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 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 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
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)