Supplementary Provisions, Article 14Transitional Measures Accompanying the Partial Amendment of the Securities and Exchange Act by the Provisions of Article 3
第十四条(第三条の規定による証券取引法の一部改正に伴う経過措置)
The provisions of Article 4, Article 13, paragraph (1), Article 15, paragraph (1), and Article 23-13, paragraphs (1) and (3) of the Financial Instruments and Exchange Act as amended by the provisions of Article 3 (hereinafter referred to as the "New Financial Instruments and Exchange Act") apply to solicitation with a view to issuing new securities (meaning solicitation with a view to issuing new securities prescribed in Article 4, paragraph (1), item (iv) of the New Financial Instruments and Exchange Act) or solicitation with a view to delivering existing securities (meaning solicitation with a view to delivering existing securities prescribed in Article 4, paragraph (2) of the New Financial Instruments and Exchange Act) that commences on or after the effective date, and with regard to the solicitation of an offer to acquire securities set forth in the items of Article 2, paragraph (1) of the Securities and Exchange Act before its amendment by the provisions of Article 3 (hereinafter referred to as the "Former Securities and Exchange Act"), or rights set forth in the items of paragraph (2) of that Article that are deemed to be securities pursuant to the provisions of that paragraph (hereinafter referred to as "former securities"), or an offer to sell or the solicitation of an offer to purchase former securities, that commenced before the effective date, the provisions then in force continue to govern.
第三条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。)第四条、第十三条第一項、第十五条第一項並びに第二十三条の十三第一項及び第三項の規定は、施行日以後に開始する有価証券発行勧誘等(新金融商品取引法第四条第一項第四号に規定する有価証券発行勧誘等をいう。)又は有価証券交付勧誘等(新金融商品取引法第四条第二項に規定する有価証券交付勧誘等をいう。)について適用し、施行日前に開始した第三条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。)第二条第一項各号に掲げる有価証券又は同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(以下「旧有価証券」という。)の取得の申込みの勧誘又は旧有価証券の売付けの申込み若しくはその買付けの申込みの勧誘については、なお従前の例による。
(Preparation of the Prospectus and Prohibition against the Use of a Prospectus Containing a False Statement)
The issuer of securities whose public offering or secondary distribution (including General Solicitation Involving Securities Acquired by a qualified institutional investor (excluding anything…
その募集又は売出し(適格機関投資家取得有価証券一般勧誘(有価証券の売出しに該当するものを除く。)及び特定投資家等取得有価証券一般勧誘(有価証券の売出しに該当するものを除く。)を含む。以下この条並びに第十五条第二項から第四項まで及び第六項において同じ。)につき第四条第一項本文…
Open this provision(Prohibition of Transactions in Securities Prior to a Notification Coming into Effect, and Delivery of Prospectus)
It is prohibited for an issuer, person that conducts a secondary distribution of securities, underwriter (including a person that, with regard to a general solicitation involving securities acquired…
発行者、有価証券の売出しをする者、引受人(適格機関投資家取得有価証券一般勧誘(開示が行われている場合における有価証券に係るものを除く。)又は特定投資家等取得有価証券一般勧誘(開示が行われている場合における有価証券に係るものを除く。)に際し、第二条第六項各号のいずれかを行う者を含む。以下この章において同じ。)…
Open this provision(Notification of Exclusive Solicitation to Qualified Institutional Investors)
A person that issues a solicitation with a view to issuing new securities or a solicitation with a view to delivering existing securities which falls under a case set forth in the following items…
有価証券発行勧誘等又は有価証券交付勧誘等のうち、次の各号に掲げる場合に該当するもの(第二号に掲げる場合にあつては第二条第三項第一号の規定により多数の者から除かれる適格機関投資家を相手方とするものに限り、第四号に掲げる場合にあつては同条第四項第一号の規定により多数の者から除かれる適格機関投資家を相手方とするものに限る。…
Open this provision(Notification of Exclusive Solicitation to Qualified Institutional Investors)
A person performing an act set forth in the following items must notify the person solicited of the particulars provided for in the relevant item, pursuant to the provisions of Cabinet Office Order…
次の各号に掲げる行為を行う者は、その相手方に対して、内閣府令で定めるところにより、当該各号に定める事項を告知しなければならない。ただし、当該行為に係る有価証券に関して開示が行われている場合は、この限りでない。
Open this provision(Notification of Public Offering or Secondary Distribution)
It is not permitted for a person to conduct a public offering of securities (including specified procedures related to the issuance of securities during a corporate reorganization; the same applies…
有価証券の募集(特定組織再編成発行手続を含む。第十三条及び第十五条第二項から第六項までを除き、以下この章及び次章において同じ。)又は有価証券の売出し(次項に規定する適格機関投資家取得有価証券一般勧誘及び第三項に規定する特定投資家等取得有価証券一般勧誘に該当するものを除き、特定組織再編成交付手続を含む。以下この項におい…
Open this provision(Notification of Public Offering or Secondary Distribution)
a secondary distribution of securities that have already been issued in a foreign country or of securities specified by Cabinet Order as being equivalent thereto…
外国で既に発行された有価証券又はこれに準ずるものとして政令で定める有価証券の売出し(金融商品取引業者等が行うものに限る。)のうち、国内における当該有価証券に係る売買価格に関する情報を容易に取得することができることその他の政令で定める要件を満たすもの(前三号に掲げるものを除く。)
Open this provision(Notification of Public Offering or Secondary Distribution)
It is not permitted for a person to issue a solicitation with a view to delivering existing securities (meaning a solicitation for selling, etc. or procedures related to the delivery of securities…
その有価証券発行勧誘等(取得勧誘及び組織再編成発行手続をいう。以下同じ。)又は有価証券交付勧誘等(売付け勧誘等及び組織再編成交付手続をいう。以下同じ。)が次に掲げる場合に該当するものであつた有価証券(第二号に掲げる場合にあつては第二条第三項第一号の規定により多数の者から除かれた適格機関投資家が取得した有価証券に限り、…
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
solicitation with a view to delivering existing securitiesmachine translation
「有価証券交付勧誘等」
An offer to sell securities already issued or a solicitation of offers to buy them (売付け勧誘等), or the procedures for delivering existing securities in a corporate reorganization (組織再編成交付手続).
Defined inArticle 4, paragraph (2)
solicitation with a view to issuing new securitiesmachine translation
「有価証券発行勧誘等」
A solicitation of applications to acquire newly issued securities (取得勧誘), or the procedures for issuing securities in a corporate reorganization (組織再編成発行手続).
Defined inArticle 4, paragraph (2)
the effective datemachine translation
「施行日」
The date Act No. 65 of 2006, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 1, paragraph (1)
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Article 3 of Act No. 65 of 2006.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
former securitiesmachine translation
「旧有価証券」
In the supplementary provisions (附則) of Act No. 65 of 2006, the securities listed in Article 2, paragraph (1) of this Act as it stood before Article 3 of that Act amended it, and the rights listed in paragraph (2) of that Article that it deemed securities.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
Former Securities and Exchange Actmachine translation
「旧証券取引法」
This Act as it stood before Article 3 of Act No. 65 of 2006 amended it.
Short name set inSupplementary Provisions, Article 14, paragraph (1)