の罪は、日本国外において同項の罪を犯した者にも適用する。
A crime referred to in paragraph (3) of the preceding Article is governed by the provisions of Article 2 of the Penal Code.
前条第三項の罪は、刑法第二条の例に従う。
A person that violates the provisions of Article 26-32, Article 72 (including as applied mutatis mutandis pursuant to Article 79 or Article 79-14); Article 77-2, paragraph (7) or (8) (including as applied mutatis mutandis pursuant to Article 77-3, paragraph (4), Article 78-7, Article 78-8, paragraph (4), or Article 79-13), Article 79-47, Article 87-8, Article 156-8, Article 156-20-7, or Article 156-70 is subject to punishment by imprisonment for not more than one year, or a fine of not more than 500 thousand yen.
第二十六条の三十二、第七十二条（第七十九条又は第七十九条の十四で準用する場合を含む。）、第七十七条の二第七項若しくは第八項（これらの規定を第七十七条の三第四項、第七十八条の七、第七十八条の八第四項又は第七十九条の十三で準用する場合を含む。）、第七十九条の四十七、第八十七条の八、第百五十六条の八、第百五十六条の二十の七又は第百五十六条の七十の規定に違反した者は、一年以下の拘禁刑又は五十万円以下の罰金に処する。