Supplementary Provisions, Article 8
第八条
With regard to a financial instruments business operator that is actually engaged, as a business, in the act prescribed in Article 29-2, paragraph (1), item (viii) of the New Financial Instruments and Exchange Act at the time this Act comes into effect (excluding a person that is engaged as a business in the act prescribed in Article 29-2, paragraph (1), item (viii) of the Former Financial Instruments and Exchange Act), the financial instruments business operator is deemed to be one that intends to change, as of the effective date, the matters set forth in Article 29-2, paragraph (1), item (v), (vi) or (viii) of the New Financial Instruments and Exchange Act relating to that act, and the provisions of Article 31, paragraph (4) of the Financial Instruments and Exchange Act apply. In this case, for the six months counted from the effective date (or, if within that period a disposition of refusal of registration of change under Article 29-4, paragraph (1) of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 31, paragraph (5) of the Financial Instruments and Exchange Act is made, until the day of that disposition, and if neither a registration of change nor a disposition of refusal of registration of change has been made within that period, until such a disposition is made), that financial instruments business operator may, even without obtaining the registration of change under Article 31, paragraph (4) of the Financial Instruments and Exchange Act for those matters, conduct the business relating to that act with respect to rights and derivatives transactions of the same types as the rights and derivatives transactions prescribed in Article 29-2, paragraph (1), item (viii) of the New Financial Instruments and Exchange Act (excluding the rights and derivatives transactions prescribed in Article 29-2, paragraph (1), item (viii) of the Former Financial Instruments and Exchange Act) that it actually handles at the time this Act comes into effect, making the customers of the business relating to that act that it actually conducts at the time this Act comes into effect the persons to which it is directed, or conducting it for those customers.
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二第一項第八号に規定する行為を業として行っている金融商品取引業者（旧金融商品取引法第二十九条の二第一項第八号に規定する行為を業として行っている者を除く。）については、施行日において当該行為に係る新金融商品取引法第二十九条の二第一項第五号、第六号又は第八号に掲げる事項について変更をしようとするものとみなして、金融商品取引法第三十一条第四項の規定を適用する。この場合において、当該金融商品取引業者は、施行日から起算して六月間（当該期間内に同条第五項において準用する新金融商品取引法第二十九条の四第一項の規定による変更登録の拒否の処分があったときは、当該処分のあった日までの間とし、当該期間内に変更登録又は変更登録の拒否の処分が行われなかったときは、これらの処分があるまでの間）は、当該事項について金融商品取引法第三十一条第四項の変更登録を受けないでも、この法律の施行の際現に行っている当該行為に係る業務の顧客を相手方とし、又は当該顧客のために、この法律の施行の際現に取り扱っている新金融商品取引法第二十九条の二第一項第八号に規定する権利及びデリバティブ取引（旧金融商品取引法第二十九条の二第一項第八号に規定する権利及びデリバティブ取引を除く。）と同じ種類の権利及びデリバティブ取引について、当該行為に係る業務を行うことができる。
(Application for Registration)
the business category (meaning which of the acts set forth in Article 28, paragraph (1), item (i), item (i)-2, item (ii), item (iii), (a) through (c), or item (iv), or which, among securities, etc.…
業務の種別（第二十八条第一項第一号、第一号の二、第二号、第三号イからハまで及び第四号に掲げる行為に係る業務並びに有価証券等管理業務、第二種金融商品取引業、投資助言・代理業並びに投資運用業の種別をいう。）
Open this provision(Application for Registration)
if the person provides an electronic offering service (meaning performing the act set forth in Article 2, paragraph (8), item (vii) or (viii) (excluding those specified by Cabinet Order) on a regular…
第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券（政令で定めるものを除く。）について、電子募集業務（電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより第二条第八項第七号又は第八号に掲げる行為（政令で定めるものを除く。）を業として行うことをいう。以…
Open this provision(Application for Registration)
if the person conducts, on a regular basis, any of the following acts with regard to rights that are deemed to be securities pursuant to the provisions of Article 2…
第二条第二項の規定により有価証券とみなされる権利（当該権利に係る記録又は移転の方法その他の事情を勘案し、公益又は投資者保護のため特に必要なものとして内閣府令で定めるものに限る。）又は当該権利若しくは金融指標（当該権利の価格及び利率等並びにこれらに基づいて算出した数値に限る。）に係るデリバティブ取引についての次に掲げる…
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 a Change)
If a financial instruments business operator seeks to change the particular set forth in Article 29-2, paragraph (1), items (v) through (vi), item (vii), (b), item (viii), or item (ix)…
金融商品取引業者は、第二十九条の二第一項第五号から第六号まで、第七号ロ、第八号又は第九号に掲げる事項について変更をしようとするときは、内閣府令で定めるところにより、内閣総理大臣の行う変更登録を受けなければならない。
Open this provision(Registration of a Change)
The provisions of Article 29-3 and Article 29-4 apply mutatis mutandis to the registration of a change referred to in the preceding paragraph.
第二十九条の三及び第二十九条の四の規定は、前項の変更登録について準用する。この場合において、第二十九条の三第一項中「次に掲げる事項」とあるのは「変更に係る事項」と、第二十九条の四第一項中「次の各号」とあるのは「次の各号（第一号イからニまで、第二号及び第三号ロを除く。）」と読み替えるものとするほか、必要な技術的読替えは…
Open this provisionderivatives transactions
「デリバティブ取引」
A market derivatives transaction (市場デリバティブ取引), an over-the-counter derivatives transaction (店頭デリバティブ取引) or a foreign market derivatives transaction (外国市場デリバティブ取引).
Defined inArticle 2, paragraph (20)· applies throughout the law
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
In the supplementary provisions (附則) of Act No. 79 of 2023, this Act as amended by Article 1 of that Act, leaving out the amendments listed in the items of Article 1 of those supplementary provisions.
Short name set inSupplementary Provisions, Article 5, paragraph (1)
the effective datemachine translation
「施行日」
The date Act No. 79 of 2023, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 5, paragraph (1)
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. 79 of 2023 amended it.
Short name set inSupplementary Provisions, Article 5, paragraph (1)
financial instruments business operator
「金融商品取引業者」
In Article 6, paragraphs (1) and (3) and Article 8 of the supplementary provisions (附則) of Act No. 79 of 2023, a person registered by the Prime Minister under Article 29 of this Act as amended by that Act (Article 2, paragraph (9)).
Defined inSupplementary Provisions, Article 6, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 6, paragraph (3); and Supplementary Provisions, Article 8