Article 199

If a person fails to submit a report or materials under the provisions of Article 75; Article 79-4; Article 106-6, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article; Article 106-20, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article; Article 106-27 (including as applied mutatis mutandis pursuant to Article 109); Article 151 (including as applied mutatis mutandis pursuant to Article 153-4); Article 155-9; Article 156-15; Article 156-20-12; Article 156-34; Article 156-58; or Article 156-80, or submits a false report or false materials, the person who committed the act, being the representative, agent, employee, or other worker of an authorized financial instruments firms association or certified financial instruments business association prescribed in Article 78, paragraph (2), financial instruments exchange, self-regulatory organization prescribed in Article 85, paragraph (1), financial instruments exchange holding company, commodity exchange, commodity exchange holding company, foreign financial instruments exchange, financial instruments clearing organization, foreign financial instruments clearing organization, securities finance company, designated dispute resolution organization prescribed in Article 156-38, paragraph (1), or trade repository (hereinafter referred to as "authorized financial instruments firms association, etc." in this Article), a subsidiary company of a financial instruments exchange (meaning a subsidiary company prescribed in Article 87-3, paragraph (3); the same applies hereinafter in this Article), a subsidiary company of a financial instruments exchange holding company, a subsidiary company of a commodity exchange, a subsidiary company of a commodity exchange holding company, a commodity trading participant, an issuer of securities listed on a financial instruments exchange or over-the-counter traded securities, a participant in a foreign financial instruments exchange of the foreign financial instruments exchange, a clearing member of a financial instruments clearing organization or foreign financial instruments clearing organization, or a person that has concluded a contract for trade data collection with a trade repository, or a person entrusted with business by an authorized financial instruments firms association, etc. (including a person entrusted by that person (including entrustment in two or more stages) and, if it is a corporation, its representative, agent, employee, or other worker), is subject to imprisonment for not more than one year, a fine of not more than three million yen, or both.