Financial Instruments and Exchange Act

A person other than a deemed registered type-I financial instruments business operator that uses the Japanese word for "securities" in its trade name pursuant to the provisions of the preceding paragraph (hereinafter in this paragraph and the following Article referred to as a "special securities company") (excluding a person who conducts securities-relatedsecurities services (meaning securities-relatedsecurities services prescribed in Article 28, paragraph (810) of the New Financial Instruments and Exchange Act; the same applies hereinafter) on or after the effective date) must not use in its trade name or name any word that could give rise to the misconception that it is a special securities company.

An act of a deemed registered type-I financial instruments business operator or its officer committed before the effective date that falls under Article 56, paragraph (1), item (iii) or (v) of the Former Securities and Exchange Act is deemed to be an act falling under Article 52, paragraph (1), item (viiviii) or (xixii) of the Financial Instruments and Exchange Act, and that paragraph and paragraph (2) of that Article apply.

An act committed by a deemed registered type-II financial instruments business operator before the effective date that falls under Article 82, paragraph (1), item (iii) of the Former Trust Business Act is deemed to be an act that falls under Article 52, paragraph (1), item (viiviii) of the Financial Instruments and Exchange Act, and the provisions of that paragraph apply.