Article 29-4-4Special Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
第二十九条の四の四（非上場有価証券特例仲介等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 (v) and paragraph (2), item (i) to specially permitted intermediary services for unlisted securities, etc. in cases where a person that seeks to obtain the registration set forth in Article 29 seeks to only engage in specially permitted intermediary services for unlisted securities, etc. from among type-I financial instruments business, the phrase "or investment management business, is the business category for which the person seeks registration" in paragraph (1), item (v) of that Article is deemed to be replaced with "or investment management business, is the business category for which the person seeks registration (for the specially permitted intermediary services for unlisted securities, etc. prescribed in Article 29-4-4, paragraph (8), including an indication that they fall under this)" and the term "item (v), (c)" in paragraph (2), item (i) of that Article is deemed to be replaced with "item (v), (c), item (vi), (a)".
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非上場有価証券特例仲介等業務のみを行おうとする場合における非上場有価証券特例仲介等業務についての第二十九条の二第一項第五号及び第二項第一号の規定の適用については、同条第一項第五号中「投資運用業の種別」とあるのは「投資運用業の種別（第二十九条の四の四第八項に規定する非上場有価証券特例仲介等業務にあつては、これに該当する旨を含む。）」と、同条第二項第一号中「第五号ハ」とあるのは「第五号ハ、第六号イ」とする。
The provisions of Article 29-4, paragraph (1), item (v), (c) and item (vi), (a) (including as applied mutatis mutandis pursuant to Article 31, paragraph (5)) do not apply to specially permitted intermediary services for unlisted securities, etc. 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 specially permitted intermediary services for unlisted securities, etc. from among type-I financial instruments business.
第二十九条の四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非上場有価証券特例仲介等業務のみを行おうとする場合における非上場有価証券特例仲介等業務については、適用しない。
A specially permitted intermediary service provider for unlisted securities, etc. (excluding a person that engages in investment management business; the same applies in the following paragraph) is not required to notify the Prime Minister that it has come to engage in the businesses set forth in the items of paragraph (2) of Article 35, notwithstanding the provisions of paragraph (3) of that Article.
非上場有価証券特例仲介等業者（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 specially permitted intermediary service provider for unlisted securities, etc. conducts a business other than financial instruments business and the businesses conducted pursuant to the provisions of 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.
非上場有価証券特例仲介等業者は、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。
The provisions of Articles 46-5 and 46-6 do not apply to a specially permitted intermediary service provider for unlisted securities, etc.
第四十六条の五及び第四十六条の六の規定は、非上場有価証券特例仲介等業者については、適用しない。
With regard to the application of the provisions of Article 27-2, paragraph (4) (including as 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 specially permitted intermediary service provider for unlisted securities, etc. engages in specially permitted intermediary services for unlisted securities, etc., the term "type-I financial instruments business" in these provisions is deemed to be replaced with "type-I financial instruments business (excluding the specially permitted intermediary services for unlisted securities, etc. prescribed in Article 29-4-4, paragraph (8))" and the term "paragraph (4) of that Article" in Article 27-26, paragraph (1) is deemed to be replaced with "Article 28, paragraph (4)".
非上場有価証券特例仲介等業者が非上場有価証券特例仲介等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（第二十九条の四の四第八項に規定する非上場有価証券特例仲介等業務を除く。）」と、第二十七条の二十六第一項中「同条第四項」とあるのは「第二十八条第四項」とする。
The term "specially permitted intermediary service provider for unlisted securities, etc." 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) (excluding a person that has obtained the authorization under Article 30, paragraph (1)) by stating in the written application for registration that the person falls under specially permitted intermediary services for unlisted securities, etc.
第三項から前項までの「非上場有価証券特例仲介等業者」とは、登録申請書に非上場有価証券特例仲介等業務に該当する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（第三十条第一項の認可を受けた者を除く。）をいう。
The term "specially permitted intermediary services for unlisted securities, etc." as used in paragraphs (1), (2) and the preceding two paragraphs means conducting, on a regular basis, any of the following acts from among type-I financial instruments business:
第一項、第二項及び前二項の「非上場有価証券特例仲介等業務」とは、第一種金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
the following acts concerning securities (limited to those not listed on a financial instruments exchange, and excluding those specified by Cabinet Order):
intermediation for the sale, or the act set forth in Article 2, paragraph (8), item (ix) (excluding those conducted with general investors (meaning persons other than professional investors, etc., the issuer of the securities, and other persons specified by Cabinet Office Order; hereinafter the same applies in this item) as the persons to which they are made, and those conducted for general investors based on solicitation of general investors);
intermediation for the purchase (excluding those conducted for general investors and those conducted with general investors as the persons to which they are made based on solicitation of general investors).
買付けの媒介（一般投資家のために行うもの及び一般投資家に対する勧誘に基づき当該一般投資家を相手方として行うものを除く。）
receiving a deposit of money from a customer in connection with the acts set forth in the preceding item (limited to those necessary for the settlement of transactions through the acts set forth in that item and for which the period of the deposit does not exceed the period specified by Cabinet Order).
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(Definitions)
the handling of a public offering or secondary distribution of securities, or the handling of a private placement of securities or solicitation for selling, etc. only for professional investors;
有価証券の募集若しくは売出しの取扱い又は私募若しくは特定投資家向け売付け勧誘等の取扱い
Open this provision(Tender Offers for Share Certificates by Persons Other Than the Issuer)
If a purchase, etc. of share certificates, etc. is conducted through a tender offer, as provided in the main clause of paragraph (1), a financial instruments business operator…
第一項本文に規定する公開買付けによる株券等の買付け等を行う場合には、株券等の管理、買付け等の代金の支払その他の政令で定める事務については、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。第二十七条の十二第三項において同じ。）又は銀行等（銀行、協同組織金融機関その他政令で定める金融機関を…
Open this provision(Tender Offers for Listed Share Certificates by the Issuer)
The provisions of Article 27-2, paragraphs (2) through (6); Article 27-3 (excluding the second sentence of paragraph (1) and paragraph (2), item (ii)); Article 27-4…
第二十七条の二第二項から第六項まで、第二十七条の三（第一項後段及び第二項第二号を除く。）、第二十七条の四、第二十七条の五（各号列記以外の部分に限る。第五項及び次条第五項において同じ。）、第二十七条の六から第二十七条の九まで（第二十七条の八第六項、第十項及び第十二項を除く。）…
Open this provision(Special Provisions on Reports by Large-Volume Holders of Share Certificates Subject to Special Provisions)
Notwithstanding the provisions of the main clause of Article 27-23, paragraph (1), a statement of large-volume holdings in share certificates, etc. that a financial instruments business operator…
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又は同条第四項に規定する投資運用業を行う者に限る。以下この条において同じ。）、銀行その他の内閣府令で定める者（第三項に規定する基準日を内閣総理大臣に届け出た者に限る。）が保有する株券等で当該株券等の発行者の事業活動に重大な変更を加え…
Open this provisionThe term "investment management business" as used in this Chapter means the performance of any of the following acts on a regular basis, within the financial instruments business…
この章において「投資運用業」とは、金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいい、銀行、協同組織金融機関その他政令で定める金融機関が、当該行為のいずれかを業として行うことを含むものとする。
Open this provision(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Application for Registration)
the business category (meaning which of the acts set forth in Article 28, paragraph (1), item (i), item (i)-2, item (ii), item (iii), (a) through (c), or item (iv), or which, among securities, etc.…
業務の種別（第二十八条第一項第一号、第一号の二、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。）
Open this provision(Application for Registration)
a document pledging that the applicant does not fall under any of the items of Article 29-4, paragraph (1) (other than item (i), (d) through (f), item (i)-2, item (iii), (a), item (iv), (d), item…
第二十九条の四第一項各号（第一号ニからヘまで、第一号の二、第三号イ、第四号ニ、第五号ハ及び第七号（第六十六条の五十三第六号ハに係る部分に限る。）を除く。）のいずれにも該当しないことを誓約する書面
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
With regard to the application of the provisions of Article 29-2, paragraph (1), item (v) and paragraph (2), item (i) to specially permitted intermediary services for unlisted securities…
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非上場有価証券特例仲介等業務のみを行おうとする場合における非上場有価証券特例仲介等業務についての第二十九条の二第一項第五号及び第二項第一号の規定の適用については…
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
The provisions of Article 29-4, paragraph (1), item (v), (c) and item (vi), (a) (including as applied mutatis mutandis pursuant to Article 31, paragraph (5)) do not apply to specially permitted…
第二十九条の四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非上場有価証券特例仲介等業務のみを行おうとする場合における非上場有価証券特例仲介等業務については、適用しない。
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
A specially permitted intermediary service provider for unlisted securities, etc. (excluding a person that engages in investment management business; the same applies in the following paragraph) is…
非上場有価証券特例仲介等業者（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。
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
When a specially permitted intermediary service provider for unlisted securities, etc. conducts a business other than financial instruments business and the businesses conducted pursuant to the…
非上場有価証券特例仲介等業者は、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。
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
The provisions of Articles 46-5 and 46-6 do not apply to a specially permitted intermediary service provider for unlisted securities, etc.
第四十六条の五及び第四十六条の六の規定は、非上場有価証券特例仲介等業者については、適用しない。
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
With regard to the application of the provisions of Article 27-2, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), Article 27-26…
非上場有価証券特例仲介等業者が非上場有価証券特例仲介等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…
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
The term "specially permitted intermediary service provider for unlisted securities, etc." as used in paragraph (3) to the preceding paragraph means a person that has obtained the registration set…
第三項から前項までの「非上場有価証券特例仲介等業者」とは、登録申請書に非上場有価証券特例仲介等業務に該当する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（第三十条第一項の認可を受けた者を除く。）をいう。
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
The term "specially permitted intermediary services for unlisted securities, etc." as used in paragraphs (1), (2) and the preceding two paragraphs means conducting, on a regular basis…
第一項、第二項及び前二項の「非上場有価証券特例仲介等業務」とは、第一種金融商品取引業のうち、次に掲げる行為のいずれかを業として行うことをいう。
Open this provisionSpecial Provisions on Registration of Specially Permitted Intermediary Service Providers for Unlisted Securities, etc.
the following acts concerning securities (limited to those not listed on a financial instruments exchange, and excluding those specified by Cabinet Order):
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。）に係る次に掲げる行為
Open this provision(Refusal of Registration)
a person falling under any of the following and seeking to engage in type-I financial instruments business or investment management business:
第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
Open this provision(Refusal of Registration)
a person falling under any of the following if seeking to engage in type-I financial instruments business:
第一種金融商品取引業を行おうとする場合にあつては、次のいずれかに該当する者
Open this provision(Authorization)
A financial instruments business operator must obtain the authorization of the Prime Minister when it intends to conduct, as a business, the acts set forth in Article 2, paragraph (8), item (x)…
金融商品取引業者は、第二条第八項第十号に掲げる行為を業として行おうとするときは、内閣総理大臣の認可を受けなければならない。ただし、当該行為を次に掲げる有価証券のみについて行う場合であつて、当該行為に係る有価証券の売買高の合計額が…
Open this provision(Registration of a Change)
If a financial instruments business operator seeks to change the particular set forth in Article 29-2, paragraph (1), items (v) through (vi), item (vii), (b), item (viii), or item (ix)…
金融商品取引業者は、第二十九条の二第一項第五号から第六号まで、第七号ロ、第八号又は第九号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
Open this provision(Registration of a Change)
The provisions of Article 29-3 and Article 29-4 apply mutatis mutandis to the registration of a change referred to in the preceding paragraph.
第二十九条の三及び第二十九条の四の規定は、前項の変更登録について準用する。この場合において、第二十九条の三第一項中「次に掲げる事項」とあるのは「変更に係る事項」と、第二十九条の四第一項中「次の各号」とあるのは「次の各号（第一号イからニまで、第二号及び第三号ロを除く。）」と読み替えるものとするほか、必要な技術的読替えは…
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
A financial instruments business operator (limited to one engaged in type-I financial instruments business or investment management business; hereinafter the same applies in this Article)…
金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限る。以下この条において同じ。）は、金融商品取引業のほか、次に掲げる行為を業として行うことその他の金融商品取引業に付随する業務を行うことができる。
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
A financial instruments business operator, beyond the financial instruments business and other services provided pursuant to the provisions of the preceding paragraph…
金融商品取引業者は、金融商品取引業及び前項の規定により行う業務のほか、次に掲げる業務を行うことができる。
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
If a financial instruments business operator comes to engage in any of the services set forth in the items of the preceding paragraph, it must notify the Prime Minister of this without delay pursuant…
金融商品取引業者は、前項各号に掲げる業務を行うこととなつたときは、内閣府令で定めるところにより、遅滞なく、その旨を内閣総理大臣に届け出なければならない。
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
A financial instruments business operator, beyond the financial instruments business and the services provided pursuant to paragraph (1) and paragraph (2)…
金融商品取引業者は、金融商品取引業並びに第一項及び第二項の規定により行う業務のほか、内閣総理大臣の承認を受けた業務を行うことができる。
Open this provision(Financial Instruments Transaction Liability Reserves)
A financial instruments business operator must lay aside financial instruments transaction liability reserves, pursuant to the provisions of Cabinet Office Order…
金融商品取引業者は、有価証券の売買その他の取引又はデリバティブ取引等の取引量に応じ、内閣府令で定めるところにより、金融商品取引責任準備金を積み立てなければならない。
Open this provision(Capital Adequacy Ratio)
A financial instruments business operator must calculate the ratio of the sum of the amounts of its stated capital, reserve funds, and any other things specified by Cabinet Office Order less the sum…
金融商品取引業者は、資本金、準備金その他の内閣府令で定めるものの額の合計額から固定資産その他の内閣府令で定めるものの額の合計額を控除した額の、保有する有価証券の価格の変動その他の理由により発生し得る危険に対応する額として内閣府令で定めるものの合計額に対する比率（以下「自己資本規制比率」という。）を算出し…
Open this provision(Application for Registration)
the trade name or name of the financial instruments business operator (limited to one engaged in type-I financial instruments business or investment management business (meaning investment management…
委託を受ける金融商品取引業者（第一種金融商品取引業又は投資運用業（第二十八条第四項に規定する投資運用業をいう。第六十六条の十四第一号ニにおいて同じ。）を行う者に限る。）又は登録金融機関（以下この章及び第四章において「所属金融商品取引業者等」という。）の商号又は名称
Open this provisionsecurities
「有価証券」
Securities as this Act defines them: the instruments listed in Article 2, paragraph (1), among them national government and local government bonds, corporate bonds, share certificates and share option certificates, preferred equity investment certificates, beneficiary certificates of investment trusts and other trusts, investment securities, certain promissory notes, mortgage securities, option certificates and depositary receipts, foreign instruments of the same nature, and other instruments a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (1)· applies throughout the law
professional investor, etc.machine translation
「特定投資家等」
A professional investor (特定投資家), or a non-resident (非居住者) as defined in Article 6, paragraph (1), item (vi) of the Foreign Exchange and Foreign Trade Act who is of a kind a Cabinet Order (政令) specifies.
Defined inArticle 2, paragraph (3), item (ii), (b), (2)
issuer
「発行者」
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
Defined inArticle 2, paragraph (5)
financial instruments business
「金融商品取引業」
Carrying on as a business any of the acts listed in Article 2, paragraph (8) — such as trading and brokering securities and derivatives, underwriting, handling public offerings and private placements, giving investment advice, managing investments and holding customers' money or securities — other than acts a Cabinet Order (政令) excludes as posing no risk to investor protection, and certain of those acts when banks, cooperative financial institutions (協同組織金融機関) and other financial institutions a Cabinet Order specifies carry them out.
Defined inArticle 2, paragraph (8)· applies throughout the law
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
type-I financial instruments business
「第一種金融商品取引業」
The part of financial instruments business (金融商品取引業) that consists of carrying on, as a business, any of the acts listed in Article 28, paragraph (1), such as dealing in securities (other than most rights treated as securities) and brokerage for them, over-the-counter derivatives transactions, the underwriting of securities, and trading securities through an electronic system as Article 2, paragraph (8), item (x) describes.
Defined inArticle 28, paragraph (1)· applies only in this chapter
investment management business
「投資運用業」
Investment management business as defined in Article 28, paragraph (4): the part of financial instruments business (金融商品取引業) that consists in carrying on as a business the acts in Article 2, paragraph (8), items (xii), (xiv) and (xv) — managing money or other property, on investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, as an investment in securities or in rights under derivatives transactions, whether under a discretionary investment contract (投資一任契約) or an asset management contract with a registered investment corporation (登録投資法人), or for the holders of the rights items (xiv) and (xv) list who contributed it — including where a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies carries them on.
Defined inArticle 28, paragraph (4)· applies only in this chapter
specially permitted intermediary service provider for unlisted securities, etc.machine translation
「非上場有価証券特例仲介等業者」
In Article 29-4-4, paragraphs (3) to (6), a person registered under Article 29, or registered for a change under Article 31, paragraph (4), on an application stating that its business falls under specially permitted intermediary services for unlisted securities, etc. (非上場有価証券特例仲介等業務), other than a person holding the authorization under Article 30, paragraph (1) to carry on the acts in Article 2, paragraph (8), item (x).
Defined inArticle 29-4-4, paragraph (7)
specially permitted intermediary services for unlisted securities, etc.machine translation
「非上場有価証券特例仲介等業務」
In Article 29-4-4, the part of type-I financial instruments business (第一種金融商品取引業) that consists of carrying on as a business, for securities not listed on a financial instruments exchange (other than those a Cabinet Order (政令) excludes), intermediating their sale or handling their offering or distribution (Article 2, paragraph (8), item (ix)) other than with a general investor (一般投資家) as the counterparty or for one on soliciting that investor, or intermediating their purchase other than for a general investor or with one as the counterparty on soliciting that investor, together with accepting deposits of money from customers in connection with those acts where needed to settle the trades and for no longer than a period a Cabinet Order sets; a general investor is anyone other than professional investors, etc. (特定投資家等), the issuer and others a Cabinet Office Order (内閣府令) specifies.
Defined inArticle 29-4-4, paragraph (8)
general investor
「一般投資家」
Anyone other than a professional investor, etc. (特定投資家等), the issuer of the securities concerned and others a Cabinet Office Order (内閣府令) specifies.
Defined inArticle 29-4-4, paragraph (8), item (i), (a)· applies only in this item
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.