Supplementary Provisions, Article 36
第三十六条
A bank, trust company, or other financial institution specified by Cabinet Order that, at the time this Act comes into effect, has received the authorization under Article 65-2, paragraph (1) of the Former Securities and Exchange Act is deemed to have received, on the effective date, the registration under Article 65-2, paragraph (1) of the New Securities and Exchange Act. In this case, the provisions of Article 62, paragraph (3) of the New Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (2) of the New Securities and Exchange Act do not apply.
この法律の施行の際現に旧証券取引法第六十五条の二第一項の認可を受けている銀行、信託会社その他政令で定める金融機関は、施行日において新証券取引法第六十五条の二第一項の登録を受けたものとみなす。この場合において、同条第二項において準用する新証券取引法第六十二条第三項の規定は、適用しない。
The provisions of Article 12, paragraphs (2) and (3) of the Supplementary Provisions apply mutatis mutandis to the registration referred to in the preceding paragraph.
A bank, trust company, or other financial institution specified by Cabinet Order that, at the time this Act comes into effect, has received, pursuant to Article 65-2, paragraph (1) of the Former Securities and Exchange Act, the authorization under Article 28, paragraph (2), item (iii) of the Former Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (2) of the Former Securities and Exchange Act is deemed to have received, on the effective date, the authorization for the business of wholesale underwriting of securities under Article 65-2, paragraph (3) of the New Securities and Exchange Act. In this case, the provisions of Article 62, paragraph (3) of the New Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (4) of the New Securities and Exchange Act do not apply.
The provisions of Article 14, paragraphs (2) and (3) of the Supplementary Provisions apply mutatis mutandis to the authorization referred to in the preceding paragraph.
The provisions of Articles 15, 18, 20, 21, 26, and 27, Article 29, paragraph (1), and Articles 32 through the preceding Article of the Supplementary Provisions apply mutatis mutandis to a bank, trust company, or other financial institution specified by Cabinet Order that is deemed to have received the registration under Article 65-2, paragraph (1) of the New Securities and Exchange Act pursuant to the provisions of paragraph (1) (referred to as a "deemed registered financial institution" in paragraph (7)).
A person whose authorizations of all types have been rescinded pursuant to Article 35, paragraph (1) (limited to item (ii)) of the Former Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (3) of the Former Securities and Exchange Act is deemed, on the day on which that disposition was received, to have had the registration under Article 65-2, paragraph (1) of the New Securities and Exchange Act rescinded pursuant to Article 56, paragraph (1) of the New Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (5) of the New Securities and Exchange Act.
旧証券取引法第六十五条の二第三項において準用する旧証券取引法第三十五条第一項（第二号に限る。）の規定によりすべての種類の認可を取り消された者は、その処分を受けた日において、新証券取引法第六十五条の二第五項において準用する新証券取引法第五十六条第一項の規定により新証券取引法第六十五条の二第一項の登録を取り消されたものとみなす。
The provisions of Article 23 of the Supplementary Provisions apply mutatis mutandis where a deemed registered financial institution performs an act set forth in Article 2, paragraph (8), item (ii) or (iii) of the New Securities and Exchange Act pertaining to securities futures transactions in government bond securities, etc. prescribed in Article 65, paragraph (2), item (i) of the New Securities and Exchange Act, an act set forth in Article 2, paragraph (8), item (ii) or (iii) of the New Securities and Exchange Act pertaining to the transactions set forth in Article 65, paragraph (2), item (vi) of the New Securities and Exchange Act, or the act specified in item (vii) of that paragraph with regard to the transactions set forth in that item.
The provisions of Article 30 of the Supplementary Provisions apply mutatis mutandis where a bank, trust company, or other financial institution specified by Cabinet Order that has received the authorization under Article 65-2, paragraph (1) of the Former Securities and Exchange Act is dissolved or abolishes the business pertaining to that authorization before the effective date.
The technical replacement of terms necessary in the cases referred to in paragraphs (2), (4), (5), (7), and the preceding paragraph is specified by Cabinet Order.
A person who is deemed, pursuant to the provisions of the preceding paragraph, to have received the registration under Article 28 of the New Securities and Exchange Act…
前項の規定により新証券取引法第二十八条の登録を受けたものとみなされる者（以下「みなし登録証券会社」という。）は、施行日から起算して二月以内に新証券取引法第二十八条の二第一項各号に掲げる事項を記載した書類及び同条第二項第二号から第四号までに掲げる書類を金融再生委員会に提出しなければならない。
Open this provisionWhen the documents prescribed in the preceding paragraph are submitted, the Financial Reconstruction Commission is to register in the securities company register the particulars set forth in the…
金融再生委員会は、前項に規定する書類の提出があったときは、当該書類に記載された新証券取引法第二十八条の二第一項各号に掲げる事項及び新証券取引法第二十八条の三第一項第二号に掲げる事項を証券会社登録簿に登録するものとする。
Open this provisionA person who is deemed, pursuant to the provisions of the preceding paragraph, to have received the authorization for the business set forth in Article 29, paragraph (1)…
前項の規定により新証券取引法第二十九条第一項第二号に掲げる業務の認可を受けたものとみなされる者は、施行日から起算して二月以内に新証券取引法第二十九条の三第一項各号に掲げる事項を記載した書類及び同条第二項に規定する書類を金融再生委員会に提出しなければならない。
Open this provisionWhen the documents prescribed in that paragraph are submitted by the person prescribed in the preceding paragraph, the Financial Reconstruction Commission is to annotate…
金融再生委員会は、前項に規定する者から同項に規定する書類の提出があったときは、新証券取引法第二十九条第一項第二号に掲げる業務の認可を受けた旨をその者の証券会社の登録に付記するものとする。
Open this provisionThe provisions of Article 30, paragraphs (1) through (3) of the New Securities and Exchange Act do not apply to a deemed registered securities company until the day on which that deemed registered…
新証券取引法第三十条第一項から第三項までの規定は、みなし登録証券会社については、当該みなし登録証券会社が附則第十二条第二項の規定により同項に規定する書類を提出する日までの間は、適用しない。
Open this provisionA confirmation referred to in the proviso to Article 50-3, paragraph (3) of the Former Securities and Exchange Act that was given before the effective date is deemed to be a confirmation referred to…
施行日前にされた旧証券取引法第五十条の三第三項ただし書の確認は、新証券取引法第四十二条の二第三項ただし書の確認とみなす。
Open this provisionThe provisions of Article 47 of the New Securities and Exchange Act do not apply to a deemed registered securities company until March 31, 1999.
新証券取引法第四十七条の規定は、みなし登録証券会社については、平成十一年三月三十一日までの間は、適用しない。
Open this provisionThe provisions of Article 49, paragraphs (1) and (3) of the New Securities and Exchange Act apply to the business report referred to in paragraph (1) of that Article for a business year ending on or…
新証券取引法第四十九条第一項及び第三項の規定は、施行日以後に終了する営業年度に係る同条第一項の営業報告書について適用し、施行日前に終了した営業年度に係る旧証券取引法第五十三条第一項の営業報告書については、なお従前の例による。
Open this provisionThe provisions of Article 51 of the New Securities and Exchange Act apply, with regard to a deemed registered securities company, to the accumulation of the securities transaction liability reserve…
新証券取引法第五十一条の規定は、みなし登録証券会社については、施行日以後に開始する営業年度に係る同条第一項の証券取引責任準備金の積立てについて適用し、施行日前に開始した営業年度に係る旧証券取引法第五十九条第一項の証券取引責任準備金の積立てについては、なお従前の例による。
Open this provisionThe provisions of Article 55, paragraph (3) of the New Securities and Exchange Act apply to the abolition of securities business, a merger…
新証券取引法第五十五条第三項の規定は、施行日から起算して三十日を経過した日以後の証券業の廃止、合併（合併により消滅する場合の当該合併に限る。）、合併及び破産以外の理由による解散又は営業の全部若しくは一部の譲渡について適用し、同日前の証券業の廃止、合併（合併により消滅する場合の当該合併に限る。）…
Open this provisionAn act that falls under Article 35, paragraph (1), item (ii) of the Former Securities and Exchange Act committed by a deemed registered securities company before the effective date is deemed to be an…
みなし登録証券会社が施行日前にした旧証券取引法第三十五条第一項第二号に該当する行為は、新証券取引法第五十六条第一項第三号又は第五号に該当する行為とみなして、同項の規定を適用する。
Open this provisionA disposition under Article 35, paragraph (1) or Article 54, paragraph (1) of the Former Securities and Exchange Act that was made before the effective date is deemed to be a disposition under…
施行日前にされた旧証券取引法第三十五条第一項又は第五十四条第一項の規定による処分は、新証券取引法第五十六条第一項の規定による処分とみなす。
Open this provisionIf a securities company that has received the license under Article 28 of the Former Securities and Exchange Act is dissolved or abolishes all securities business before the effective date…
旧証券取引法第二十八条の免許を受けた証券会社が施行日前において解散し又はすべての証券業を廃止した場合において、施行日までに、有価証券の売買その他の取引並びに有価証券指数等先物取引（旧証券取引法第二条第十四項に規定する有価証券指数等先物取引をいう。附則第七十七条において同じ。）並びにこれに係る旧証券取引法第二条第八項第…
Open this provisionA sales representative for whom a deemed registered securities company has obtained registration under Article 62, paragraph (1) of the Former Securities and Exchange Act at the time this Act comes…
この法律の施行の際現に旧証券取引法第六十二条第一項の規定によりみなし登録証券会社が登録を受けている外務員は、施行日において新証券取引法第六十四条第一項の規定により登録を受けたものとみなす。この場合において、同条第六項において準用する新証券取引法第六十二条第三項の規定は、適用しない。
Open this provisionA person whose registration as a sales representative has been rescinded, or who has been ordered to suspend their duties, under Article 64-3, paragraph (1) of the Former Securities and Exchange Act…
旧証券取引法第六十四条の三第一項の規定により外務員の登録を取り消され又はその職務の停止を命ぜられた者は、その処分を受けた日において、新証券取引法第六十四条の五第一項の規定により外務員の登録を取り消され又はその職務の停止を命ぜられたものとみなす。
Open this provisionThe provisions of Article 64-5, paragraph (1) of the New Securities and Exchange Act (limited to item (i)) do not apply, until the day on which five years elapse counting from the effective date…
新証券取引法第六十四条の五第一項（第一号に限る。）の規定は、この法律の施行の際現に新証券取引法第二十八条の四第九号イからヘまでのいずれかに該当している附則第三十二条第一項の規定により登録を受けたものとみなされる者（旧証券取引法第三十二条第四号イからニまでのいずれかに該当している者を除く。）が…
Open this provisionThe provisions then in force continue to govern a request for review concerning any of the following acts, before the effective date, of a securities association that does the registration work under…
旧証券取引法第六十四条の五第一項の規定により登録事務を行う証券業協会の施行日前における旧証券取引法第六十二条第三項の規定による登録の申請に係る不作為、旧証券取引法第六十三条第一項の規定による登録の拒否又は旧証券取引法第六十四条の三第一項の規定による処分に係る審査請求については、なお従前の例による。
Open this provisionA bank, trust company, or other financial institution specified by Cabinet Order that, at the time this Act comes into effect, has received the authorization under Article 65-2…
この法律の施行の際現に旧証券取引法第六十五条の二第一項の認可を受けている銀行、信託会社その他政令で定める金融機関は、施行日において新証券取引法第六十五条の二第一項の登録を受けたものとみなす。この場合において、同条第二項において準用する新証券取引法第六十二条第三項の規定は、適用しない。
Open this provisionThe provisions of Article 12, paragraphs (2) and (3) of the Supplementary Provisions apply mutatis mutandis to the registration referred to in the preceding paragraph.
附則第十二条第二項及び第三項の規定は、前項の登録について準用する。
Open this provisionA bank, trust company, or other financial institution specified by Cabinet Order that, at the time this Act comes into effect, has received, pursuant to Article 65-2…
この法律の施行の際現に旧証券取引法第六十五条の二第一項の規定により同条第二項において準用する旧証券取引法第二十八条第二項第三号の認可を受けている銀行、信託会社その他政令で定める金融機関は、施行日において新証券取引法第六十五条の二第三項の規定による有価証券の元引受け業務に係る認可を受けたものとみなす。
Open this provisionThe provisions of Article 14, paragraphs (2) and (3) of the Supplementary Provisions apply mutatis mutandis to the authorization referred to in the preceding paragraph.
附則第十四条第二項及び第三項の規定は、前項の認可について準用する。
Open this provisionThe provisions of Articles 15, 18, 20, 21, 26, and 27, Article 29, paragraph (1), and Articles 32 through the preceding Article of the Supplementary Provisions apply mutatis mutandis to a bank…
附則第十五条、第十八条、第二十条、第二十一条、第二十六条、第二十七条、第二十九条第一項及び第三十二条から前条までの規定は、第一項の規定により新証券取引法第六十五条の二第一項の登録を受けたものとみなされる銀行、信託会社その他政令で定める金融機関（第七項において「みなし登録金融機関」という。）について準用する。
Open this provisionThe provisions of Article 23 of the Supplementary Provisions apply mutatis mutandis where a deemed registered financial institution performs an act set forth in Article 2, paragraph (8)…
附則第二十三条の規定は、みなし登録金融機関が、新証券取引法第六十五条第二項第一号に規定する国債証券等の有価証券先物取引に係る新証券取引法第二条第八項第二号若しくは第三号に掲げる行為…
Open this provisionThe provisions of Article 30 of the Supplementary Provisions apply mutatis mutandis where a bank, trust company, or other financial institution specified by Cabinet Order that has received the…
附則第三十条の規定は、旧証券取引法第六十五条の二第一項の認可を受けた銀行、信託会社その他政令で定める金融機関が施行日前に解散し又は当該認可に係る業務を廃止した場合について準用する。
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
New Securities and Exchange Actmachine translation
「新証券取引法」
This Act as amended by Article 1 of Act No. 107 of 1998.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
the effective datemachine translation
「施行日」
The date Act No. 107 of 1998, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
Former Securities and Exchange Actmachine translation
「旧証券取引法」
This Act as it stood before Article 1 of Act No. 107 of 1998 amended it.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
deemed registered financial institutionmachine translation
「みなし登録金融機関」
In Article 36, paragraphs (5) and (7) of the supplementary provisions (附則) of Act No. 107 of 1998, a bank, trust company or other financial institution a Cabinet Order (政令) specifies that held an authorization under Article 65-2, paragraph (1) of this Act as it stood before Act No. 107 of 1998 amended it when that Act came into effect, and that paragraph (1) of that Article therefore treats as registered under Article 65-2, paragraph (1) of this Act as Act No. 107 of 1998 amended it, under its former title (証券取引法).
Short name set inSupplementary Provisions, Article 36, paragraph (5)· applies only in this provision and in Supplementary Provisions, Article 36, paragraph (7)