Article 64Registration of Sales Representatives
第六十四条(外務員の登録)
A financial instruments business operator, etc. must have a registration made in a sales representatives register that is kept in a location set forth by Cabinet Office Order (hereinafter referred to as the "register"), bearing the name, birth date, and any other particular specified by Cabinet Office Order, for any solicitor, sales person, agent, or other person among its officers and employees, irrespective of title, that performs the following acts on its behalf (hereinafter referred to as a "sales representative"):
the following acts involving securities (excluding rights set forth in the items of Article 2, paragraph (2) that are deemed to be securities pursuant to the provisions of that paragraph):
acts set forth in Article 2, paragraph (8), items (i) through (iii), item (v), item (viii), and item (ix); and
第二条第八項第一号から第三号まで、第五号、第八号及び第九号に掲げる行為
the following acts:
次に掲げる行為
soliciting an offer for a purchase and sale, or a request for the intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency thereof;
売買又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理の申込みの勧誘
soliciting an offer for a market derivatives transaction or foreign market derivatives transaction, or a request for the intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency thereof;
市場デリバティブ取引若しくは外国市場デリバティブ取引又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理の申込みの勧誘
soliciting the entrustment of a market derivatives transaction or foreign market derivatives transaction.
市場デリバティブ取引又は外国市場デリバティブ取引の委託の勧誘
the following acts:
次に掲げる行為
solicitation of offers in connection with over-the-counter derivatives transactions, etc.;
店頭デリバティブ取引等の申込みの勧誘
beyond what is set forth in the preceding two items, acts specified by Cabinet Order.
前二号に掲げるもののほか、政令で定める行為
A financial instruments business operator, etc. must not allow a person other than one for which a registration has been made pursuant to the preceding paragraph to perform the duties of a sales representative (meaning acts set forth in the items of that paragraph; the same applies hereinafter).
A financial instruments business operator, etc. seeking to have a registration made pursuant to the provisions of paragraph (1) must submit a written application for registration to the Prime Minister, in which it states the following particulars:
the trade name or name of the applicant for registration;
登録申請者の商号、名称又は氏名
the name of its representative, if the applicant for registration is a corporation;
登録申請者が法人であるときは、その代表者の氏名
the following particulars of the sales representative to which the application for registration pertains:
登録の申請に係る外務員についての次に掲げる事項
the person's name and birth date;
氏名及び生年月日
whether the person has ever performed the duties of a sales representative (including the duties of a sales representative prescribed in the preceding paragraph as applied mutatis mutandis pursuant to Article 66-25 and the duties of a sales representative prescribed in Article 75, paragraph (2) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the same applies in (c)), and if the person has performed the duties of a sales representative before, the trade name or name of the financial instruments business operator, etc. or financial instruments intermediary service provider, or financial service intermediary to which the person belonged and the period during which the person performed those duties;
whether the person has ever conducted financial instruments intermediary services or securities, etc. intermediary business operations, and if the person has conducted financial instruments intermediary services or securities, etc. intermediary business operations before, the period during which the person conducted the services; and
other particulars specified by Cabinet Office Order.
その他内閣府令で定める事項
The resume of the sales representative that the applicant seeks to have registered and other documents specified by Cabinet Office Order must be attached to the written application for registration referred to in the preceding paragraph.
When an application for registration under paragraph (3) is filed, unless the Prime Minister refuses the registration pursuant to the provisions of paragraph (1) of the following Article, the Prime Minister must immediately register the particulars prescribed in paragraph (1) in the register.
Upon making a registration referred to in paragraph (1), the Prime Minister must notify the applicant of this in writing.
内閣総理大臣は、第一項の登録をしたときは、書面により、その旨を登録申請者に通知しなければならない。
Article 64-2Refusal of Registration
第六十四条の二(登録の拒否)
If the sales representative to which an application for registration pertains falls under any of the following items, or if a written application for registration or an accompanying document includes a false statement or lacks a statement of a material fact, the Prime Minister must refuse that registration:
内閣総理大臣は、登録の申請に係る外務員が次の各号のいずれかに該当するとき、又は登録申請書若しくはその添付書類のうちに虚偽の記載があり、若しくは重要な事実の記載が欠けているときは、その登録を拒否しなければならない。
a person set forth in Article 29-4, paragraph (1), item (ii), (a) through (i);
第二十九条の四第一項第二号イからリまでに掲げる者
a person that has had the registration as a sales representative (including the sales representative prescribed in paragraph (1) of the preceding Article as applied mutatis mutandis pursuant to Article 66-25 and the sales representative prescribed in Article 75, paragraph (1) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto; the same applies in the following item) rescinded pursuant to the provisions of Article 64-5, paragraph (1) (including as applied mutatis mutandis pursuant to Article 66-25 and pursuant to Article 77 of that Act), for whom five years have not passed since the date of the rescission;
a person registered as a sales representative that belongs to a financial instruments business operator, etc. or financial instruments intermediary service provider, or financial service intermediary other than the applicant for registration; or
a person that has obtained the registration referred to in Article 66 or a person that has obtained the registration referred to in Article 12 of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (limited to the registration related to the type of securities, etc. intermediary business operations).
Before seeking to refuse the registration referred to in paragraph (1) of the preceding Article, the Prime Minister must notify the applicant for registration and have relevant officials conduct a hearing of the applicant for registration.
内閣総理大臣は、前条第一項の登録を拒否しようとするときは、登録申請者に通知して、当該職員に、当該登録申請者につき審問を行わせなければならない。
If the Prime Minister decides to refuse the registration referred to in paragraph (1) of the preceding Article, the Prime Minister must notify the applicant for registration of this in writing.
内閣総理大臣は、前条第一項の登録を拒否することとしたときは、書面により、その旨を登録申請者に通知しなければならない。
Article 64-3Authority of Sales Representatives
第六十四条の三(外務員の権限)
Sales representative are deemed to have the authority to perform any extra-judicial act in connection with the acts set forth in the items of Article 64, paragraph (1) on behalf of the financial instruments business operator, etc. to which the sales representative belongs.
The provisions of the preceding paragraph do not apply if the other party has acted in bad faith.
前項の規定は、相手方が悪意であつた場合においては、適用しない。
Article 64-4Notification of a Change to Registered Information
第六十四条の四(登録事項の変更等の届出)
If a fact falling under any of the following items occurs with regard to a sales representative that a financial instruments business operator, etc. has had registered pursuant to the provisions of Article 64, paragraph (1), the financial instruments business operator must notify the Prime Minister of this without delay:
a particular set forth in Article 64, paragraph (3), item (iii), (a) or (b) changes;
第六十四条第三項第三号イ又はロに掲げる事項に変更があつたとき。
the case comes to fall under the case specified by Cabinet Office Order as being likely to fall under Article 29-4, item (ii), (a);
第二十九条の四第一項第二号イに該当するおそれがあるものとして内閣府令で定める場合に該当することとなつたとき。
the person comes to fall under any of Article 29-4, paragraph (1), item (ii), (b) through (i); or
第二十九条の四第一項第二号ロからリまでのいずれかに該当することとなつたとき。
the person no longer performs the duties of a sales representative due to leaving office or for other reasons.
退職その他の理由により外務員の職務を行わないこととなつたとき。
(Definitions)
The rights that must be indicated on securities set forth in items (i) through (xv) of the preceding paragraph, on securities set forth in item (xvii) of that paragraph…
前項第一号から第十五号までに掲げる有価証券、同項第十七号に掲げる有価証券(同項第十六号に掲げる有価証券の性質を有するものを除く。)及び同項第十八号に掲げる有価証券に表示されるべき権利(同項第十四号に掲げる有価証券及び同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示されるべき…
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the purchase and sale of securities (excluding those falling under the category of derivatives transactions; the same applies hereinafter), market derivatives transactions…
有価証券の売買(デリバティブ取引に該当するものを除く。以下同じ。)、市場デリバティブ取引(金融商品(第二十四項第三号の三に掲げるものに限る。)又は金融指標(当該金融商品の価格及びこれに基づいて算出した数値に限る。)に係る市場デリバティブ取引(以下「商品関連市場デリバティブ取引」という。)を除く。)又は外国市場デリバテ…
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the purchase and sale of securities or intermediation, brokerage, or agency for it, using an electronic data processing system, conducted through any of the following methods for deciding the trading…
有価証券の売買又はその媒介、取次ぎ若しくは代理であつて、電子情報処理組織を使用して、同時に多数の者を一方の当事者又は各当事者として次に掲げる売買価格の決定方法又はこれに類似する方法により行うもの(取り扱う有価証券の種類等に照らして取引所金融商品市場又は店頭売買有価証券市場(第六十七条第二項に規定する店頭売買有価証券市…
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intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for the purchase and sale of securities, market derivatives transactions…
有価証券の売買、市場デリバティブ取引又は外国市場デリバティブ取引の媒介、取次ぎ(有価証券等清算取次ぎを除く。)又は代理(有価証券の売買の媒介、取次ぎ又は代理にあつては、第十号に掲げるものを除く。)
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intermediation, brokerage, or agency for entrustment of the following transactions:
次に掲げる取引の委託の媒介、取次ぎ又は代理
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over-the-counter derivatives transactions or intermediation, brokerage (excluding brokerage for clearing of securities, etc.), or agency for them…
店頭デリバティブ取引又はその媒介、取次ぎ(有価証券等清算取次ぎを除く。)若しくは代理(以下「店頭デリバティブ取引等」という。)
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brokerage for clearing of securities, etc.;
有価証券等清算取次ぎ
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the underwriting of securities (meaning doing any of the things set forth in an item of paragraph (6) at the time of a public offering, secondary distribution, private placement of securities, or…
有価証券の引受け(有価証券の募集若しくは売出し又は私募若しくは特定投資家向け売付け勧誘等に際し、第六項各号に掲げるもののいずれかを行うことをいう。)
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secondary distribution of securities or solicitation for selling, etc. only for professional investors;
有価証券の売出し又は特定投資家向け売付け勧誘等
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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
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if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
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If the sales representative to which an application for registration pertains falls under any of the following items, or if a written application for registration or an accompanying document includes…
内閣総理大臣は、登録の申請に係る外務員が次の各号のいずれかに該当するとき、又は登録申請書若しくはその添付書類のうちに虚偽の記載があり、若しくは重要な事実の記載が欠けているときは、その登録を拒否しなければならない。
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a person registered as a sales representative that belongs to a financial instruments business operator, etc. or financial instruments intermediary service provider…
登録申請者以外の金融商品取引業者等若しくは金融商品仲介業者又は金融サービス仲介業者に所属する外務員として登録されている者
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Sales representative are deemed to have the authority to perform any extra-judicial act in connection with the acts set forth in the items of Article 64…
外務員は、その所属する金融商品取引業者等に代わつて、第六十四条第一項各号に掲げる行為に関し、一切の裁判外の行為を行う権限を有するものとみなす。
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If a registered sales representative falls under any of the following items, the Prime Minister may rescind the registration or order the sales representative to suspend their duties during a fixed…
内閣総理大臣は、登録を受けている外務員が次の各号のいずれかに該当する場合においては、その登録を取り消し、又は二年以内の期間を定めてその職務の停止を命ずることができる。
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A financial instruments business operator, etc. must have a registration made in a sales representatives register that is kept in a location set forth by Cabinet Office Order…
金融商品取引業者等は、勧誘員、販売員、外交員その他いかなる名称を有する者であるかを問わず、その役員又は使用人のうち、その金融商品取引業者等のために次に掲げる行為を行う者(以下「外務員」という。)の氏名、生年月日その他内閣府令で定める事項につき…
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the following acts involving securities (excluding rights set forth in the items of Article 2, paragraph (2) that are deemed to be securities pursuant to the provisions of that paragraph):
有価証券(第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利を除く。)に係る次に掲げる行為
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the following acts:
次に掲げる行為
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A financial instruments business operator, etc. must not allow a person other than one for which a registration has been made pursuant to the preceding paragraph to perform the duties of a sales…
金融商品取引業者等は、前項の規定により当該金融商品取引業者等が登録を受けた者以外の者に外務員の職務(同項各号に掲げる行為をいう。以下同じ。)を行わせてはならない。
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A financial instruments business operator, etc. seeking to have a registration made pursuant to the provisions of paragraph (1) must submit a written application for registration to the Prime…
第一項の規定により登録を受けようとする金融商品取引業者等は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
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the following particulars of the sales representative to which the application for registration pertains:
登録の申請に係る外務員についての次に掲げる事項
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Notwithstanding the provisions of Article 29, a person other than a bank, a cooperative financial institution, or a financial institution specified by Cabinet Order…
銀行、協同組織金融機関その他政令で定める金融機関以外の者(第一種金融商品取引業(第二十八条第一項に規定する第一種金融商品取引業をいう。以下この章において同じ。)を行う者及び登録金融機関の役員及び使用人を除く。)は、第二十九条の規定にかかわらず、内閣総理大臣の登録を受けて、金融商品仲介業を行うことができる。
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The provisions of Articles 64 through 64-9 (excluding Article 64-7, paragraph (2)) apply mutatis mutandis to a financial instruments intermediary service provider.
第六十四条から第六十四条の九まで(第六十四条の七第二項を除く。)の規定は、金融商品仲介業者について準用する。この場合において、必要な技術的読替えは、政令で定める。
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
over-the-counter derivatives transactions, etc.
「店頭デリバティブ取引等」
An over-the-counter derivatives transaction (店頭デリバティブ取引), or intermediation, brokerage — other than clearing brokerage for securities, etc. (有価証券等清算取次ぎ) — or agency for one.
Short name set inArticle 2, paragraph (8), item (iv)
financial instruments intermediary servicemachine translation
「金融商品仲介業」
Business carried on, on entrustment by a financial instruments business operator (金融商品取引業者) carrying on Type I financial instruments business or investment management business (with some exceptions for small-amount electronic offerings, unlisted securities and qualified investors) or by a registered financial institution (登録金融機関), of any of these acts on its behalf: intermediating purchases and sales of securities; intermediating the entrustment of trades on a financial instruments exchange market or a foreign financial instruments market; handling public offerings, secondary distributions or private placements of securities; and intermediating investment advisory or discretionary investment contracts, subject to an exception for investment management business that paragraph sets.
Defined inArticle 2, paragraph (11)· applies throughout the law
financial instruments intermediary service provider
「金融商品仲介業者」
A person registered by the Prime Minister under Article 66 to carry on financial instruments intermediary service (金融商品仲介業).
Defined inArticle 2, paragraph (12)· applies throughout the law
market derivatives transactions
「市場デリバティブ取引」
A transaction listed in Article 2, paragraph (21) — such as futures, index and option transactions on financial instruments or financial indicators — carried out on a financial instruments market under the standards and methods set by the person that operates that market.
Defined inArticle 2, paragraph (21)· applies throughout the law
foreign market derivatives transaction
「外国市場デリバティブ取引」
A transaction on a foreign financial instruments market (外国金融商品市場) that is similar to a market derivatives transaction (市場デリバティブ取引), other than one on the commodities listed in Article 2, paragraph (24), item (iii)-3 or on financial indicators limited to their prices and figures calculated from them.
Defined inArticle 2, paragraph (23)· applies throughout the law
brokerage for clearing of securities, etc.machine translation
「有価証券等清算取次ぎ」
A subject transaction (対象取引) that a financial instruments business operator or registered financial institution carries out on a customer's entrustment and for the customer's account under the business rules of a financial instruments clearing organization or a foreign one, on condition that the clearing organization takes on the obligations arising from it, and in which either the customer concludes the transaction as the firm's agent or the customer specifies the counterparty and other matters a Cabinet Office Order (内閣府令) sets when entrusting it.
Defined inArticle 2, paragraph (27)· applies throughout the law
securities, etc. intermediary businessmachine translation
「有価証券等仲介業務」
Securities, etc. intermediary business as defined in Article 11, paragraph (4) of the Act on the Provision of Financial Services and the Development of the Accessible Environment Thereto (Act No. 101 of 2000); in this Act a financial service intermediary (金融サービス仲介業者) is counted only where it carries on this business.
Defined inArticle 15, paragraph (1)
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
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)
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)
register
「登録原簿」
The sales representative register (外務員登録原簿), kept at a place a Cabinet Office Order (内閣府令) specifies, in which a financial instruments business operator, etc. (金融商品取引業者等) must register the name, date of birth and other particulars of each of its officers and employees who carry on for it the acts listed in Article 64, paragraph (1).
Short name set inArticle 64, paragraph (1)
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.