Supplementary Provisions, Article 75
第七十五条
An act that falls under Article 66-18, paragraph (1), item (iii) of the Former Securities and Exchange Act and that was committed before the effective date by a person who is deemed to have received registration under Article 70 of the Supplementary Provisions (hereinafter referred to as a "deemed registered intermediary service provider") is deemed to be an act that falls under Article 66-20, paragraph (1), item (iii) of the New Financial Instruments and Exchange Act, and the provisions of that paragraph apply.
附則第七十条において登録を受けたものとみなされる者（以下「みなし登録仲介業者」という。）が施行日前にした旧証券取引法第六十六条の十八第一項第三号に該当する行為は、新金融商品取引法第六十六条の二十第一項第三号に該当する行為とみなして、同項の規定を適用する。
The provisions of Article 66-20, paragraph (2) of the New Financial Instruments and Exchange Act do not apply, until the day on which five years have passed counting from the effective date, in the case where a person who is an officer of a deemed registered intermediary service provider and who, at the time of the enforcement of this Act, falls under any of Article 29-4, paragraph (1), item (ii), (a) through (g) of the New Financial Instruments and Exchange Act (excluding a person who falls under any of Article 28-4, paragraph (1), item (ix), (a) through (g) of the Former Securities and Exchange Act) continues to fall under any of Article 29-4, paragraph (1), item (ii), (a) through (g) of the New Financial Instruments and Exchange Act.
新金融商品取引法第六十六条の二十第二項の規定は、この法律の施行の際現に新金融商品取引法第二十九条の四第一項第二号イからトまでのいずれかに該当しているみなし登録仲介業者の役員である者（旧証券取引法第二十八条の四第一項第九号イからトまでのいずれかに該当している者を除く。）が、引き続き新金融商品取引法第二十九条の四第一項第二号イからトまでのいずれかに該当している場合については、施行日から起算して五年を経過する日までの間は、適用しない。
A disposition made before the effective date pursuant to the provisions of Article 66-18, paragraph (1) or (2) of the Former Securities and Exchange Act is deemed to be a disposition made pursuant to the provisions of Article 66-20, paragraph (1) or (2) of the New Financial Instruments and Exchange Act.
施行日前にされた旧証券取引法第六十六条の十八第一項又は第二項の規定による処分は、新金融商品取引法第六十六条の二十第一項又は第二項の規定による処分とみなす。
(Refusal of Registration)
if the person is a corporation, a person that has an officer, or an employee specified by Cabinet Order, who falls under any of the following:
法人である場合においては、役員又は政令で定める使用人のうちに次のいずれかに該当する者のある者
Open this provision(Supervisory Dispositions)
If a financial instruments intermediary service provider falls under any of the following items, the Prime Minister may rescind its Article 66 registration…
内閣総理大臣は、金融商品仲介業者が次の各号のいずれかに該当する場合においては、当該金融商品仲介業者の第六十六条の登録を取り消し、六月以内の期間を定めて業務の全部又は一部の停止を命じ、業務の方法の変更を命じ、その他監督上必要な事項を命ずることができる。
Open this provision(Supervisory Dispositions)
the financial instruments intermediary service provider violates a law or regulation or a disposition made by a government agency which is based on a law or regulation…
金融商品仲介業に関し法令又は法令に基づいてする行政官庁の処分に違反したとき。
Open this provision(Supervisory Dispositions)
If the officer of a financial instruments intermediary service provider comes to fall under any of the categories in Article 29-4, paragraph (1), item (ii), (a) through (i)…
内閣総理大臣は、金融商品仲介業者の役員が、第二十九条の四第一項第二号イからリまでのいずれかに該当することとなつたとき、又は前項第三号に該当する行為をしたときは、当該金融商品仲介業者に対して、当該役員の解任を命ずることができる。
Open this provisionA person that, at the time of the enforcement of this Act, has received the registration under Article 66-2 of the Former Securities and Exchange Act is deemed to have received the registration under…
この法律の施行の際現に旧証券取引法第六十六条の二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六十六条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六十六条の二十三において準用する新金融商品取引法第五十七条第三項の規定は、適用しない。
Open this provisionofficer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
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 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)
deemed registered intermediary service providermachine translation
「みなし登録仲介業者」
In the supplementary provisions (附則) of Act No. 65 of 2006, a person that was registered under Article 66-2 of this Act as it stood before Act No. 65 of 2006 amended it, under its former title (証券取引法) when that Act came into effect, and that Article 70 of those supplementary provisions therefore treats as registered under Article 66 of this Act as Act No. 65 of 2006 amended it.
Short name set inSupplementary Provisions, Article 75, paragraph (1)