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Read the text in force →金融商品取引法
Chapter III-2 Financial Instruments Intermediary Service Providers (Articles 66-9 to 66-18)
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.
A financial instruments intermediary service provider must not allow another person to engage in financial instruments intermediary services using the name of the relevant financial instruments intermediary service provider.
金融商品仲介業者は、自己の名義をもつて、他人に金融商品仲介業を行わせてはならない。
When advertising the contents of its financial instruments intermediary service or performing any similar act specified by Cabinet Office Order, a financial instruments intermediary service provider must give the following particulars, pursuant to the provisions of Cabinet Office Order:
金融商品仲介業者は、その行う金融商品仲介業の内容について広告その他これに類似するものとして内閣府令で定める行為をするときは、内閣府令で定めるところにより、次に掲げる事項を表示しなければならない。
the trade name or name of the financial instruments intermediary service provider;
当該金融商品仲介業者の商号、名称又は氏名
an indication that the financial instruments intermediary service provider is a financial instruments intermediary service provider, and its registration number; and
金融商品仲介業者である旨及び当該金融商品仲介業者の登録番号
the particulars of the contents of the financial instruments intermediary service that the financial instruments intermediary service provider engages in, which is specified by Cabinet Order as material particulars that may have an impact on customers' judgment.
当該金融商品仲介業者の行う金融商品仲介業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして政令で定めるもの
When advertising the contents of its financial instruments intermediary service or engaging in any similar act specified by Cabinet Office Order, a financial instruments intermediary service provider must not make a representation that significantly conflicts with the fact of the matter or that could cause a person to have a serious misconception about the prospect of profiting from the performance of an act that constitutes a financial instruments transaction, or about any other matter that is specified by Cabinet Office Order.
金融商品仲介業者は、その行う金融商品仲介業に関して広告その他これに類似するものとして内閣府令で定める行為をするときは、金融商品取引行為を行うことによる利益の見込みその他内閣府令で定める事項について、著しく事実に相違する表示をし、又は著しく人を誤認させるような表示をしてはならない。
If a financial instruments intermediary service provider seeks to perform an act set forthprescribed in any of the items of Article 2, paragraph (11) (hereinafter referred to as the "intermediation for financial instruments" in this Chapter), it must clearly indicate the following particulars to customers in advance:
金融商品仲介業者は、第二条第十一項各号に掲げ規定する行為（以下この章において「金融商品仲介行為」という。）を行おうとするときは、あらかじめ、顧客に対し次に掲げる事項を明らかにしなければならない。
the trade name or the name of the entrusting financial instruments business operator, etc.;
所属金融商品取引業者等の商号又は名称
that the financial instruments intermediary service provider does not have authority of representation in respect of the entrusting financial instruments business operator, etc.;
所属金融商品取引業者等の代理権がない旨
the import of the provisions of Article 66-13; and
第六十六条の十三の規定の趣旨
other matters specified by Cabinet Office Order.
その他内閣府令で定める事項
A financial instruments intermediary service provider (excluding a person that is a financial instruments business operator) must not engage in any act set forth in the items of Article 2, paragraph (8), except for the intermediation for financial instruments to which a customer of its financial instruments intermediary service is the other party, as entrusted by the entrusting financial instruments business operator, etc.
金融商品仲介業者（金融商品取引業者である者を除く。）は、その行う金融商品仲介業の顧客を相手方とし、所属金融商品取引業者等の委託を受けて行う金融商品仲介行為以外の第二条第八項各号に掲げる行為をしてはならない。
A financial instruments intermediary service provider must not, for any reason, receive a deposit of money or securities from a customer, or have a person specified by Cabinet Order as being closely related to that financial instruments intermediary service provider deposit a customer's money or securities, in connection with the financial instruments intermediary service it conducts.
金融商品仲介業者は、いかなる名目によるかを問わず、その行う金融商品仲介業に関して、顧客から金銭若しくは有価証券の預託を受け、又は当該金融商品仲介業者と密接な関係を有する者として政令で定める者に顧客の金銭若しくは有価証券を預託させてはならない。
It is prohibited for a financial instruments intermediary service provider or its officer or employee to engage in the following acts:
金融商品仲介業者又はその役員若しくは使用人は、次に掲げる行為をしてはならない。
the performance of any of the following acts in connection with financial instruments intermediary services:
金融商品仲介業に関連し、次に掲げるいずれかの行為を行うこと。
an act that falls under Article 38, item (i);
第三十八条第一号に該当する行為
an act that falls under any of the categories in Article 38, items (ii) through (vi);
第三十八条第二号から第六号までに該当する行為
an act that falls under Article 38, item (vii);
第三十八条第七号に該当する行為
if it provides investment advisory business (meaning investment advisory business set forth in Article 28, paragraph (67); the same applies in (cd)), using information about a purchase and sale or other transaction of securities that a customer makes based on the advice provided through its investment advisory business in order to solicit a customer other than the customer in question; or if it engages in investment management business, using information about a purchase and sale or other transaction of securities made as an investment in connection with its investment management business, in order to solicit a customer other than the customer in question;
投資助言業務（第二十八条第六七項に規定する投資助言業務をいう。ニにおいて同じ。）を行う場合には当該投資助言業務に係る助言に基づいて顧客が行う有価証券の売買その他の取引等又は投資運用業を行う場合には当該投資運用業に係る運用として行う有価証券の売買その他の取引等に関する情報を利用してこれらの顧客以外の顧客に対して勧誘する行為
if it engages in business other than financial instruments intermediary service, using information about an issuer of securities learned in the course of that other business (limited to undisclosed information about the operations, business, or assets of an issuer of securities that would influence customers' investment decisions in connection with financial instruments intermediary service) to conduct solicitation; or
金融商品仲介業以外の業務を行う場合には当該業務により知り得た有価証券の発行者に関する情報（有価証券の発行者の運営、業務又は財産に関する公表されていない情報であつて金融商品仲介業に係る顧客の投資判断に影響を及ぼすものに限る。）を利用して勧誘する行為
conducting a solicitation with the financial instruments intermediary service provider's lending of money or granting of other credit as a condition (excluding acts specified in Cabinet Office Order as acts that are found to have little likelihood of resulting in insufficient investor protection);
金銭の貸付けその他信用の供与をすることを条件として勧誘する行為（投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）
making a purchase and sale or other transaction of securities on the intermediary's, officer's, or employee's own account, using the ordering trends for purchase and sales and other transactions of securities made by customers of its financial instruments intermediary service or other special information learned in the course of financial instruments intermediary service; and
金融商品仲介業により知り得た金融商品仲介業に係る顧客の有価証券の売買その他の取引等に係る注文の動向その他特別の情報を利用して、自己の計算において有価証券の売買その他の取引等を行う行為
acts beyond what is set forth in the preceding two items, which are specified by Cabinet Office Order as acts that result in insufficient investor protection, harm the fairness of transactions, or cause a loss of confidence in financial instruments intermediary services.
前二号に掲げるもののほか、投資者の保護に欠け、若しくは取引の公正を害し、又は金融商品仲介業の信用を失墜させるものとして内閣府令で定める行為
A financial instruments intermediary service provider must not conduct any of the acts specified in Article 2, paragraph (11), item (i) , (a) or (iib) in connection with securities for professional investors, etc. with a general investor (meaning a person other than a professional investor, etc., a non-resident, the issuer of the securities for professional investors, etc., or any other person specified by Cabinet Office Order; hereinafter the same applies in this Article) as the other party; provided, however, that this does not apply in a case in which disclosure has been made with regard to the securities for professional investors, etc., a case in which the financial instruments intermediary service provider intermediates, a purchase for an entrusting financial instruments business operator, etc. which is not based on a solicitation of general investors, or any other case specified by Cabinet Office Order as having little likelihood of resulting in insufficient investor protection.
金融商品仲介業者は、特定投資家等向け有価証券について、一般投資家（特定投資家等、非居住者、当該特定投資家等向け有価証券の発行者その他内閣府令で定める者以外の者をいう。以下この条において同じ。）を相手方として、第二条第十一項第一号又は第二号イ又はロに掲げる行為を行つてはならない。ただし、当該特定投資家等向け有価証券に関して開示が行われている場合、一般投資家に対する勧誘に基づかないで所属金融商品取引業者等のために買付けの媒介を行う場合その他投資者の保護に欠けるおそれが少ない場合として内閣府令で定める場合は、この限りでない。
Application Mutatis Mutandis of Provisions on Financial Instruments Business Operators , etc. in Relation to the Prohibition Establishment, etc. of Compensation for Lossesan Operational Control System
損失補塡等の禁止業務管理体制の整備等に関する金融商品取引業者等に係る規定の準用
The provisions of Article 35-3, Article 38-2, Article 39, paragraphs (1), (3), (4), and (7), Article 40, and Article 43-6 apply mutatis mutandis to a financial instruments intermediary service provider, and Article 39, paragraphs (2), (5), and (6) apply mutatis mutandis to the customer of a financial instruments intermediary service provider, and Article 43-13 applies mutatis mutandis to a financial instruments intermediary service provider that conducts intermediary services for purchase and sale, etc. of cryptoassets. In this case, in Article 39, paragraph (3), the phrase "if the financial instruments business operator, etc. receives" is deemed to be replaced with "if the entrusting financial instruments business operator, etc. of the financial instruments intermediary service provider receives", and any other necessary technical replacement of terms is specified by Cabinet Order.
第三十五条の三、第三十八条の二、第三十九条第一項、第三項、第四項及び第七項、第四十条並びに第四十三条の六の規定は金融商品仲介業者について、第三十九条第二項、第五項及び第六項の規定は金融商品仲介業者の顧客について、第四十三条の十三の規定は暗号資産売買媒介等業務を行う金融商品仲介業者について、それぞれ準用する。この場合において、同第三十九条第三項中「当該金融商品取引業者等が」とあるのは、「当該金融商品仲介業者の所属金融商品取引業者等が」と読み替えるものとするほか、必要な技術的読替えは、政令で定める。
A financial instruments intermediary service provider must prepare and preserve books and documents for its financial instruments intermediary service pursuant to the provisions of Cabinet Office Order.
金融商品仲介業者は、内閣府令で定めるところにより、金融商品仲介業に関する帳簿書類を作成し、これを保存しなければならない。
Each business year, a financial instruments intermediary service provider must prepare a report on its financial instruments intermediary service and submit it to the Prime Minister within three months after the end of the business year, pursuant to the provisions of Cabinet Office Order.
金融商品仲介業者は、事業年度ごとに、内閣府令で定めるところにより、金融商品仲介業に関する報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments intermediary service provider must prepare documents stating those of the particulars stated in the business report referred to in the preceding paragraph which are specified by Cabinet Office Order as particulars that are found to be necessary in terms of investor protection, and must , pursuant to the provisions of Cabinet Office Order, keep those documents at all of the business offices and offices at which it conducts financial instruments intermediary service and make them available for public inspection, or disclose them using the internet or through other means, pursuant to the provisions of Cabinet Office Order.
金融商品仲介業者は、内閣府令で定めるところにより、事業年度ごとに、前項の報告書に記載されている事項のうち投資者の保護に必要と認められるものとして内閣府令で定めるものを記載した書面を作成し、こ内閣府令で定めるところにより、これを金融商品仲介業を行う全ての営業所若しくは事務所に備え置いて公衆の縦覧に供し、又は内閣府令で定めるところにより、インターネットの利用その他の方法により公表しなければならない。
For each business year of an entrusting financial instruments business operator, etc. and , a financial instruments intermediary service provider must, pursuant to the provisions of Cabinet Office Order, a financial instruments intermediary service provider must keep the explanatory documents that the entrusting financial instruments business operator, etc. prepares pursuant to the provisions of Article 46-4 or Article 47-3 (if the entrusting financial instruments business operator, etc., is a registered financial institution, the documents that it prepares pursuant to the provisions of Article 21, paragraphs (1) and (2) of the Banking Act (Act No. 59 of 1981) or other provisions specified by Cabinet Order) at all of the business offices and offices at which it conducts financial instruments intermediary service, and must make them available for public inspection, or disclose them using the internet or through other means, pursuant to the provisions of Cabinet Office Order.
金融商品仲介業者は、内閣府令で定めるところにより、所属金融商品取引業者等の事業年度ごとに、所属金融商品取引業者等が第四十六条の四又は第四十七条の三の規定（当該所属金融商品取引業者等が登録金融機関である場合には、銀行法（昭和五十六年法律第五十九号）第二十一条第一項及び第二項その他政令で定める規定）により作成する説明書類を、内閣府令で定めるところにより、金融商品仲介業を行う全ての営業所若しくは事務所に備え置いて公衆の縦覧に供し、又は内閣府令で定めるところにより、インターネットの利用その他の方法により公表しなければならない。