Supplementary Provisions, Article 17
第十七条
A person who, at the time this Act comes into effect, is actually engaged in financial instruments business (meaning financial instruments business prescribed in Article 2, paragraph (8) of the New Financial Instruments and Exchange Act; the same applies hereinafter) with respect to new securities (meaning securities set forth in the items of Article 2, paragraph (1) of the New Financial Instruments 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 (excluding former securities); the same applies hereinafter) (excluding a person deemed to have received registration under Article 29 of the New Financial Instruments and Exchange Act pursuant to the provisions of paragraph (1) of the following Article, Article 147, paragraph (1), Article 159, paragraph (1), and Article 200, paragraph (1) of the Supplementary Provisions, and Article 2, paragraph (1), Article 37, paragraph (1), Article 60, paragraph (1), and Article 151, paragraph (1) of the Act on the Arrangement of Relevant Acts Incident to the Enforcement of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 66 of 2006; hereinafter referred to as the "Arrangement Act"), a former mortgage securities dealer prescribed in Article 57, paragraph (1) of the Arrangement Act, and a bank, a cooperative financial institution (meaning a cooperative financial institution prescribed in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institution (Act No. 44 of 1993); the same applies hereinafter), or any other financial institution specified by Cabinet Order) may, for six months from the effective date (or, if a disposition of refusal of registration under Article 29-4, paragraph (1) of the New Financial Instruments and Exchange Act is made within that period, until the day on which that disposition is made), notwithstanding the provisions of Article 29 of the New Financial Instruments and Exchange Act, continue to engage in financial instruments business. The same applies until the day on which, in the case where that person has filed an application for registration under Article 29 of the New Financial Instruments and Exchange Act within that period, the person receives a notice that registration will be granted for that application, or receives a notice, after the lapse of that period, that registration will not be granted for that application.
この法律の施行の際現に新有価証券(新金融商品取引法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(旧有価証券を除く。)をいう。以下同じ。)につき金融商品取引業(新金融商品取引法第二条第八項に規定する金融商品取引業をいう。以下同じ。)を行っている者(次条第一項並びに附則第百四十七条第一項、第百五十九条第一項及び第二百条第一項の規定並びに証券取引法等の一部を改正する法律の施行に伴う関係法律の整備等に関する法律(平成十八年法律第六十六号。以下「整備法」という。)第二条第一項、第三十七条第一項、第六十条第一項及び第百五十一条第一項の規定により新金融商品取引法第二十九条の登録を受けたものとみなされる者、整備法第五十七条第一項に規定する旧抵当証券業者並びに銀行、協同組織金融機関(協同組織金融機関の優先出資に関する法律(平成五年法律第四十四号)第二条第一項に規定する協同組織金融機関をいう。以下同じ。)その他政令で定める金融機関を除く。)については、施行日から起算して六月間(当該期間内に新金融商品取引法第二十九条の四第一項の規定による登録の拒否の処分があったときは、当該処分があった日までの間)は、新金融商品取引法第二十九条の規定にかかわらず、引き続き金融商品取引業を行うことができる。その者が当該期間内に同条の登録の申請をした場合において当該申請について登録をする旨の通知を受ける日又は当該申請について当該期間の経過後登録をしない旨の通知を受ける日までの間も、同様とする。
A bank, cooperative financial institution, or other financial institution specified by Cabinet Order that, at the time this Act comes into effect, is actually engaged in registered financial institution business (meaning registered financial institution business prescribed in Article 33-5, paragraph (1), item (iii) of the New Financial Instruments and Exchange Act; the same applies hereinafter) with respect to new securities (excluding a person deemed to have received registration under Article 33-2 of the New Financial Instruments and Exchange Act pursuant to the provisions of Article 54, paragraph (1), Article 148, paragraph (1), and Article 201, paragraph (1) of the Supplementary Provisions and Article 61, paragraph (1) of the Arrangement Act) may, for six months from the effective date (or, if a disposition of refusal of registration under Article 33-5, paragraph (1) of the New Financial Instruments and Exchange Act is made within that period, until the day on which that disposition is made), notwithstanding the provisions of Article 33-2 of the New Financial Instruments and Exchange Act, continue to engage in registered financial institution business. The same applies until the day on which, in the case where that person has filed an application for registration under Article 33-2 of the New Financial Instruments and Exchange Act within that period, the person receives a notice that registration will be granted for that application, or receives a notice, after the lapse of that period, that registration will not be granted for that application.
この法律の施行の際現に新有価証券につき登録金融機関業務(新金融商品取引法第三十三条の五第一項第三号に規定する登録金融機関業務をいう。以下同じ。)を行っている銀行、協同組織金融機関その他政令で定める金融機関(附則第五十四条第一項、第百四十八条第一項及び第二百一条第一項並びに整備法第六十一条第一項の規定により新金融商品取引法第三十三条の二の登録を受けたものとみなされる者を除く。)については、施行日から起算して六月間(当該期間内に新金融商品取引法第三十三条の五第一項の規定による登録の拒否の処分があったときは、当該処分があった日までの間)は、新金融商品取引法第三十三条の二の規定にかかわらず、引き続き登録金融機関業務を行うことができる。その者が当該期間内に同条の登録の申請をした場合において当該申請について登録をする旨の通知を受ける日又は当該申請について当該期間の経過後登録をしない旨の通知を受ける日までの間も、同様とする。
(Definitions)
The term "securities" as used in this Act means the following:
この法律において「有価証券」とは、次に掲げるものをいう。
Open this provision(Definitions)
The rights that must be indicated on securities set forth in items (i) through (xv) of the preceding paragraph, on securities set forth in item (xvii) of that paragraph…
前項第一号から第十五号までに掲げる有価証券、同項第十七号に掲げる有価証券(同項第十六号に掲げる有価証券の性質を有するものを除く。)及び同項第十八号に掲げる有価証券に表示されるべき権利(同項第十四号に掲げる有価証券及び同項第十七号に掲げる有価証券(同項第十四号に掲げる有価証券の性質を有するものに限る。)に表示されるべき…
Open this provision(Definitions)
The term "financial instruments business" as used in this Act means performance of any of the following acts (excluding those that are specified by Cabinet Order as acts which, in consideration of…
この法律において「金融商品取引業」とは、次に掲げる行為(その内容等を勘案し、投資者の保護のため支障を生ずることがないと認められるものとして政令で定めるもの及び銀行、優先出資法第二条第一項に規定する協同組織金融機関(以下「協同組織金融機関」という。)その他政令で定める金融機関が行う第十二号、第十四号、第十五号又は第二十…
Open this provision(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Refusal of Registration)
The Prime Minister must refuse to effect a registration if the applicant for registration falls under any of the following items, or if the written application for registration or a document or…
内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
Open this provision(Registration of Financial Institutions)
A financial institution must be registered by the Prime Minister if it seeks to perform any of the following acts on a regular basis, or if it seeks to provide investment advisory and agency business…
金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
Open this provision(Refusal to Register a Financial Institution)
The Prime Minister must refuse to effect a registration if the applicant for registration falls under any of the following items, or if the written application for registration or a document or…
内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。
Open this provision(Refusal to Register a Financial Institution)
a person falling under any of the following:
次のいずれかに該当する者
Open this provisionTransitional Measures for Former Trust Contract Agents
A person (excluding a bank, cooperative financial institution or any other financial institution specified by Cabinet Order) that, at the time of the enforcement of this Act…
この法律の施行の際現に第二十条の規定による改正前の信託業法(以下「旧信託業法」という。)第六十七条第一項の登録を受けている者(銀行、協同組織金融機関その他政令で定める金融機関を除く。)は…
Open this provisionA person (limited to a bank, cooperative financial institution or any other financial institution specified by Cabinet Order, and excluding a deemed registered financial institution) that…
この法律の施行の際現に旧信託業法第六十七条第一項の登録を受けている者(銀行、協同組織金融機関その他政令で定める金融機関に限り、みなし登録金融機関を除く。)は、施行日において新金融商品取引法第三十三条の二の登録を受けたものとみなす。
Open this provisionA person who, at the time this Act comes into effect, has received registration under Article 28 of the Former Securities and Exchange Act is deemed to have received registration under Article 29 of…
この法律の施行の際現に旧証券取引法第二十八条の登録を受けている者は、施行日において新金融商品取引法第二十九条の登録(当該登録を受けたものとみなされる金融商品取引業者(新金融商品取引法第二条第九項に規定する金融商品取引業者をいう。以下同じ。)が新金融商品取引法第二十八条第一項第一号、第二号及び第三号ハに掲げる行為に係る…
Open this provisionA bank, cooperative financial institution or any other financial institution specified by Cabinet Order that, at the time of the enforcement of this Act…
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登録を受けている銀行、協同組織金融機関その他政令で定める金融機関は、施行日において新金融商品取引法第三十三条の二の登録を受けたものとみなす。この場合において、新金融商品取引法第五十七条第三項及び第百九十四条の四第一項の規定は、適用しない。
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
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)
cooperative financial institution
「協同組織金融機関」
A cooperative financial institution as defined in Article 2, paragraph (1) of the Act on Preferred Equity Investment by Cooperative Structured Financial Institution: the Norinchukin Bank (農林中央金庫), credit cooperatives (信用協同組合), shinkin banks (信用金庫) and labour banks (労働金庫), and agricultural, fishery and fishery processing cooperatives that carry on credit business, together with their federations.
Defined inSupplementary Provisions, Article 17, paragraph (1)
Arrangement Actmachine translation
「整備法」
Short name, in the supplementary provisions (附則) of Act No. 65 of 2006, for Act No. 66 of 2006, the Act that arranged related Acts for the coming into effect of Act No. 65 of 2006, which partially amended this Act and other Acts.
Short name set inSupplementary Provisions, Article 17, paragraph (1)
new securitiesmachine translation
「新有価証券」
In the supplementary provisions (附則) of Act No. 65 of 2006, the securities listed in Article 2, paragraph (1) of this Act as amended by Article 3 of that Act, and the rights listed in paragraph (2) of that Article that it deems securities, other than former securities (旧有価証券) — those listed in the same paragraphs before that amendment.
Defined inSupplementary Provisions, Article 17, paragraph (1)
financial instruments business
「金融商品取引業」
In the supplementary provisions (附則) of Act No. 65 of 2006, from Article 17 on, financial instruments business as defined in Article 2, paragraph (8) of this Act as amended by that Act.
Defined inSupplementary Provisions, Article 17, paragraph (1)
registered financial institution businessmachine translation
「登録金融機関業務」
In the supplementary provisions (附則) of Act No. 65 of 2006, registered financial institution business as defined in Article 33-5, paragraph (1), item (iii) of the Financial Instruments and Exchange Act as amended by that Act.
Defined inSupplementary Provisions, Article 17, paragraph (2)