Supplementary Provisions (Act No. 96 of 2000) (Articles 1 to 5-2) — Financial Instruments and Exchange Act

6 articles

Supplementary Provisions

附　則

Supplementary Provisions, Article 1Effective Date

第一条（施行期日）

This Act comes into effect as of December 1, 2000 (hereinafter referred to as "the effective date"); provided, however, that the provisions set forth in the following items come into effect as of the date specified in each of those items.

この法律は、平成十二年十二月一日（以下「施行日」という。）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 provisions of Article 1 amending the table of contents of the Securities and Exchange Act (limited to the part replacing "Chapter II-3 Disclosure of the Status of Large-Volume Holdings in Share Certificates (Articles 27-23 to 27-30)" with "Chapter II-3 Disclosure of the Status of Large-Volume Holdings in Share Certificates (Articles 27-23 to 27-30) / Chapter II-4 Special Provisions on Procedures Taken Using an Electronic Data Processing System for Disclosure (Articles 27-30-2 to 27-30-11) /"), the provisions amending Article 27-2, paragraph (1), Article 27-10, paragraph (1) and Article 27-23, paragraph (1) of that Act, the provisions adding one chapter following Chapter II-3 of that Act (limited to the parts pertaining to Article 27-30-9 and Article 27-30-11), and Article 46 of the Supplementary Provisions: the effective date of the Act on the Arrangement of Related Acts for the Use of Information and Communications Technology in the Delivery of Documents, etc. (Act No. 126 of 2000)

第一条中証券取引法目次の改正規定（「第二章の三　株券等の大量保有の状況に関する開示（第二十七条の二十三―第二十七条の三十）」を「／第二章の三　株券等の大量保有の状況に関する開示（第二十七条の二十三―第二十七条の三十）／第二章の四　開示用電子情報処理組織による手続の特例等（第二十七条の三十の二―第二十七条の三十の十一）／」に改める部分に限る。）、第二十七条の二第一項、第二十七条の十第一項及び第二十七条の二十三第一項の改正規定、同法第二章の三の次に一章を加える改正規定（第二十七条の三十の九及び第二十七条の三十の十一に係る部分に限る。）並びに附則第四十六条　書面の交付等に関する情報通信の技術の利用のための関係法律の整備に関する法律（平成十二年法律第百二十六号）の施行の日

the provisions of Article 1 adding one chapter following Chapter II-3 of the Securities and Exchange Act (excluding the parts pertaining to Article 27-30-3, paragraph (1), Article 27-30-4, paragraph (1), Article 27-30-5, Article 27-30-9 and Article 27-30-11), and Articles 6 and 7 of the Supplementary Provisions: June 1, 2001

第一条中証券取引法第二章の三の次に一章を加える改正規定（第二十七条の三十の三第一項、第二十七条の三十の四第一項、第二十七条の三十の五、第二十七条の三十の九及び第二十七条の三十の十一に係る部分を除く。）並びに附則第六条及び第七条　平成十三年六月一日

Article 8 of the Supplementary Provisions: the date specified by Cabinet Order within a period from June 1, 2001 to June 1, 2002

附則第八条　平成十三年六月一日から平成十四年六月一日までの範囲内において政令で定める日

the provisions of Article 1 adding one chapter following Chapter II-3 of the Securities and Exchange Act (limited to the parts pertaining to Article 27-30-3, paragraph (1), Article 27-30-4, paragraph (1) and Article 27-30-5): June 1, 2004

第一条中証券取引法第二章の三の次に一章を加える改正規定（第二十七条の三十の三第一項、第二十七条の三十の四第一項及び第二十七条の三十の五に係る部分に限る。）　平成十六年六月一日

Supplementary Provisions, Article 2Transitional Measures

第二条（経過措置）

A person who, at the time this Act comes into effect, actually holds a license under Article 81, paragraph (2) of the Securities and Exchange Act prior to amendment by the provisions of Article 1 (referred to as the "Former Securities and Exchange Act" in Article 4 of the Supplementary Provisions) is deemed, on the effective date, to be a securities membership corporation prescribed in Article 2, paragraph (13) of the Securities and Exchange Act as amended by the provisions of Article 1 (hereinafter referred to as the "New Securities and Exchange Act") that has received a license under Article 80, paragraph (1) of the New Securities and Exchange Act. In this case, the provisions of Article 151 of the New Securities and Exchange Act do not apply.

この法律の施行の際現に第一条の規定による改正前の証券取引法（附則第四条において「旧証券取引法」という。）第八十一条第二項の免許を受けている者は、施行日において第一条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。）第二条第十三項に規定する証券会員制法人であって、新証券取引法第八十条第一項の免許を受けた者とみなす。この場合において、新証券取引法第百五十一条の規定は、適用しない。

Supplementary Provisions, Article 3

第三条

With regard to a person who is deemed, pursuant to the provisions of the preceding Article, to be a securities membership corporation prescribed in Article 2, paragraph (13) of the New Securities and Exchange Act that has received a license under Article 80, paragraph (1) of the New Securities and Exchange Act, the provisions of Article 87-7, paragraph (2) of the New Securities and Exchange Act do not apply until August 1, 2001.

前条の規定により新証券取引法第二条第十三項に規定する証券会員制法人であって、新証券取引法第八十条第一項の免許を受けたものとみなされる者については、新証券取引法第八十七条の七第二項の規定は、平成十三年八月一日までの間は、適用しない。

With regard to a person who, at the time this Act comes into effect, is actually using the words "securities membership corporation" in its name, the provisions of Article 87-7, paragraph (3) of the New Securities and Exchange Act do not apply until June 1, 2001.

この法律の施行の際現にその名称のうちに証券会員制法人という文字を用いている者については、新証券取引法第八十七条の七第三項の規定は、平成十三年六月一日までの間は、適用しない。

Supplementary Provisions, Article 4

第四条

Particulars registered in the securities exchange register, pursuant to the provisions of Articles 138 through 144 of the Former Securities and Exchange Act, with regard to a securities exchange (meaning a securities exchange prescribed in Article 2, paragraph (11) of the Former Securities and Exchange Act) before the New Securities and Exchange Act comes into effect are deemed to have been registered in the securities membership corporation register on the effective date pursuant to the provisions of Articles 89-3 through 89-7, Article 100-3, Article 100-4 or Article 143 of the New Securities and Exchange Act.

新証券取引法の施行前に証券取引所（旧証券取引法第二条第十一項に規定する証券取引所をいう。）について旧証券取引法第百三十八条から第百四十四条までの規定により証券取引所登記簿に登記された事項は、施行日において新証券取引法第八十九条の三から第八十九条の七まで、第百条の三、第百条の四又は第百四十三条の規定により証券会員制法人登記簿に登記されたものとみなす。

Member guarantee funds that, at the time this Act comes into effect, are actually deposited pursuant to the provisions of Article 97, paragraph (1) of the Former Securities and Exchange Act are deemed to be guarantee funds under the provisions of Article 107-4 of the New Securities and Exchange Act.

この法律の施行の際現に旧証券取引法第九十七条第一項の規定により預託されている会員信認金は、新証券取引法第百七条の四の規定による信認金とみなす。

Supplementary Provisions, Article 5

第五条

The provisions of the New Securities and Exchange Act apply to the procedures set forth in the following items that are conducted on or after the date specified in each of those items, and for those conducted before the date specified in each of those items, the provisions then in force continue to govern.

新証券取引法の規定は、次の各号に掲げる手続であって当該各号に定める日以後に行われるものについて適用し、当該各号に定める日前に行われるものについては、なお従前の例による。

among the electronic disclosure procedures prescribed in Article 27-30-2 of the New Securities and Exchange Act (hereinafter referred to as "electronic disclosure procedures"), the procedures under the provisions of Article 7 of the New Securities and Exchange Act (limited to where applied mutatis mutandis pursuant to Article 24-2, paragraph (1) and Article 24-5, paragraph (5) (including where these provisions are applied mutatis mutandis pursuant to Article 27)), Article 9, paragraph (1) (excluding the latter part of that paragraph, and limited to where applied mutatis mutandis pursuant to Article 24-2, paragraph (1) and Article 24-5, paragraph (5) (including where these provisions are applied mutatis mutandis pursuant to Article 27)), Article 10, paragraph (1) (excluding the latter part of that paragraph, and limited to where applied mutatis mutandis pursuant to Article 24-2, paragraph (1) and Article 24-5, paragraph (5) (including where these provisions are applied mutatis mutandis pursuant to Article 27)), Article 23-3, paragraph (4) (including where applied mutatis mutandis pursuant to Article 27), Article 24, paragraphs (1) and (3) (including where these provisions are applied mutatis mutandis pursuant to paragraph (5) of that Article (including where applied mutatis mutandis pursuant to Article 27) and Article 27), Article 24-5, paragraph (1) (including where applied mutatis mutandis pursuant to paragraph (3) of that Article (including where applied mutatis mutandis pursuant to Article 27)) and paragraph (4) (including where these provisions are applied mutatis mutandis pursuant to Article 27), and Article 25, paragraph (4) (limited to those pertaining to the documents set forth in paragraph (1), items (iv) through (vi) of that Article, and including where applied mutatis mutandis pursuant to Article 27): June 1, 2001

新証券取引法第二十七条の三十の二に規定する電子開示手続（以下「電子開示手続」という。）のうち新証券取引法第七条（第二十四条の二第一項及び第二十四条の五第五項（これらの規定を第二十七条において準用する場合を含む。）において準用する場合に限る。）、第九条第一項（同項後段を除き、第二十四条の二第一項及び第二十四条の五第五項（これらの規定を第二十七条において準用する場合を含む。）において準用する場合に限る。）、第十条第一項（同項後段を除き、第二十四条の二第一項及び第二十四条の五第五項（これらの規定を第二十七条において準用する場合を含む。）において準用する場合に限る。）、第二十三条の三第四項（第二十七条において準用する場合を含む。）、第二十四条第一項及び第三項（これらの規定を同条第五項（第二十七条において準用する場合を含む。）及び第二十七条において準用する場合を含む。）、第二十四条の五第一項（同条第三項（第二十七条において準用する場合を含む。）において準用する場合を含む。）及び第四項（これらの規定を第二十七条において準用する場合を含む。）並びに第二十五条第四項（同条第一項第四号から第六号までに掲げる書類に係るものに限るものとし、第二十七条において準用する場合を含む。）の規定による手続　平成十三年六月一日

electronic disclosure procedures other than the procedures set forth in the preceding item: the date specified in Article 1, item (iii) of the Supplementary Provisions

前号に掲げる手続以外の電子開示手続　附則第一条第三号に定める日

among the voluntary electronic disclosure procedures prescribed in Article 27-30-2 of the New Securities and Exchange Act (referred to as "voluntary electronic disclosure procedures" in the following item), the procedures under the provisions of Article 4, paragraph (5) of the New Securities and Exchange Act (including where applied mutatis mutandis pursuant to Article 23-8, paragraph (4) (including where applied mutatis mutandis pursuant to Article 27)) and Article 27-5, item (ii): the date specified in Article 1, item (iii) of the Supplementary Provisions

新証券取引法第二十七条の三十の二に規定する任意電子開示手続（次号において「任意電子開示手続」という。）のうち新証券取引法第四条第五項（第二十三条の八第四項（第二十七条において準用する場合を含む。）において準用する場合を含む。）及び第二十七条の五第二号の規定による手続　附則第一条第三号に定める日

voluntary electronic disclosure procedures other than the procedures set forth in the preceding item: the date specified by Cabinet Order within a period from June 1, 2002 to June 1, 2003

前号に掲げる手続以外の任意電子開示手続　平成十四年六月一日から平成十五年六月一日までの範囲内において政令で定める日

Supplementary Provisions, Article 5-2

第五条の二

From June 1, 2001 through May 31, 2004, the phrase "electronic disclosure procedures or voluntary electronic disclosure procedures that are carried out pursuant to the provisions of the preceding two paragraphs" in Article 27-30-3, paragraph (2) is deemed to be replaced with "voluntary electronic disclosure procedures that are carried out pursuant to the provisions of the preceding paragraph"; the phrase "electronic disclosure procedures or voluntary electronic disclosure procedures that are carried out pursuant to the provisions of paragraph (1) or (2)" in paragraph (3) of that Article is deemed to be replaced with "voluntary electronic disclosure procedures that are carried out pursuant to the provisions of paragraph (1)"; the phrase "electronic disclosure procedures or voluntary electronic disclosure procedures pursuant to the provisions of the preceding two paragraphs" in Article 27-30-4, paragraph (2) is deemed to be replaced with "voluntary electronic disclosure procedures pursuant to the provisions of the preceding paragraph"; and the phrase "The provisions of paragraph (4) of the preceding Article apply mutatis mutandis to electronic disclosure procedures or voluntary electronic disclosure procedures that are carried out pursuant to the provisions of the preceding three paragraphs" in paragraph (3) of that Article is deemed to be replaced with "The provisions of paragraph (3) of the preceding Article apply mutatis mutandis to voluntary electronic disclosure procedures that are carried out pursuant to the provisions of the preceding two paragraphs".

平成十三年六月一日から平成十六年五月三十一日までの間は、第二十七条の三十の三第二項中「前二項の規定により行われた電子開示手続又は」とあるのは「前項の規定により行われた」と、同条第三項中「第一項又は第二項の規定により行われた電子開示手続又は」とあるのは「第一項の規定により行われた」と、第二十七条の三十の四第二項中「前二項の規定により電子開示手続又は」とあるのは「前項の規定により」と、同条第三項中「前条第四項の規定は、前三項の規定により行われた電子開示手続又は」とあるのは「前条第三項の規定は、前二項の規定により行われた」と読み替えるものとする。

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