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Supplementary Provisions

附　則

Supplementary Provisions, Article 1Effective Date

第一条（施行期日）

This Act comes into effect on December 1, 1998; provided, however, that the provisions set forth in the following items come into effect on the dates specified respectively in those items:

この法律は、平成十年十二月一日から施行する。ただし、次の各号に掲げる規定は、当該各号に定める日から施行する。

the provision in adding one Chapter after Chapter IV of the Securities and Exchange Act (limited to the part concerning ) and the provisions amending and ; the provisions of ; the provision in amending Part II, Chapter X, Section 2, Subsection 1 of the Insurance Business Act (limited to the part concerning ); the provisions of and the provisions of ; and the provisions of Articles 40, 42, , , , , 147, , , , and (excluding the provision amending ) and Articles 188 through 190 of the Supplementary Provisions: July 1, 1998;

中証券取引法第四章の次に一章を加える改正規定（に係る部分に限る。）並びに及びの改正規定、の規定、中保険業法第二編第十章第二節第一款の改正規定（に係る部分に限る。）、の規定並びにの規定並びに附則第四十条、第四十二条、、、、、第百四十七条、、、、（の改正規定を除く。）及び第百八十八条から第百九十条までの規定　平成十年七月一日

the provision in amending , the provision amending (limited to the part concerning ), and the provision adding one Article after (limited to the part concerning ): the date of enforcement of the ;

中の改正規定、の改正規定（に係る部分に限る。）及びの次に一条を加える改正規定（に係る部分に限る。）　の施行の日

the provision in amending (limited to the part replacing "" with ""); the provisions amending , , and , and and ; the provision amending (excluding the provision amending ); the provision adding one paragraph after ; the provisions amending and , , and ; the provision amending (limited to the part replacing "" with "" and "500 million yen" with "100 million yen"); the provision amending ; the provisions amending and (limited to the part replacing "500 million yen" with "100 million yen"); the provisions amending , and , and ; the provision amending (excluding the part replacing "that it issues" with "of which that company is the issuer"); the provision amending (excluding the part replacing "issued by" with "of which ... is the issuer"); the provisions amending and ; the provision adding one paragraph after ; the provisions amending and ; the provision amending (excluding the part replacing "issues" with "of which the company is the issuer"); the provision amending (excluding the part replacing "issued by" with "of which ... is the issuer"); the provision amending ; the provision adding one paragraph after ; the provision amending ; the provision amending (excluding the part replacing "" with ""); the provision amending ; the provision amending (excluding the part replacing "" with ""); the provision amending ; the provision amending (excluding the part replacing " or " with ""); the provision amending (excluding the part replacing "" with ""); and the provision amending (excluding the part adding "or " after ""); the provision in amending ; the provisions amending and (limited to the part replacing "special purpose company prescribed in " with "juridical person set forth in the items of "), the provision amending , and the provision amending ; and the provisions of Articles 4 through 7 and , , , and of the Supplementary Provisions: April 1, 1999;

中の改正規定（「」を「」に改める部分に限る。）、、及び並びに及びの改正規定、の改正規定（の改正規定を除く。）、の次に一項を加える改正規定、及び、並びにの改正規定、の改正規定（「」を「」に、「五億円」を「一億円」に改める部分に限る。）、の改正規定、及びの改正規定（「五億円」を「一億円」に改める部分に限る。）、、及び並びにの改正規定、の改正規定（「その発行する」を「その会社が発行者である」に改める部分を除く。）、の改正規定（「の発行する」を「が発行者である」に改める部分を除く。）、及びの改正規定、の次に一項を加える改正規定、及びの改正規定、の改正規定（「発行する」を「会社が発行者である」に改める部分を除く。）、の改正規定（「の発行する」を「が発行者である」に改める部分を除く。）、の改正規定、の次に一項を加える改正規定、の改正規定、の改正規定（「」を「」に改める部分を除く。）、の改正規定、の改正規定（「」を「」に改める部分を除く。）、の改正規定、の改正規定（「若しくは」を「」に改める部分を除く。）、の改正規定（「」を「」に改める部分を除く。）並びにの改正規定（「」の下に「若しくは」を加える部分を除く。）、中の改正規定、及びの改正規定（「に規定する特定目的会社」を「各号に掲げる法人」に改める部分に限る。）、の改正規定並びにの改正規定並びに附則第四条から第七条まで並びに、、及びの規定　平成十一年四月一日

the provision in deleting , the provision amending (limited to the part replacing "" with ""), the provision making , and the provision amending , and the provision of of the Supplementary Provisions: the date specified by Cabinet Order within the period from December 1, 1998 to December 31, 1999;

中を削る改正規定、の改正規定（「」を「」に改める部分に限る。）、をとする改正規定及びの改正規定並びにの規定　平成十年十二月一日から平成十一年十二月三十一日までの範囲内において政令で定める日

the provisions of : the date specified by Cabinet Order within the period from October 1, 1999 to March 31, 2000;

の規定　平成十一年十月一日から平成十二年三月三十一日までの範囲内において政令で定める日

Omitted

略

the provisions of and the provisions of Article 57 of the Supplementary Provisions: July 1, 2000.

の規定及び附則第五十七条の規定　平成十二年七月一日

Supplementary Provisions, Article 2Transitional Measures Accompanying Partial Amendment of the Securities and Exchange Act

第二条（証券取引法の一部改正に伴う経過措置）

With regard to new securities (meaning the securities set forth in the items of as amended by the provisions of (hereinafter referred to as the "New Securities and Exchange Act") or the rights set forth in the items of (excluding the securities set forth in the items of prior to amendment by the provisions of (hereinafter referred to as the "Former Securities and Exchange Act") or the rights set forth in the items of ); the same applies in Article 11 of the Supplementary Provisions) for which the solicitation of an offer to acquire (meaning the solicitation of an offer to acquire prescribed in Article 2, paragraph (3) of the Financial Instruments and Exchange Act as amended by the provisions of (hereinafter referred to as the "New Financial Instruments and Exchange Act")) or an offer to sell or the solicitation of an offer to purchase (referred to as the "solicitation of an offer to acquire, etc." in Article 4 of the Supplementary Provisions) was commenced before the day this Act comes into effect (hereinafter referred to as "the effective date"), the provisions of Chapter II of the New Financial Instruments and Exchange Act do not apply.

この法律の施行の日（以下「施行日」という。）前に取得の申込みの勧誘（の規定による改正後の金融商品取引法（以下「新金融商品取引法」という。）第二条第三項に規定する取得の申込みの勧誘をいう。）又は売付けの申込み若しくは買付けの申込みの勧誘（附則第四条において「取得の申込みの勧誘等」という。）を開始した新有価証券（の規定による改正後の証券取引法（以下「新証券取引法」という。）各号に掲げる有価証券又は各号に掲げる権利（の規定による改正前の証券取引法（以下「旧証券取引法」という。）各号に掲げる有価証券又は各号に掲げる権利を除く。）をいう。附則第十一条において同じ。）については、新金融商品取引法第二章の規定は、適用しない。

Supplementary Provisions, Article 3

第三条

With regard to beneficiary certificates of securities investment trusts pertaining to the specified trust terms prescribed in of the Supplementary Provisions, the provisions of Chapter II of the New Securities and Exchange Act do not apply until the day on which two years elapse, counting from the effective date.

に規定する特定信託約款に係る証券投資信託の受益証券については、施行日から起算して二年を経過する日までの間は、新証券取引法第二章の規定は、適用しない。

Beneficiary certificates prescribed in the preceding paragraph for which the number of holders on the last day of their specific period (meaning the specific period prescribed in of the New Securities and Exchange Act) (or, if that day is before the day on which two years have elapsed counting from the effective date, the day on which two years have elapsed) is the number specified by Cabinet Order or more are deemed to fall under , and the provisions of , , and of the New Securities and Exchange Act (including penal provisions pertaining to these provisions) apply.

前項に規定する受益証券で、その特定期間（に規定する特定期間をいう。）の末日（その日が施行日から起算して二年を経過した日前であるときは、同日）におけるその所有者の数が政令で定める数以上であるものは、に該当するものとみなしてからまで、及び（これらの規定に係る罰則を含む。）の規定を適用する。

Supplementary Provisions, Article 4

第四条

The provisions of and , , and , and , and of the New Securities and Exchange Act apply to the solicitation of an offer to acquire, etc. securities commenced on or after April 1, 1999, and the provisions then in force continue to govern the solicitation of an offer to acquire, etc. securities commenced before that day.

及び、、及び、及び並びにの規定は、平成十一年四月一日以後に開始する有価証券の取得の申込みの勧誘等について適用し、同日前に開始した有価証券の取得の申込みの勧誘等については、なお従前の例による。

Supplementary Provisions, Article 5

第五条

The provisions of of the New Securities and Exchange Act apply to a securities registration statement under that is submitted by a person set forth in the following items on or after the day specified in the relevant item, and the provisions then in force continue to govern a securities registration statement submitted by a person set forth in the following items before the day specified in the relevant item:

の規定は、次の各号に掲げる者が当該各号に定める日以後に提出するの規定による届出書について適用し、次の各号に掲げる者が当該各号に定める日前に提出する届出書については、なお従前の例による。

a person who, as of April 1, 1999, has already submitted an annual securities report under of the Former Securities and Exchange Act (including as applied mutatis mutandis pursuant to ; the same applies in the following Article): the day on which, by applying the provisions of paragraph (1) of the following Article, that person is to submit an annual securities report under of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to ; the same applies in the following Article), or the day on which that person has submitted an annual securities report under of the New Securities and Exchange Act pursuant to the provisions of paragraph (2) of the following Article;

平成十一年四月一日において既に（において準用する場合を含む。次条において同じ。）の規定による有価証券報告書を提出している者　次条第一項の規定を適用することにより（において準用する場合を含む。次条において同じ。）の規定による有価証券報告書を提出することとなる日又は次条第二項の規定によりの規定による有価証券報告書を提出した日

a person other than the persons set forth in the preceding item: July 1, 2000.

前号に掲げる者以外の者　平成十二年七月一日

A person who is required to submit a securities registration statement under of the Former Securities and Exchange Act pursuant to the provisions of the preceding paragraph may, on or after April 1, 1999, even before the day specified in the items of the preceding paragraph, submit a securities registration statement under of the New Securities and Exchange Act in lieu of the securities registration statement under of the Former Securities and Exchange Act.

前項の規定によりの規定による届出書を提出しなければならない者は、平成十一年四月一日以後、前項各号に定める日前においてもの規定による届出書に代えて、の規定による届出書を提出することができる。

Supplementary Provisions, Article 6

第六条

The provisions of of the New Securities and Exchange Act apply to an annual securities report under (including its accompanying documents and the amended reports of these; hereinafter the same in this Article) for a business year commencing on or after April 1, 1999, and the provisions then in force continue to govern an annual securities report under of the Former Securities and Exchange Act for a business year that commenced before that day.

の規定は、平成十一年四月一日以後に開始する事業年度に係るの規定による有価証券報告書（その添付書類及びこれらの訂正報告書を含む。以下この条において同じ。）について適用し、同日前に開始した事業年度に係るの規定による有価証券報告書については、なお従前の例による。

A company that is required to submit an annual securities report under of the Former Securities and Exchange Act pursuant to the provisions of the preceding paragraph may, on or after April 1, 1999, submit an annual securities report under of the New Securities and Exchange Act in lieu of the annual securities report under for a business year that commenced before that day.

前項の規定によりの規定による有価証券報告書を提出しなければならない会社は、平成十一年四月一日以後、同日前に開始した事業年度に係るの規定による有価証券報告書に代えて、の規定による有価証券報告書を提出することができる。

Supplementary Provisions, Article 7

第七条

The provisions of of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to ; the same applies hereinafter in this Article) apply to a semiannual securities report under the provisions of (including its amended report; the same applies hereinafter in this Article) for a business year beginning on or after April 1, 2000, and for a semiannual securities report under the provisions of of the Former Securities and Exchange Act for a business year beginning before that date, the provisions then in force continue to govern.

（において準用する場合を含む。以下この条において同じ。）の規定は、平成十二年四月一日以後に開始する事業年度に係るの規定による半期報告書（その訂正報告書を含む。以下この条において同じ。）について適用し、同日前に開始する事業年度に係るの規定による半期報告書については、なお従前の例による。

A company that must submit a semiannual securities report under the provisions of of the Former Securities and Exchange Act pursuant to the provisions of the preceding paragraph may submit a semiannual securities report under the provisions of of the New Securities and Exchange Act in place of the semiannual securities report under the provisions of of the Former Securities and Exchange Act for a business year beginning on or after April 1, 1999 and before April 1, 2000.

前項の規定によりの規定による半期報告書を提出しなければならない会社は、平成十一年四月一日以後、平成十二年四月一日前に開始する事業年度に係るの規定による半期報告書に代えて、の規定による半期報告書を提出することができる。

Supplementary Provisions, Article 8

第八条

The provisions of of the New Securities and Exchange Act apply to the purchase of own share certificates, etc. prescribed in of the New Securities and Exchange Act that is conducted based on a resolution of an annual general meeting under the provisions of or , or a resolution of the board of directors prescribed in (hereinafter in this paragraph and the following Article referred to as a "resolution of an annual general meeting, etc."), made on or after the effective date, and for the purchase of share certificates for its own shares that is conducted based on a resolution of an annual general meeting, etc. made before the effective date, the provisions then in force continue to govern.

の規定は、施行日以後に行われる若しくはに規定する取締役会の決議（以下この項及び次条において「定時総会決議等」という。）に基づいて行うに規定する自己株券等の買付けについて適用し、施行日前に行われた定時総会決議等に基づいて行う自己の株式に係る株券の買付けについては、なお従前の例による。

The provisions of of the New Securities and Exchange Act apply to the purchase, etc. of own share certificates, etc. prescribed in of the New Securities and Exchange Act for the retirement of shares under the provisions of , or the purchase, etc. of own share certificates, etc. for the retirement of redeemable shares prescribed in of the New Securities and Exchange Act, that is conducted on or after April 1, 1999.

の規定は、平成十一年四月一日以後に行われるの規定による株式の消却のためのに規定する自己株券等の買付け等又はに規定する償還株式の消却のための自己株券等の買付け等について適用する。

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