The provisions of Article 2, paragraphs (3), (4), (6) and (10), Article 2-2 (excluding paragraph (1)), Article 4, paragraph (1) (limited to the part pertaining to item (iv)), paragraphs (2) and (4) through (6), Article 13, paragraph (1), Article 23-3, paragraph (1), Article 23-4, Article 23-8, paragraph (4), Article 23-13, paragraphs (1), (2), (4) and (5) (including as applied mutatis mutandis pursuant to Article 27 of the New Financial Instruments and Exchange Act), Article 27-31, paragraph (1), Article 27-32-2 and Article 27-34-2 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 or solicitation with a view to delivering existing securities prescribed in Article 4, paragraph (2) 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 solicitation with a view to issuing new securities prescribed in Article 4, paragraph (1), item (iv) of the Financial Instruments and Exchange Act 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.

①With regard to a professional investor who, at the time this Act comes into effect, is deemed pursuant to Article 34-2, paragraph (5) of the Former Financial Instruments and Exchange Act to be a customer other than a professional investor (meaning a professional investor prescribed in Article 2, paragraph (31) of the Former Financial Instruments and Exchange Act; the same applies hereinafter) and who has not, on or after the effective date, made the application under Article 34-2, paragraph (1) of the New Financial Instruments and Exchange Act to a financial instruments business operator, etc. (meaning a financial instruments business operator, etc. prescribed in Article 34 of the Former Financial Instruments and Exchange Act; the same applies hereinafter) that gave consent under Article 34-2, paragraph (2) of the Former Financial Instruments and Exchange Act, the provisions of Article 34-2, paragraph (3) and paragraphs (5) through (8) of the Former Financial Instruments and Exchange Act remain in force.

②If a professional investor referred to in the preceding paragraph makes, during the period from the effective date to the end date (meaning the end date prescribed in Article 34-2, paragraph (3), item (ii) of the Former Financial Instruments and Exchange Act; the same applies hereinafter), the application under Article 34-2, paragraph (1) of the New Financial Instruments and Exchange Act to the financial instruments business operator, etc. referred to in the preceding paragraph, as prescribed by Cabinet Office Order, that professional investor is deemed to have obtained the consent of that financial instruments business operator, etc. under paragraph (2) of that Article on the day on which the application was made. In this case, the provisions of paragraph (3) of that Article do not apply.

③When the financial instruments business operator, etc. referred to in paragraph (1) receives, for the first time after the end date, an application for a subject contract (meaning a subject contract prescribed in Article 34-2, paragraph (2) of the New Financial Instruments and Exchange Act; the same applies hereinafter) from a professional investor referred to in that paragraph, it must, before concluding the subject contract pertaining to that application, notify that professional investor to the effect that the professional investor will be treated as a professional investor with regard to subject contracts.

④The provisions of the preceding three paragraphs apply mutatis mutandis to a professional investor who, at the time this Act comes into effect, is deemed to be a customer other than a professional investor pursuant to Article 2-2 of the Act on Engagement in Trust Business by Financial Institutions prior to amendment by the provisions of Article 3, Articles 11-2-4 and 11-10-3 of the Agricultural Co-operatives Act prior to amendment by the provisions of Article 4, Article 12-3, paragraph (2) of the Consumer Cooperatives Act (Act No. 200 of 1948) prior to amendment by the provisions of Article 8 of the Supplementary Provisions, Article 11-9 of the Fishery Industry Cooperative Act prior to amendment by the provisions of Article 5 (including as applied mutatis mutandis pursuant to Article 92, paragraph (1), Article 96, paragraph (1) and Article 100, paragraph (1) of that Act) and Article 15-7 of that Act (including as applied mutatis mutandis pursuant to Article 96, paragraph (1) and Article 100-8, paragraph (1) of that Act), Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act prior to amendment by the provisions of Article 6 (including as applied mutatis mutandis pursuant to Article 9-9, paragraphs (5) and (8) of that Act), Article 6-5-2 of the Act on Financial Businesses by Cooperative (Act No. 183 of 1949) prior to amendment by the provisions of Article 9 of the Supplementary Provisions, Article 89-2 of the Shinkin Bank Act prior to amendment by the provisions of Article 7, Article 17-2 of the Long Term Credit Bank Act prior to amendment by the provisions of Article 8, Article 94-2 of the Labor Bank Act prior to amendment by the provisions of Article 9, Articles 13-4 and 52-2-5 of the Banking Act prior to amendment by the provisions of Article 10, Article 300-2 of the Insurance Business Act prior to amendment by the provisions of Article 12, Articles 59-3 and 59-7 of the Norinchukin Bank Act prior to amendment by the provisions of Article 13, Article 24-2 of the Trust Business Act prior to amendment by the provisions of Article 14 (including as applied mutatis mutandis pursuant to Article 99, paragraph (8) of the Insurance Business Act prior to amendment by the provisions of Article 12 (including as applied mutatis mutandis pursuant to Article 199 of that Act)), and Article 34-2, paragraph (5) of the Former Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 29 of the Shoko Chukin Bank Limited Act prior to amendment by the provisions of Article 15. In this case, the necessary technical replacement of terms is specified by Cabinet Order.

The provisions of Article 66-38 of the New Financial Instruments and Exchange Act apply to the business report prescribed in that Article for a business year that begins on or after the effective date.

The provisions of Article 66-39 of the New Financial Instruments and Exchange Act apply to the explanatory documents prescribed in that Article for a business year that begins on or after the effective date.

①In the case where the date of enforcement of the Act Partially Amending the Commodity Exchange Act and the Act on Regulation of Commodity Investment is after the effective date, with regard to the application of the provisions of Article 2, paragraph (37) of the New Financial Instruments and Exchange Act during the period from the effective date to the date of enforcement of that Act, the phrase "Article 2, paragraph (3) of the Commodity Derivatives Transaction Act" in that paragraph is deemed to be replaced with "Article 2, paragraph (8) of the Commodity Exchange Act".

②In the case where the date of enforcement of the Act Partially Amending the Commodity Exchange Act and the Act on Regulation of Commodity Investment is after the date of enforcement of the provisions set forth in Article 1, item (i) of the Supplementary Provisions, with regard to the application of the provisions of Article 2, paragraphs (38) and (39) and Article 194-6-2 of the New Financial Instruments and Exchange Act during the period from that date to the date of enforcement of that Act, the phrase "Article 2, paragraph (5) of the Commodity Derivatives Transaction Act" in Article 2, paragraph (38) of the New Financial Instruments and Exchange Act is deemed to be replaced with "Article 2, paragraph (2) of the Commodity Exchange Act", the phrase "paragraph (6) of that Article" with "paragraph (3) of that Article", the phrase "Article 2, paragraph (11) of the Commodity Derivatives Transaction Act" in paragraph (39) of that Article with "Article 2, paragraph (19) of the Commodity Exchange Act", and the phrase "Commodity Derivatives Transaction Act" in Article 194-6-2 of the New Financial Instruments and Exchange Act with "Commodity Exchange Act".

With regard to the application of penal provisions to acts committed before this Act (or, for the provisions set forth in the items of Article 1 of the Supplementary Provisions, those provisions; the same applies hereinafter in this Article) comes into effect and to acts committed after this Act comes into effect in the cases where the provisions then in force continue to govern pursuant to the provisions of these Supplementary Provisions, the provisions then in force continue to govern.

Beyond what is provided for in Articles 2 through 5 and the preceding Article of the Supplementary Provisions, transitional measures necessary in connection with the enforcement of this Act are specified by Cabinet Order.

①Within three years after this Act comes into effect, the government is to take into account the status of designation of designated dispute resolution organizations prescribed in the respective Acts as amended by this Act (hereinafter referred to as "the respective Acts as amended") (hereinafter simply referred to as "designated dispute resolution organizations") and the implementation status of dispute resolution services prescribed in the respective Acts as amended, and socioeconomic conditions, etc., as well as the status of review under paragraph (3) of the Supplementary Provisions of the Act for Establishment of the Consumer Affairs Agency and the Consumer Commission (Act No. 48 of 2009), review the appropriate state of the system related to alternative dispute resolution procedures taken by designated dispute resolution organizations including the appropriate state of involvement of the Consumer Affairs Agency and the appropriate state of cross-sectoral and comprehensive dispute resolution framework, and take the required measures based on the results of the review if it finds this to be necessary.

②Beyond what is provided for in the preceding paragraph, within five years after this Act comes into effect, the government is to review the implementation status of the provisions amended by this Act and take the required measures based on the results of the review if it finds this to be necessary.