Supplementary Provisions
附 則
Supplementary Provisions, Article 1Effective Date
第一条(施行期日)
This Act comes into effect as of the date specified by Cabinet Order within a period not exceeding six months from the date of promulgation; provided, however, that provisions set forth in the following items come into effect on the date prescribed in each item:
この法律は、公布の日から起算して六月を超えない範囲内において政令で定める日から施行する。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。
Omitted
略
the provisions of Article 1 amending Article 31-4 of the Financial Instruments and Exchange Act, the provisions adding four paragraphs to Article 36 of that Act, the provisions amending Article 50-2, paragraph (4) of that Act (limited to the part replacing "or paragraph (3)" with ", paragraph (3), or paragraph (4)"), the provisions amending Articles 56-2, 59-6 and 60-13 of that Act, the provisions amending Article 65-5, paragraphs (2) and (4) of that Act (limited to the part replacing "Article 36," with "Article 36, paragraph (1),"), the provisions amending Article 190, paragraph (1) of that Act (limited to the part replacing "through paragraph (3)" with "through paragraph (4)"), the provisions amending Article 194-7, paragraph (2), item (i) of that Act, the provisions amending paragraph (3) of that Article (limited to the part replacing "through paragraph (3)" with "through paragraph (4)"), and the provisions amending Article 205-2, Article 207, paragraph (1), item (vi) and Article 208, item (iv) of that Act; the provisions of Article 2 amending Article 197 of the Act on Investment Trusts and Investment Corporations; the provisions of Article 4 amending Article 11-2-3, item (iii) of the Agricultural Co-operatives Act, the provisions adding one Article after Article 11-5 of that Act, the provisions adding one Article after Article 11-12 of that Act, and the provisions amending Article 11-47, paragraph (1), item (ii) of that Act; the provisions of Article 5 amending Article 11, paragraph (4), item (ii), Article 11-4, paragraph (2) and Article 11-8, item (iii) of the Fishery Industry Cooperative Act, the provisions renumbering Article 11-13 of that Act as Article 11-14 and adding one Article after Article 11-12 of that Act, the provisions adding one Article after Article 15-9 of that Act, and the provisions amending Article 57-3, Article 92, paragraph (1), Article 96, paragraph (1), Article 100, paragraph (1), Article 100-8, paragraph (1) and Article 130, paragraph (1), item (iii) of that Act; the provisions of Article 6 adding one Article after Article 58-5 of the Small and Medium-Sized Enterprise Cooperatives Act; the provisions of Article 7 amending Article 6, paragraph (1) of the Act on Financial Businesses by Cooperative (excluding the part replacing "Article 18, paragraph (1) (Accumulation of Retained Earnings Reserves, etc.)" with "Article 18 (Amounts of Capital Reserves and Retained Earnings Reserves)") and the provisions amending paragraph (2) of that Article; the provisions of Article 8 amending Article 89, paragraph (1) of the Shinkin Bank Act; the provisions of Article 10 amending Article 94, paragraph (1) of the Labor Bank Act; the provisions of Article 11 amending Article 13-3 of the Banking Act, the provisions adding one Article after that Article, the provisions amending Article 16-2, paragraph (1), items (iii) and (v) of that Act, and the provisions adding one Article after Article 52-21 of that Act; the provisions of Article 12 amending the table of contents, Article 2, paragraph (11), Article 8 and Article 28, paragraph (1), item (iii) of the Insurance Business Act, the provisions amending Article 53-2, paragraph (1), item (iii) of that Act (limited to the part adding "(Act No. 25 of 1948)" after "Financial Instruments and Exchange Act"), the provisions adding one Article after Article 100-2 of that Act, the provisions amending Article 106, paragraph (1), item (v) of that Act, the provisions adding one article before Article 194 in Part II, Chapter IX, Section 2 of that Act, the provisions amending Article 271-21, paragraph (1) of that Act, the provisions adding one Article after that Article, and the provisions amending Article 272-13, paragraph (2) and Article 333, paragraph (1), items (i) and (ii) of that Act; the provisions of Article 13 amending Articles 59 and 59-2 of the Norinchukin Bank Act, the provisions adding one Article after Article 59-2 of that Act, and the provisions amending Article 72, paragraph (1), item (ii) of that Act; the provisions of Article 14 amending Article 28 of the Shoko Chukin Bank Limited Act, the provisions adding one Article after that Article, the provisions amending Article 39, paragraph (1), items (i) and (iii) of that Act, and the provisions amending the proviso to Article 56, paragraph (5) of that Act (excluding the part adding "and paragraph (7)" after "Article 21, paragraph (4)"); the provisions of Article 22 of the Supplementary Provisions amending Article 2, paragraph (4) of the Act on Engagement in Trust Business by Financial Institutions (Act No. 43 of 1943) (limited to the part replacing "Article 36," with "Article 36, paragraph (1),"); the provisions of Article 32 of the Supplementary Provisions amending Article 209, paragraph (1) of the Act on the Securitization of Assets (Act No. 105 of 1998); and the provisions of Articles 35 and 38 of the Supplementary Provisions: the date specified by Cabinet Order within a period not exceeding one year from the date of promulgation.
第一条中金融商品取引法第三十一条の四の改正規定、同法第三十六条に四項を加える改正規定、同法第五十条の二第四項の改正規定(「又は第三項」を「、第三項又は第四項」に改める部分に限る。)、同法第五十六条の二、第五十九条の六及び第六十条の十三の改正規定、同法第六十五条の五第二項及び第四項の改正規定(「第三十六条、」を「第三十六条第一項、」に改める部分に限る。)、同法第百九十条第一項の改正規定(「第三項まで」を「第四項まで」に改める部分に限る。)、同法第百九十四条の七第二項第一号の改正規定、同条第三項の改正規定(「第三項まで」を「第四項まで」に改める部分に限る。)並びに同法第二百五条の二、第二百七条第一項第六号及び第二百八条第四号の改正規定、第二条中投資信託及び投資法人に関する法律第百九十七条の改正規定、第四条中農業協同組合法第十一条の二の三第三号の改正規定、同法第十一条の五の次に一条を加える改正規定、同法第十一条の十二の次に一条を加える改正規定及び同法第十一条の四十七第一項第二号の改正規定、第五条中水産業協同組合法第十一条第四項第二号、第十一条の四第二項及び第十一条の八第三号の改正規定、同法第十一条の十三を同法第十一条の十四とし、同法第十一条の十二の次に一条を加える改正規定、同法第十五条の九の次に一条を加える改正規定並びに同法第五十七条の三、第九十二条第一項、第九十六条第一項、第百条第一項、第百条の八第一項及び第百三十条第一項第三号の改正規定、第六条中中小企業等協同組合法第五十八条の五の次に一条を加える改正規定、第七条中協同組合による金融事業に関する法律第六条第一項の改正規定(「第十八条第一項(利益準備金の積立て等)」を「第十八条(資本準備金及び利益準備金の額)」に改める部分を除く。)及び同条第二項の改正規定、第八条中信用金庫法第八十九条第一項の改正規定、第十条中労働金庫法第九十四条第一項の改正規定、第十一条中銀行法第十三条の三の改正規定、同条の次に一条を加える改正規定、同法第十六条の二第一項第三号及び第五号の改正規定並びに同法第五十二条の二十一の次に一条を加える改正規定、第十二条中保険業法目次、第二条第十一項、第八条及び第二十八条第一項第三号の改正規定、同法第五十三条の二第一項第三号の改正規定(「金融商品取引法」の下に「(昭和二十三年法律第二十五号)」を加える部分に限る。)、同法第百条の二の次に一条を加える改正規定、同法第百六条第一項第五号の改正規定、同法第二編第九章第二節中第百九十四条の前に一条を加える改正規定、同法第二百七十一条の二十一第一項の改正規定、同条の次に一条を加える改正規定並びに同法第二百七十二条の十三第二項並びに第三百三十三条第一項第一号及び第二号の改正規定、第十三条中農林中央金庫法第五十九条及び第五十九条の二の改正規定、同条の次に一条を加える改正規定並びに同法第七十二条第一項第二号の改正規定、第十四条中株式会社商工組合中央金庫法第二十八条の改正規定、同条の次に一条を加える改正規定、同法第三十九条第一項第一号及び第三号の改正規定並びに同法第五十六条第五項ただし書の改正規定(「第二十一条第四項」の下に「及び第七項」を加える部分を除く。)並びに附則第二十二条中金融機関の信託業務の兼営等に関する法律(昭和十八年法律第四十三号)第二条第四項の改正規定(「第三十六条、」を「第三十六条第一項、」に改める部分に限る。)、附則第三十二条中資産の流動化に関する法律(平成十年法律第百五号)第二百九条第一項の改正規定並びに附則第三十五条及び第三十八条の規定 公布の日から起算して一年を超えない範囲内において政令で定める日
Supplementary Provisions, Article 2Transitional Measures Accompanying Partial Amendment of the Financial Instruments and Exchange Act
第二条(金融商品取引法の一部改正に伴う経過措置)
The provisions of Article 2, paragraph (3), items (i) and (ii) and paragraph (4), item (i), Article 23-13, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27 of the New Financial Instruments and Exchange Act) and Article 27-31 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (hereinafter referred to as the "New Financial Instruments and Exchange Act") apply to 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 prescribed in paragraph (2) of that Article that begins on or after the date of enforcement of this Act (except in the following Article, hereinafter referred to as "the effective date"), and the provisions then in force continue to govern solicitation with a view to issuing new securities prescribed in Article 4, paragraph (1), item (iv) of the Financial Instruments and Exchange Act as it was prior to amendment by the provisions of Article 1 (hereinafter referred to as the "Former Financial Instruments and Exchange Act") or solicitation with a view to delivering existing securities prescribed in paragraph (2) of that Article that began before the effective date.
第一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。)第二条第三項第一号及び第二号並びに第四項第一号、第二十三条の十三第三項(新金融商品取引法第二十七条において準用する場合を含む。)並びに第二十七条の三十一の規定は、この法律の施行の日(次条を除き、以下「施行日」という。)以後に開始する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又は同条第二項に規定する有価証券交付勧誘等について適用し、施行日前に開始した第一条の規定による改正前の金融商品取引法(以下「旧金融商品取引法」という。)第四条第一項第四号に規定する有価証券発行勧誘等又は同条第二項に規定する有価証券交付勧誘等については、なお従前の例による。
Supplementary Provisions, Article 3
第三条
In the case where the date of enforcement of the provisions set forth in Article 1, item (iii) of the Supplementary Provisions (hereinafter referred to in this Article as the "item (iii) effective date") is after the day on which one year elapses from the effective date of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) (meaning the effective date prescribed in the main clause of Article 1 of the Supplementary Provisions of that Act) (hereinafter referred to in this Article as the "specified day"), if a person who has made a notification under paragraph (1) of Article 28 of the Supplementary Provisions of that Act pursuant to the provisions of that paragraph (hereinafter referred to in this paragraph as the "earlier notification") makes a notification to the Prime Minister by the specified day as prescribed by Cabinet Office Order, that person may continue to concurrently serve as a director, accounting advisor (if the accounting advisor is a juridical person, a member who is to perform its duties), company auditor or executive officer (including a board member, auditor or any other person equivalent thereto) or employee of the parent bank, etc. (meaning the parent bank, etc. prescribed in paragraph (1) of that Article) pertaining to that earlier notification, from the day following the specified day until the day preceding the item (iii) effective date.
附則第一条第三号に掲げる規定の施行の日(以下この条において「第三号施行日」という。)が証券取引法等の一部を改正する法律(平成十八年法律第六十五号)の施行日(同法附則第一条本文に規定する施行日をいう。)から起算して一年を経過する日(以下この条において「特定日」という。)後である場合には、同法附則第二十八条第一項の規定により同項の届出(以下この項において「旧届出」という。)をした者が、特定日までに内閣府令で定めるところにより内閣総理大臣に届出をしたときは、特定日の翌日から第三号施行日の前日までの間、引き続き当該旧届出に係る親銀行等(同条第一項に規定する親銀行等をいう。)の取締役、会計参与(会計参与が法人であるときは、その職務を行うべき社員)、監査役若しくは執行役(理事、監事その他これに準ずる者を含む。)又は使用人を兼ねることができる。
In the case where the item (iii) effective date is after the specified day, if a person who has made a notification under paragraph (2) of Article 28 of the Supplementary Provisions of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) pursuant to the provisions of that paragraph (hereinafter referred to in this paragraph as the "earlier notification") makes a notification to the Prime Minister by the specified day as prescribed by Cabinet Office Order, that person may continue to concurrently serve as a director, accounting advisor (if the accounting advisor is a juridical person, a member who is to perform its duties), company auditor or executive officer (including a board member, auditor or any other person equivalent thereto) of the subsidiary bank, etc. (meaning the subsidiary bank, etc. prescribed in paragraph (2) of that Article) pertaining to that earlier notification, from the day following the specified day until the day preceding the item (iii) effective date.
In the case where the item (iii) effective date is after the specified day, if a person who has made a notification under paragraph (3) of Article 28 of the Supplementary Provisions of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) pursuant to the provisions of that paragraph (hereinafter referred to in this paragraph as the "earlier notification") makes a notification to the Prime Minister by the specified day as prescribed by Cabinet Office Order, that person may continue to engage in the ordinary business of a bank, cooperative financial institution or other financial institution specified by Cabinet Order prescribed in paragraph (3) of that Article pertaining to that earlier notification, from the day following the specified day until the day preceding the item (iii) effective date.
The Prime Minister is to delegate the authority under the provisions of the preceding three paragraphs to the Commissioner of the Financial Services Agency.
内閣総理大臣は、前三項の規定による権限を金融庁長官に委任する。
A part of the authority delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of the preceding paragraph may be delegated to the Director-General of a Local Finance Bureau or the Director-General of a Local Finance Branch Bureau, pursuant to the provisions of Cabinet Order.
前項の規定により金融庁長官に委任された権限については、政令で定めるところにより、その一部を財務局長又は財務支局長に委任することができる。
Supplementary Provisions, Article 4
第四条
The provisions of Article 46-3 of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the New Financial Instruments and Exchange Act apply to the business report under paragraph (1) of that Article for the business year prescribed in that paragraph that ends on or after the effective date, and the provisions then in force continue to govern the business report under Article 46-3, paragraph (1) of the Former Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the Former Financial Instruments and Exchange Act for the fiscal year (meaning the period from April 1 to March 31 of the following year; the same applies in the following paragraph) that includes the day preceding the first day of that business year.
新金融商品取引法第六十条の六において準用する新金融商品取引法第四十六条の三の規定は、施行日以後に終了する同条第一項に規定する事業年度に係る同項の事業報告書について適用し、当該事業年度の開始日の前日の属する年度(四月一日から翌年三月三十一日までの期間をいう。次項において同じ。)に係る旧金融商品取引法第六十条の六において準用する旧金融商品取引法第四十六条の三第一項の事業報告書については、なお従前の例による。
The provisions of Article 49-3 of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the New Financial Instruments and Exchange Act apply to the documents and written materials prescribed in paragraph (1) of that Article for the business year prescribed in that paragraph that ends on or after the effective date, and the provisions then in force continue to govern the documents and written materials prescribed in Article 49-3, paragraph (1) of the Former Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the Former Financial Instruments and Exchange Act for the fiscal year that includes the day preceding the first day of that business year.
新金融商品取引法第六十条の六において準用する新金融商品取引法第四十九条の三の規定は、施行日以後に終了する同条第一項に規定する事業年度に係る同項に規定する書類及び書面について適用し、当該事業年度の開始日の前日の属する年度に係る旧金融商品取引法第六十条の六において準用する旧金融商品取引法第四十九条の三第一項に規定する書類及び書面については、なお従前の例による。
Supplementary Provisions, Article 5
第五条
The provisions of Article 172, paragraph (1) of the New Financial Instruments and Exchange Act apply to a public offering or secondary distribution of securities prescribed in that paragraph that begins on or after the effective date or to general solicitation involving securities acquired by a qualified institutional investor prescribed in Article 4, paragraph (2) of the New Financial Instruments and Exchange Act; the provisions of Article 172, paragraph (2) of the New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (4) of that Article) apply to the act of causing a person to acquire or selling securities by a public offering or secondary distribution prescribed in paragraph (2) of that Article that begins on or after the effective date; and the provisions of paragraph (3) of that Article apply to the act of selling securities by a secondary distribution prescribed in that paragraph that begins on or after the effective date, respectively.
新金融商品取引法第百七十二条第一項の規定は施行日以後に開始する同項に規定する有価証券の募集若しくは売出し又は新金融商品取引法第四条第二項に規定する適格機関投資家取得有価証券一般勧誘について、新金融商品取引法第百七十二条第二項(同条第四項において準用する場合を含む。)の規定は施行日以後に開始する同条第二項に規定する募集又は売出しにより有価証券を取得させ、又は売り付ける行為について、同条第三項の規定は施行日以後に開始する同項に規定する売出しにより有価証券を売り付ける行為について、それぞれ適用する。
Supplementary Provisions, Article 6
第六条
The provisions of Article 172-2, paragraphs (1) and (2) of the New Financial Instruments and Exchange Act apply to the act of causing a person to acquire or selling securities by a public offering or secondary distribution prescribed in paragraph (1) of that Article based on a disclosure document for offerings prescribed in paragraph (3) of that Article that is submitted on or after the effective date, and the provisions then in force continue to govern the act of causing a person to acquire or selling securities by a public offering or secondary distribution prescribed in Article 172, paragraph (1) of the Former Financial Instruments and Exchange Act based on a disclosure document for offerings prescribed in Article 172, paragraph (3) of the Former Financial Instruments and Exchange Act that was submitted before the effective date.
The provisions of Article 172-2, paragraphs (4) and (5) of the New Financial Instruments and Exchange Act apply to the act of selling securities by a secondary distribution prescribed in Article 172, paragraph (3) of the New Financial Instruments and Exchange Act that begins on or after the effective date, and the provisions then in force continue to govern the act of selling securities by a secondary distribution that began before the effective date.
新金融商品取引法第百七十二条の二第四項及び第五項の規定は、施行日以後に開始する新金融商品取引法第百七十二条第三項に規定する売出しにより有価証券を売り付ける行為について適用し、施行日前に開始した売出しにより有価証券を売り付ける行為については、なお従前の例による。
The provisions of Article 172-2, paragraph (6) of the New Financial Instruments and Exchange Act apply to an amended offering disclosure document prescribed in that paragraph that is to be submitted for a public offering or secondary distribution prescribed in that paragraph that commences on or after the effective date.
新金融商品取引法第百七十二条の二第六項の規定は、施行日以後に開始する同項に規定する募集又は売出しについて提出すべき同項に規定する発行開示訂正書類について適用する。
(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
If an issuer that submits a disclosure document for offerings that contains a false statement about a material particular or lacks a statement of a material particular that is required to be stated…
重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている発行開示書類を提出した発行者が、当該発行開示書類に基づく募集又は売出し(当該発行者が所有する有価証券の売出しに限る。)により有価証券を取得させ、又は売り付けたときは、内閣総理大臣は、次節に定める手続に従い、当該発行者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
If an issuer submits a disclosure document for offerings that contains a false statement about a material particular or that lacks a statement of a material particular that is required to be stated…
重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている発行開示書類を提出した発行者の役員等(当該発行者の役員、代理人、使用人その他の従業者をいう。以下この項、第五項及び第百七十二条の十第二項において同じ。)であつて、当該発行開示書類に虚偽の記載があり…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
The term "disclosure document for offerings" as used in the preceding two paragraphs means a statement and other documents under Article 5…
前二項の「発行開示書類」とは、第五条(第二十七条において準用する場合を含む。)の規定による届出書類(第五条第四項の規定の適用を受ける届出書の場合には、当該届出書に係る参照書類を含む。)、第七条第一項…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
The provisions of paragraph (1) (excluding item (i)) apply mutatis mutandis if an issuer that uses a prospectus that contains a false statement about a material particular…
第一項(第一号を除く。)の規定は、重要な事項(第五条第一項各号(第二十七条において準用する場合を含む。)に掲げる事項に係るものに限る。以下この項及び次項において同じ。)につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている目論見書を使用した発行者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
The provisions of paragraph (2) apply mutatis mutandis if an issuer uses a prospectus that contains a false statement about a material particular or omits a statement as to a material particular that…
第二項の規定は、重要な事項につき虚偽の記載があり、又は記載すべき重要な事項の記載が欠けている目論見書を使用した発行者の役員等であつて、当該目論見書に虚偽の記載があり、又は記載すべき事項の記載が欠けていることを知りながら当該目論見書の作成に関与した者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to an Issuer That Submits Disclosure Documents for Offerings Containing a False Statement)
If an issuer that is required to submit an amended offering disclosure document (meaning an amended statement under the first sentence of Article 7, paragraph (1), (including as applied mutatis…
発行開示訂正書類(第七条第一項前段(第二十七条において準用する場合を含む。)の規定による訂正届出書又は第二十三条の四前段(第二十七条において準用する場合を含む。)の規定による訂正発行登録書をいう。以下この章において同じ。)を提出すべき発行者が…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If, in respect of a public offering or secondary distribution of securities subject to a notification under Article 4, paragraph (1), a general solicitation involving securities acquired by a…
第四条第一項の規定による届出を必要とする有価証券の募集若しくは売出し、同条第二項の規定による届出を必要とする適格機関投資家取得有価証券一般勧誘又は同条第三項の規定による届出を必要とする特定投資家等取得有価証券一般勧誘について、これらの届出が受理されていないのに当該募集若しくは売出し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If an issuer violates the provisions of Article 15, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) in causing securities set forth in Article 15…
第十五条第一項(第二十七条において準用する場合を含む。)の規定に違反して、同項に規定する有価証券を募集(第四条第一項に規定する有価証券の募集をいう。第百七十三条から第百七十四条の三までを除き、以下この章において同じ。)により取得させた発行者又は売出し(第四条第四項に規定する有価証券の売出しをいう。次項、次条第四項及び…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If a person violates the provisions of Article 15, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27) in selling securities that it owns through a secondary distribution…
第十五条第二項(第二十七条において準用する場合を含む。)の規定に違反して、目論見書(第十三条第一項に規定する既に開示された有価証券の売出し(同項に規定する有価証券の売出しをいう。以下この項、次条第四項及び第五項、第百七十八条第五項及び第八項並びに第百八十五条の七第十四項において同じ。)に係る目論見書に限る。以下この章…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
The provisions of paragraph (2) apply mutatis mutandis if an issuer violates the provisions of Article 23-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) in causing…
第二項の規定は、第二十三条の八第一項(第二十七条において準用する場合を含む。)の規定に違反して、同項に規定する有価証券を募集により取得させた発行者又は売出しにより売り付けた者(自己の所有する有価証券を売り付けた者に限る。)がある場合について準用する。
Open this provision(Definitions)
cases specified by Cabinet Order as those in which the solicitation for acquisition is issued (unless the solicitation is issued only to professional investors) to a large number of persons…
多数の者(適格機関投資家(有価証券に対する投資に係る専門的知識及び経験を有する者として内閣府令で定める者をいう。以下同じ。)が含まれる場合であつて、当該有価証券がその取得者である適格機関投資家から適格機関投資家以外の者に譲渡されるおそれが少ないものとして政令で定める場合に該当するときは、当該適格機関投資家を除く。)を…
Open this provision(Definitions)
cases in which the solicitation for acquisition is other than as specified in the preceding item, and in which it does not fall under any of the following:
前号に掲げる場合のほか、次に掲げる場合のいずれにも該当しない場合
Open this provision(Definitions)
cases specified by Cabinet Order as those in which the solicitation for selling, etc. is made (unless the offer is made only to professional investors) to a large number of persons…
多数の者(適格機関投資家が含まれる場合であつて、当該有価証券がその取得者である適格機関投資家から適格機関投資家以外の者に譲渡されるおそれが少ないものとして政令で定める場合に該当するときは、当該適格機関投資家を除く。)を相手方として行う場合として政令で定める場合(特定投資家のみを相手方とする場合を除く。)
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(Mutatis Mutandis Application of Provisions for an Issuer That Is Not a Company)
The provisions of Article 2-3; Articles 5 through 13; Articles 15 through 24-5-2; and Article 24-7 through the preceding Article apply mutatis mutandis if the issuer is a person other than a company…
第二条の三、第五条から第十三条まで、第十五条から第二十四条の五の二まで及び第二十四条の七から前条までの規定は、発行者が会社以外の者(第五条第六項から第九項まで、第七条第二項、第九条第二項、第十条第二項、第二十四条第八項から第十三項まで、第二十四条の二第四項、第二十四条の四の二第六項(第二十四条の五の二第一項において準…
Open this provision(Provision or Disclosure of Specified Information on Securities)
An issuer may not issue a solicitation for acquisition only for professional investors or any other category of solicitation with a view to issuing new securities specified by Cabinet Order which is…
特定投資家向け取得勧誘その他第四条第一項本文の規定の適用を受けない有価証券発行勧誘等のうち政令で定めるもの(以下この条及び第六章の二において「特定取得勧誘」という。)又は特定投資家向け売付け勧誘等(当該特定投資家向け売付け勧誘等に係る有価証券が特定投資家向け有価証券に該当する場合であつて、少数の者を相手方として行う場…
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 provision(Submission of Business Reports)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator must prepare a business report and submit it to the Prime Minister within three…
金融商品取引業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
Open this provision(Submission of Business Reports)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator must prepare a business report and submit it to the Prime Minister within three…
金融商品取引業者は、事業年度ごとに、内閣府令で定めるところにより、事業報告書を作成し、毎事業年度経過後三月以内に、これを内閣総理大臣に提出しなければならない。
Open this provision(Submission of Other Documents)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator…
金融商品取引業者(第一種金融商品取引業を行う外国法人に限る。以下この款において同じ。)は、内閣府令で定めるところにより、事業年度ごとに、その行う業務の全部に関し作成した貸借対照表、損益計算書その他財務計算に関する書類及び当該事業年度における業務の概要を記載した書面を、当該事業年度経過後政令で定める期間内に…
Open this provision(Submission of Other Documents)
Each business year, pursuant to the provisions of Cabinet Office Order, a financial instruments business operator…
金融商品取引業者(第一種金融商品取引業を行う外国法人に限る。以下この款において同じ。)は、内閣府令で定めるところにより、事業年度ごとに、その行う業務の全部に関し作成した貸借対照表、損益計算書その他財務計算に関する書類及び当該事業年度における業務の概要を記載した書面を、当該事業年度経過後政令で定める期間内に…
Open this provision(Business Reports)
The provisions of Article 46-2, Article 46-3, and Article 49-3 apply mutatis mutandis to the on-exchange transaction services of an authorized firm for on-exchange transactions.
第四十六条の二、第四十六条の三及び第四十九条の三の規定は、取引所取引許可業者の取引所取引業務について準用する。この場合において、第四十六条の三第一項中「三月以内」とあるのは、「政令で定める期間内」と読み替えるものとする。
Open this provisionEffective Date
This Act comes into effect as of the date specified by Cabinet Order within a period not exceeding one year and six months from the date of promulgation…
この法律は、公布の日から起算して一年六月を超えない範囲内において政令で定める日(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。
Open this provisionIf a person who, at the time of the enforcement of this Act, is a director, accounting advisor (or, if the accounting advisor is a corporation, a staff member who is to perform those duties)…
この法律の施行の際現に金融商品取引業者(有価証券関連業を行う者に限る。以下この項から第三項までにおいて同じ。)の取締役、会計参与(会計参与が法人であるときは、その職務を行うべき社員)…
Open this provisionIf a person who, at the time of the enforcement of this Act, is a director, accounting advisor, company auditor or executive officer, or employee of a financial instruments business operator and who…
この法律の施行の際現に金融商品取引業者の取締役、会計参与、監査役若しくは執行役又は使用人である者で当該金融商品取引業者の子銀行等(新金融商品取引法第三十一条の四第六項に規定する子銀行等をいう。以下この項において同じ。)の取締役、会計参与(会計参与が法人であるときは、その職務を行うべき社員。以下この項において同じ。)…
Open this provisionIf a person who, at the time of the enforcement of this Act, is a director (in the case of a company with committees, an executive officer) engaged in the ordinary business of a financial instruments…
この法律の施行の際現に金融商品取引業者の常務に従事する取締役(委員会設置会社にあっては、執行役)である者で銀行、協同組織金融機関その他政令で定める金融機関の常務に従事している者が、前二項の規定の適用がある場合を除き、施行日から一年以内に内閣府令で定めるところにより内閣総理大臣に届出をしたときは…
Open this provisionEffective Date
the provisions of Article 1 amending Article 31-4 of the Financial Instruments and Exchange Act, the provisions adding four paragraphs to Article 36 of that Act, the provisions amending Article 50-2…
第一条中金融商品取引法第三十一条の四の改正規定、同法第三十六条に四項を加える改正規定、同法第五十条の二第四項の改正規定(「又は第三項」を「、第三項又は第四項」に改める部分に限る。)、同法第五十六条の二、第五十九条の六及び第六十条の十三の改正規定…
Open this provisionIn the case where the date of enforcement of the provisions set forth in Article 1, item (iii) of the Supplementary Provisions…
附則第一条第三号に掲げる規定の施行の日(以下この条において「第三号施行日」という。)が証券取引法等の一部を改正する法律(平成十八年法律第六十五号)の施行日(同法附則第一条本文に規定する施行日をいう。)から起算して一年を経過する日(以下この条において「特定日」という。)後である場合には…
Open this provisionIn the case where the date of enforcement of the provisions set forth in Article 1, item (iii) of the Supplementary Provisions…
附則第一条第三号に掲げる規定の施行の日(以下この条において「第三号施行日」という。)が証券取引法等の一部を改正する法律(平成十八年法律第六十五号)の施行日(同法附則第一条本文に規定する施行日をいう。)から起算して一年を経過する日(以下この条において「特定日」という。)後である場合には…
Open this provisionIn the case where the item (iii) effective date is after the specified day, if a person who has made a notification under paragraph (2) of Article 28 of the Supplementary Provisions of the Act…
第三号施行日が特定日後である場合には、証券取引法等の一部を改正する法律(平成十八年法律第六十五号)附則第二十八条第二項の規定により同項の届出(以下この項において「旧届出」という。)をした者が、特定日までに内閣府令で定めるところにより内閣総理大臣に届出をしたときは、特定日の翌日から第三号施行日の前日までの間…
Open this provisionIn the case where the item (iii) effective date is after the specified day, if a person who has made a notification under paragraph (3) of Article 28 of the Supplementary Provisions of the Act…
第三号施行日が特定日後である場合には、証券取引法等の一部を改正する法律(平成十八年法律第六十五号)附則第二十八条第三項の規定により同項の届出(以下この項において「旧届出」という。)をした者が、特定日までに内閣府令で定めるところにより内閣総理大臣に届出をしたときは、特定日の翌日から第三号施行日の前日までの間…
Open this provisionThe Prime Minister is to delegate the authority under the provisions of the preceding three paragraphs to the Commissioner of the Financial Services Agency.
内閣総理大臣は、前三項の規定による権限を金融庁長官に委任する。
Open this provisionThe provisions of Article 49-3 of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the New Financial Instruments and Exchange Act apply to the…
新金融商品取引法第六十条の六において準用する新金融商品取引法第四十九条の三の規定は、施行日以後に終了する同条第一項に規定する事業年度に係る同項に規定する書類及び書面について適用し…
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
public offering of securities
「有価証券の募集」
A public offering of securities: a solicitation of applications to acquire newly issued securities (取得勧誘) that, for paragraph (1) securities (第一項有価証券), is made to many persons as a Cabinet Order (政令) sets or falls under none of the exemptions for solicitations made only to qualified institutional investors, only to professional investors, or to a small number of persons, and that, for paragraph (2) securities (第二項有価証券), will lead a fairly large number of persons, as a Cabinet Order sets, to hold the securities.
Defined inArticle 2, paragraph (3)
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.
Short name set inArticle 2, paragraph (8)
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)
general solicitation involving securities acquired by a qualified institutional investormachine translation
「適格機関投資家取得有価証券一般勧誘」
A solicitation with a view to delivering existing securities (有価証券交付勧誘等) that a qualified institutional investor (適格機関投資家) makes to persons who are not qualified institutional investors, involving securities whose original solicitation fell under one of the cases listed in Article 4, paragraph (2) (in the cases in items (ii) and (iv), only securities acquired by qualified institutional investors left out of the count of persons solicited).
Short name set inArticle 4, paragraph (2)
parent bank, etc.
「親銀行等」
In Article 31-4, paragraph (2), of the parent corporations, etc. (親法人等) of a financial instruments business operator (金融商品取引業者) — corporations or other organizations that hold a majority of the voting rights of all its shareholders, etc., or otherwise meet the requirements a Cabinet Order (政令) sets for being closely related to it — one that is a bank, a cooperative financial institution (協同組織金融機関) or another financial institution a Cabinet Order specifies.
Defined inArticle 31-4, paragraph (3)
subsidiary bank, etc.
「子銀行等」
A bank, cooperative financial institution or other financial institution a Cabinet Order (政令) specifies that is a subsidiary corporation, etc. (子法人等) of a financial instruments business operator: a corporation or other organization meeting requirements a Cabinet Order sets as closely related to the operator, such as one in which the operator holds a majority of the voting rights of all shareholders, etc.
Defined inArticle 31-4, paragraph (4)
public offeringmachine translation
「募集」
In Chapter 6-2, other than in Articles 173 to 174-3, a public offering of securities (有価証券の募集) as defined in Article 4, paragraph (1).
Defined inArticle 172, paragraph (2)· applies only in this chapter, except in Articles 173 to 174-3
disclosure document for offerings
「発行開示書類」
A securities registration statement and the documents filed with it under Article 5, an amended registration statement under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1), a shelf registration statement (発行登録書) and its attachments, an amended shelf registration statement (訂正発行登録書), or a shelf registration supplement (発行登録追補書類) and its attachments, each with the reference documents (参照書類) for it, including where those provisions apply under Article 27.
Defined inArticle 172-2, paragraph (3)
amended offering disclosure document
「発行開示訂正書類」
In Chapter VI-2, an amended securities registration statement under the first sentence of Article 7, paragraph (1), or an amended shelf registration statement (訂正発行登録書) under the first sentence of Article 23-4, including as either applies under Article 27.
Defined inArticle 172-2, paragraph (6)· applies only in this chapter
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Article 1 of Act No. 65 of 2008.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
the effective datemachine translation
「施行日」
The date Act No. 65 of 2008, to which these supplementary provisions (附則) belong, comes into effect.
Short name set inSupplementary Provisions, Article 2, paragraph (1)· applies from here on, except in Supplementary Provisions, Article 3
Former Financial Instruments and Exchange Actmachine translation
「旧金融商品取引法」
This Act as it stood before Article 1 of Act No. 65 of 2008 amended it.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
earlier notificationmachine translation
「旧届出」
In Article 3, paragraph (1) of the supplementary provisions (附則) of Act No. 65 of 2008, a notification under Article 28, paragraph (1) of the supplementary provisions of Act No. 65 of 2006, by which a director, accounting advisor, company auditor or executive officer of a financial instruments business operator (金融商品取引業者) engaged in securities-related business could keep a concurrent post as officer or employee of its parent bank, etc. (親銀行等) for one year from the date the 2006 Act came into effect.
Short name set inSupplementary Provisions, Article 3, paragraph (1)· applies only in this paragraph
specified daymachine translation
「特定日」
In Article 3 of the supplementary provisions (附則) of Act No. 65 of 2008, the day on which one year has passed, counting from the date Act No. 65 of 2006 came into effect.
Short name set inSupplementary Provisions, Article 3, paragraph (1)· applies only in this article
item (iii) effective datemachine translation
「第三号施行日」
In Article 3 of the supplementary provisions (附則) of Act No. 65 of 2008, the date the provisions listed in Article 1, item (iii) of those supplementary provisions come into effect, a date a Cabinet Order (政令) sets within one year of the Act's promulgation.
Short name set inSupplementary Provisions, Article 3, paragraph (1)· applies only in this article
earlier notificationmachine translation
「旧届出」
In Article 3, paragraph (2) of the supplementary provisions (附則) of Act No. 65 of 2008, a notification under Article 28, paragraph (2) of the supplementary provisions of Act No. 65 of 2006, by which an officer or employee of a financial instruments business operator (金融商品取引業者) engaged in securities-related business could keep a concurrent post as director, accounting advisor, company auditor or executive officer of its subsidiary bank, etc. (子銀行等) for one year from the date the 2006 Act came into effect.
Short name set inSupplementary Provisions, Article 3, paragraph (2)· applies only in this paragraph
earlier notificationmachine translation
「旧届出」
In Article 3, paragraph (3) of the supplementary provisions (附則) of Act No. 65 of 2008, a notification under Article 28, paragraph (3) of the supplementary provisions of Act No. 65 of 2006, by which a director (or, in a company with committees, an executive officer) engaged in the day-to-day business of a financial instruments business operator (金融商品取引業者) engaged in securities-related business could continue to engage in the day-to-day business of a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies for one year from the date the 2006 Act came into effect.
Short name set inSupplementary Provisions, Article 3, paragraph (3)· applies only in this paragraph
fiscal yearmachine translation
「年度」
The fiscal year, from 1 April to 31 March of the following year.
Defined inSupplementary Provisions, Article 4, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 4, paragraph (2)
company auditor
監査役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)), whose job is to audit how the directors carry out their duties and to write an audit report on it (Article 381, paragraph (1)). Not an outside accountant — that is the financial auditor (会計監査人) — and not a director: a company auditor may not also be a director or employee of the company or its subsidiaries (Article 335, paragraph (2)). The term normally runs to the annual shareholders meeting for the last business year ending within four years of election (Article 336, paragraph (1)).
Written by AI using Companies Act, Arts. 329, 335, 336, 381 as a reference.
director
取締役
An officer of a stock company, elected by the shareholders meeting (Companies Act, Article 329, paragraph (1)). Every stock company has at least one (Article 326, paragraph (1)). Where there is no board of directors, the directors run the company's business unless the articles of incorporation say otherwise (Article 348, paragraph (1)), and each of them represents it unless the company has chosen representative directors (代表取締役) or others to do that (Article 349, paragraphs (1) and (3)). Where there is a board (取締役会, board of directors), the directors are its members, and the board decides the business and normally chooses the representative directors from among them (Article 362). The term normally runs to the annual shareholders meeting for the last business year ending within two years of election (Article 332, paragraph (1)).
Written by AI using Companies Act, Arts. 326, 329, 332, 348, 349, 362 as a reference.
Commissioner of the Financial Services Agency
金融庁長官
The head of the Financial Services Agency (金融庁), which the Act for Establishment of the Financial Services Agency (金融庁設置法) sets up as an external agency (外局) of the Cabinet Office — an agency attached to it, with a head of its own (Article 2). The Agency's mission is to keep Japan's financial system stable, to protect depositors, insurance policyholders, investors in securities and people in a like position, and to help finance flow smoothly (Article 3, paragraph (1)). The Banking Act hands the Prime Minister's (内閣総理大臣) powers under it to the Commissioner, except those a Cabinet Order (政令) keeps back, and lets the Commissioner, as a Cabinet Order provides, pass some of them on to the directors of the Local Finance Bureaus and Local Finance Branch Bureaus (財務局長, 財務支局長) (Banking Act, Article 59).
Written by AI using Act for Establishment of the Financial Services Agency, Arts. 2, 3 and Banking Act, Art. 59 as a reference.
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.