A financial instruments business operator, etc. seeking to have a sales representative registered must pay a registration fee to the State (if registering with an association pursuant to the provisions of paragraph (1) or (2) of the preceding Article, to the association) pursuant to the provisions of Cabinet Order.
The fee set forth in the preceding paragraph and paid to an association is the revenue of the relevant association.
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(Delegation of Registration Work)
The Prime Minister may have an association (meaning an authorized financial instruments firms association or certified financial instruments business association prescribed in Article 78, paragraph…
内閣総理大臣は、内閣府令で定めるところにより、協会(認可金融商品取引業協会又は第七十八条第二項に規定する認定金融商品取引業協会をいう。以下この節において同じ。)に、第六十四条、第六十四条の二及び前三条に規定する登録に関する事務(以下この条(第六項各号を除く。)及び第六十四条の九において「登録事務」という。)であつて当…
Open this provision(Delegation of Registration Work)
The Prime Minister may designate one association and have it do the registration work (excluding the work to which Article 64-5 pertains) in connection with the sales representative of a financial…
内閣総理大臣は、内閣府令で定めるところにより、協会に所属しない金融商品取引業者等の外務員に係る登録事務(第六十四条の五に係るものを除く。)を一の協会を定めて行わせることができる。
Open this provision(Registration Fee)
A financial instruments business operator, etc. seeking to have a sales representative registered must pay a registration fee to the State…
外務員の登録を受けようとする金融商品取引業者等は、政令で定めるところにより、登録手数料を国(前条第一項又は第二項の規定により協会に登録する場合にあつては、協会)に納めなければならない。
Open this provisionfinancial 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)
sales representative
「外務員」
An officer or employee of a financial instruments business operator, etc. who, whatever their title, carries out for it the acts listed in Article 64, paragraph (1), such as soliciting purchases and sales of securities or derivatives transactions; each must be registered in the register of sales representatives.
Short name set inArticle 64, paragraph (1)
associationmachine translation
「協会」
In Section 7 of Chapter 3, an authorized financial instruments firms association (認可金融商品取引業協会) or a certified financial instruments business association (認定金融商品取引業協会).
Defined inArticle 64-7, paragraph (1)· applies only in this section