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Article 29-4-2Special Provisions on Registration of Type-I Small Amount Electronic Public Offering Service Providers

第二十九条の四の二（第一種少額電子募集取扱業者についての登録等の特例）

With regard to the application of the provisions of Article 29-2, paragraph (1), item (vi) and paragraph (2), item (i) to type-I small amount electronic public offering service in cases where a person that seeks to obtain the registration set forth in Article 29 seeks to only engage in type-I small amount electronic public offering service from among type-I financial instruments business, the term "an indication of this" in Article 29-2, paragraph (1), item (vi) is deemed to be replaced with "an indication of this (in the case of only engaging in the type-I small amount electronic public offering service prescribed in Article 29-4-2, paragraph (9) from among type-I financial instruments business, including an indication of this)" and the term "" in paragraph (2), item (i) of that Article is deemed to be replaced with ", ".

第二十九条の登録を受けようとする者が第一種金融商品取引業のうち第一種少額電子募集取扱業務のみを行おうとする場合における第一種少額電子募集取扱業務についての第二十九条の二第一項第六号及び第二項第一号の規定の適用については、同条第一項第六号中「その旨」とあるのは「その旨（第一種金融商品取引業のうち第二十九条の四の二第九項に規定する第一種少額電子募集取扱業務のみを行う場合にあつては、その旨を含む。）」と、同条第二項第一号中「ハ」とあるのは「ハ、イ」とする。

The provisions of paragraph (1), item (v), (c) and item (vi), (a) of the preceding Article (including the cases where these provisions are applied mutatis mutandis pursuant to Article 31, paragraph (5)) do not apply to type-I small amount electronic public offering service in the case referred to in the preceding paragraph or in the case where a person that seeks to obtain the registration of change set forth in Article 31, paragraph (4) seeks to only engage in type-I small amount electronic public offering service from among type-I financial instruments businesses.

前条第一項第五号ハ及び第六号イの規定（これらの規定を第三十一条第五項において準用する場合を含む。）は、前項の場合又は第三十一条第四項の変更登録を受けようとする者が第一種金融商品取引業のうち第一種少額電子募集取扱業務のみを行おうとする場合における第一種少額電子募集取扱業務については、適用しない。

A type-I small amount electronic public offering service provider (excluding a person that engages in investment management business; hereinafter the same applies in the following paragraph) is not required to notify the Prime Minister to the effect that it will start to engage in any of the businesses listed in the items of Article 35, paragraph (2), notwithstanding the provisions of Article 35, paragraph (3).

第一種少額電子募集取扱業者（投資運用業を行う者を除く。次項において同じ。）は、第三十五条第三項の規定にかかわらず、同条第二項各号に掲げる業務を行うこととなつた旨を内閣総理大臣に届け出ることを要しない。

When a type-I small amount electronic public offering service provider conducts a business other than financial instruments business and the businesses prescribed in Article 35, paragraphs (1) and (2), the service provider is not required to obtain approval from the Prime Minister, notwithstanding the provisions of paragraph (4) of that Article.

第一種少額電子募集取扱業者は、金融商品取引業並びに第三十五条第一項及び第二項の規定により行う業務以外の業務を行う場合には、同条第四項の規定にかかわらず、内閣総理大臣の承認を受けることを要しない。

With regard to the application of the provisions of Article 27-2, paragraph (4) (including the cases where applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), Article 27-26, paragraph (1) and Article 66-2, paragraph (1), item (iv) in cases where a type-I small amount electronic public offering service provider engages in type-I small amount electronic public offering service, the term "type-I financial instruments business" in these provisions is deemed to be replaced with "type-I financial instruments business (excluding the type-I small amount electronic public offering service prescribed in Article 29-4-2, paragraph (9))" and the term "" in Article 27-26, paragraph (1) is deemed to be replaced with "Article 28, paragraph (4)".

第一種少額電子募集取扱業者が第一種少額電子募集取扱業務を行う場合における第二十七条の二第四項（第二十七条の二十二の二第二項において準用する場合を含む。）、第二十七条の二十六第一項及び第六十六条の二第一項第四号の規定の適用については、これらの規定中「第一種金融商品取引業」とあるのは「第一種金融商品取引業（第二十九条の四の二第九項に規定する第一種少額電子募集取扱業務を除く。）」と、第二十七条の二十六第一項中「」とあるのは「第二十八条第四項」とする。

The term "type-I small amount electronic public offering service provider" as used in paragraph (3) to the preceding paragraph means a person that has obtained the registration set forth in Article 29 or the registration of change set forth in Article 31, paragraph (4) by stating in the written application for registration to the effect that the person will only engage in type-I small amount electronic public offering service from among type-I financial instruments businesses.

第三項から前項までの「第一種少額電子募集取扱業者」とは、登録申請書に第一種金融商品取引業のうち第一種少額電子募集取扱業務のみを行う旨を記載して第二十九条の登録又は第三十一条第四項の変更登録を受けた者をいう。

The term "type-I small amount electronic public offering service" as used in paragraphs (1), (2), (5) and the preceding two paragraphs means electronic public offering service (limited to handling of public offering or handling of private placement of the following securities (limited to securities not listed on a financial instruments exchange and excluding those specified by Cabinet Order; hereinafter the same applies in this paragraph) which satisfies the requirements specified by Cabinet Order as being such handling where the total issue value of the securities and the amount to be paid by the person that acquires the securities are small; hereinafter the same applies in this paragraph) or receiving of a deposit of money from customers in relation to electronic public offering service:

第一項、第二項、第五項及び前二項の「第一種少額電子募集取扱業務」とは、電子募集取扱業務（次に掲げる有価証券（金融商品取引所に上場されていないものに限り、政令で定めるものを除く。以下この項において同じ。）の募集の取扱い又は私募の取扱いであつて、当該有価証券の発行価額の総額及び当該有価証券を取得する者が払い込む額が少額であるものとして政令で定める要件を満たすものに限る。以下この項において同じ。）又は電子募集取扱業務に関して顧客から金銭の預託を受けることをいう。

the rights set forth in Article 2, paragraph (2), item (v) or (vi) which are deemed to be securities pursuant to that paragraph (limited to those that fall under the category of electronically recorded transferable rights).

第二条第二項の規定により有価証券とみなされる同項第五号又は第六号に掲げる権利（電子記録移転権利に該当するものに限る。）

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