The provisions of Article 50-2, paragraph (8) apply mutatis mutandis to a person that was a financial instruments business operator, etc. if that financial instruments business operator, etc. dissolves or discontinues financial instruments business, etc., or has the registration referred to in Article 29 or Article 33-2 rescinded pursuant to the provisions of Article 52, paragraph (1); Article 52-2, paragraph (1); Article 53, paragraph (3); or Article 54. In such a case, the person that was the financial instruments business operator, etc. is deemed to still be a financial instruments business operator, etc. to the extent required to complete customer transactions.
Except in a case to which the provisions of the preceding paragraph are applicable, the provisions of Article 50-2, paragraph (8) apply mutatis mutandis to the customer transactions involved in the business of a financial instruments business operator if a financial instruments business operator that has obtained the authorization referred to in Article 30, paragraph (1) discontinues the business to which that authorization concerns or has that authorization rescinded pursuant to the provisions of Article 52, paragraph (1). In such a case, the financial instruments business operator is deemed to still be registered under Article 30, paragraph (1) to the extent required to complete customer transactions involved in that business.
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(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(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 Financial Institutions)
A financial institution must be registered by the Prime Minister if it seeks to perform any of the following acts on a regular basis, or if it seeks to provide investment advisory and agency business…
金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
Open this provision(Notification of Discontinuing Business)
If a financial instruments business operator, etc. issues a public notice under paragraph (6) (unless it issues that public notice in connection with the succession of the whole or part of its…
金融商品取引業者等は、第六項の規定による公告をした場合（合併、分割による事業の全部又は一部の承継及び事業の全部又は一部の譲渡に係る公告をした場合を除く。）においては、当該金融商品取引業者等が行つた有価証券の売買その他の取引及びデリバティブ取引等（第五十六条及び第五十七条の九において「顧客取引」という。）を…
Open this provision(Supervisory Measures for Registered Financial Institutions)
If a registered financial institution falls under any of the following items, the Prime Minister may rescind its registration under Article 33-2, or order the suspension of all or part of business…
内閣総理大臣は、登録金融機関が次の各号のいずれかに該当する場合においては、当該登録金融機関の第三十三条の二の登録を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Supervisory Measures for Financial Instruments Business Operators)
If a financial instruments business operator falls under any of the following items, the Prime Minister may rescind its Article 29 registration, rescind its Article 30, paragraph (1) authorization…
内閣総理大臣は、金融商品取引業者が次の各号のいずれかに該当する場合においては、当該金融商品取引業者の第二十九条の登録を取り消し、第三十条第一項の認可を取り消し、又は六月以内の期間を定めて業務の全部若しくは一部の停止を命ずることができる。
Open this provision(Orders Involving the Capital Adequacy Ratio)
If the Prime Minister orders the suspension of all or part of the business pursuant to the provisions of the preceding paragraph, and finds that the capital adequacy ratio of the financial…
内閣総理大臣は、前項の規定により業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日における当該金融商品取引業者の自己資本規制比率が引き続き百パーセントを下回り、かつ、当該金融商品取引業者の自己資本規制比率の状況が回復する見込みがないと認められるときは…
Open this provision(Rescission of Registration Due to Non-Commencement or Suspension of Business)
If, without legitimate grounds for doing so, a financial instruments business operator, etc. does not commence business within three months of the day on which it is permitted to begin engaging in…
内閣総理大臣は、金融商品取引業者等が正当な理由がないのに、金融商品取引業等を行うことができることとなつた日から三月以内に業務を開始しないとき、又は引き続き三月以上その業務を休止したときは、当該金融商品取引業者等の第二十九条又は第三十三条の二の登録を取り消すことができる。
Open this provision(Completion of Remaining Business)
The provisions of Article 50-2, paragraph (8) apply mutatis mutandis to a person that was a financial instruments business operator, etc. if that financial instruments business operator…
第五十条の二第八項の規定は、金融商品取引業者等が解散し、若しくは金融商品取引業等を廃止した場合又は第五十二条第一項、第五十二条の二第一項、第五十三条第三項若しくは第五十四条の規定により第二十九条若しくは第三十三条の二の登録を取り消された場合における当該金融商品取引業者等であつた者について準用する。
Open this provisionfinancial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
financial instruments business operator, etc.machine translation
「金融商品取引業者等」
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
Defined inArticle 34, paragraph (1)
financial instruments business, etc.
「金融商品取引業等」
In Section 4 of Chapter III, financial instruments business (金融商品取引業) or the business of a registered financial institution (登録金融機関業務).
Short name set inArticle 50, paragraph (1), item (i)· applies only in this section
customer transactions
「顧客取引」
The purchases and sales and other transactions in securities and the derivatives transactions, etc. (デリバティブ取引等) a financial instruments business operator, etc. (金融商品取引業者等) has carried out, which under Article 50-2, paragraph (8), applied also by Articles 56 and 57-9, it must promptly complete after giving public notice under paragraph (6) of that Article that it will discontinue its business or dissolve.
Short name set inArticle 50-2, paragraph (8)· applies only in this provision and in Articles 56 and 57-9