Supplementary Provisions
附 則
This Act comes into effect as of the day specified by Cabinet Order within a period not exceeding four months from the date of promulgation.
この法律は、公布の日から起算して四月をこえない範囲内で政令で定める日から施行する。
With regard to securities prescribed in Article 3, paragraph (2) of the Securities and Exchange Act before the amendment (hereinafter referred to as the "Former Act") for which a public offering or secondary distribution was commenced before the day on which this Act comes into effect (hereinafter referred to as the "effective date"), the provisions then in force continue to govern.
この法律の施行の日（以下「施行日」という。）前に募集又は売出しを開始した改正前の証券取引法（以下「旧法」という。）第三条第二項に規定する有価証券については、なお従前の例による。
The provisions of Article 4 through Article 13, Article 15, Article 16, and Article 18 through Article 23 of the Securities and Exchange Act after the amendment (hereinafter referred to as the "New Act") apply, except as provided for in paragraph (5) of the Supplementary Provisions, to a public offering or secondary distribution of securities commenced on or after the effective date (excluding one pertaining to a notification made under the provisions of Article 4, paragraph (1) of the Former Act before the effective date) and to securities trading pertaining to that public offering or secondary distribution, and the provisions then in force continue to govern a public offering or secondary distribution of securities commenced before the effective date, a public offering or secondary distribution of securities pertaining to a notification made under the provisions of Article 4, paragraph (1) of the Former Act before the effective date that is commenced on or after the effective date, and securities trading pertaining to those public offerings or secondary distributions.
The provisions of Article 4, paragraph (2) of the New Act do not apply to a public offering or secondary distribution of securities made to shareholders that are stated or recorded in the shareholder register as of a certain date within the period until the day on which 40 days have elapsed from the effective date.
The provisions of Article 24 through Article 24-4 of the New Act apply to an annual securities report under the provisions of Article 24, paragraph (1) of the New Act for a business year ending on or after the effective date (including its attached documents and the amended reports of these; hereinafter the same applies in this paragraph) or an annual securities report under the provisions of paragraph (2) of that Article in the case where a fact prescribed in that paragraph occurs on or after the effective date, and the provisions then in force continue to govern a report under the provisions of Article 24, paragraph (1) of the Former Act for a business year that ended before the effective date (including its amended report; hereinafter referred to as a "former annual securities report").
A company that is an issuer of securities for whose public offering or secondary distribution a notification under the provisions of Article 4, paragraph (1) of the Former Act was made before the effective date is deemed to be a company that is an issuer of securities to which the main clause of Article 4, paragraph (1) of the New Act applied on the effective date, and the provisions of Article 24, paragraph (1) of the New Act apply.
A company prescribed in Article 24-5, paragraph (1) of the New Act is not required to submit a semiannual securities report under the provisions of that paragraph for the business year that includes the effective date.
With regard to a report under the provisions of Article 118, paragraph (1) of the Former Act for a business year that ended before the effective date (including its amended report; hereinafter referred to as a "listed securities report"), the provisions then in force continue to govern.
施行日前に終了した事業年度に係る旧法第百十八条第一項の規定による報告書（その訂正報告書を含む。以下「上場有価証券報告書」という。）については、なお従前の例による。
With regard to a securities registration statement pertaining to a public offering or secondary distribution of securities for which the provisions then in force are to continue to govern pursuant to the provisions of paragraphs (3) and (6) of the Supplementary Provisions and the preceding paragraph, a former annual securities report and a listed securities report, and the public inspection of copies of these documents, the provisions then in force continue to govern.
With regard to the application of penal provisions to acts committed before the effective date, and to acts committed on or after that date in relation to a public offering or secondary distribution of securities for which the provisions then in force are to continue to govern pursuant to the provisions of these Supplementary Provisions, securities trading pertaining to that public offering or secondary distribution, a former annual securities report, a listed securities report, and the public inspection under the preceding paragraph, the provisions then in force continue to govern.
The provisions of Article 4 through Article 13, Article 15, Article 16, and Article 18 through Article 23 of the Securities and Exchange Act after the amendment…
改正後の証券取引法（以下「新法」という。）第四条から第十三条まで、第十五条、第十六条及び第十八条から第二十三条までの規定は、附則第五項に定めるものを除き、施行日以後に開始する有価証券の募集又は売出し（同日前にした旧法第四条第一項の規定による届出に係るものを除く。）及び当該募集又は売出しに係る有価証券の取引について適用…
Open this provisionThe provisions of Article 24 through Article 24-4 of the New Act apply to an annual securities report under the provisions of Article 24, paragraph (1) of the New Act for a business year ending on or…
新法第二十四条から第二十四条の四までの規定は、施行日以後に終了する事業年度に係る新法第二十四条第一項の規定による有価証券報告書（その添附書類及びこれらの訂正報告書を含む。以下この項において同じ。）又は同日以後に同条第二項に規定する事実が生じた場合の同項の規定による有価証券報告書について適用し…
Open this provisionA company that is an issuer of securities for whose public offering or secondary distribution a notification under the provisions of Article 4, paragraph (1) of the Former Act was made before the…
施行日前にその募集又は売出しにつき旧法第四条第一項の規定による届出があつた有価証券の発行者である会社は、同日において新法第四条第一項本文の規定の適用を受けた有価証券の発行者である会社とみなして、新法第二十四条第一項の規定を適用する。
Open this provisionWith regard to a report under the provisions of Article 118, paragraph (1) of the Former Act for a business year that ended before the effective date…
施行日前に終了した事業年度に係る旧法第百十八条第一項の規定による報告書（その訂正報告書を含む。以下「上場有価証券報告書」という。）については、なお従前の例による。
Open this provisionWith regard to a securities registration statement pertaining to a public offering or secondary distribution of securities for which the provisions then in force are to continue to govern pursuant to…
附則第三項及び第六項並びに前項の規定によりなお従前の例によることとされる有価証券の募集又は売出しに係る有価証券届出書、旧有価証券報告書及び上場有価証券報告書並びにこれらの書類の写しの公衆縦覧については、なお従前の例による。
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
public offering of securities
「有価証券の募集」
A public offering of securities: a solicitation of applications to acquire newly issued securities (取得勧誘) that, for paragraph (1) securities (第一項有価証券), is made to many persons as a Cabinet Order (政令) sets or falls under none of the exemptions for solicitations made only to qualified institutional investors, only to professional investors, or to a small number of persons, and that, for paragraph (2) securities (第二項有価証券), will lead a fairly large number of persons, as a Cabinet Order sets, to hold the securities.
Defined inArticle 2, paragraph (3)
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)
securities registration statement
「有価証券届出書」
A securities registration statement: the statement filed under Article 5, paragraph (1) (including as applied under paragraph (5) of that Article) for a public offering or secondary distribution of securities, the documents attached to it under paragraph (13) of that Article, and any amended statement filed under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1).
Defined inArticle 2, paragraph (7)· applies throughout the law
annual securities report
「有価証券報告書」
An annual securities report: the report that a company issuing securities listed on a financial instruments exchange, or otherwise falling under Article 24, paragraph (1), must submit to the Prime Minister for each business year, setting out its trade name, the state of its corporate group and its accounts, and other important matters about its business, within three months after the year ends for a domestic company.
Short name set inArticle 24, paragraph (1)
semiannual securities reportmachine translation
「半期報告書」
The report that every company required to submit annual securities reports (有価証券報告書) must submit to the Prime Minister under Article 24-5, paragraph (1) for the first six months of each business year, stating the particulars the table in that paragraph sets for its category, within the period the table sets.
Defined inArticle 24-5, paragraph (1)
the effective datemachine translation
「施行日」
The date Act No. 4 of 1971, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, paragraph (2)
the Former Actmachine translation
「旧法」
This Act as it stood before Act No. 4 of 1971 amended it.
Short name set inSupplementary Provisions, paragraph (2)
the New Actmachine translation
「新法」
This Act as amended by Act No. 4 of 1971.
Short name set inSupplementary Provisions, paragraph (3)
former annual securities reportmachine translation
「旧有価証券報告書」
In the supplementary provisions (附則) of Act No. 4 of 1971, a report under Article 24, paragraph (1) of this Act as it stood before that Act amended it, together with any amended report of it, for a business year that ended before the date that Act came into effect.
Short name set inSupplementary Provisions, paragraph (5)
listed securities reportmachine translation
「上場有価証券報告書」
In the supplementary provisions (附則) of Act No. 4 of 1971, a report under Article 118, paragraph (1) of this Act as it stood before that Act (including a correction report for it) for a business year that ended before that Act came into effect.
Short name set inSupplementary Provisions, paragraph (8)