①A person that may engage in the new financial instruments business pursuant to the provisions of paragraph (1) of the preceding Article must notify the Prime Minister, within one month from the effective date, of its trade name, name or personal name, and address, and the matters set forth in Article 29-2, paragraph (1), items (v), (vi) and (viii) of the New Financial Instruments and Exchange Act.

②If a person that may engage in the new financial instruments business pursuant to the provisions of paragraph (1) of the preceding Article fails to file the notification under the provisions of the preceding paragraph or files a false notification, the provisions of paragraph (1) of that Article do not apply to that person on or after the day on which the period prescribed in the preceding paragraph has elapsed.

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.

①The provisions of Article 37-4 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (limited to the amending provisions set forth in Article 1, item (iv) of the Supplementary Provisions; hereinafter the same applies in this paragraph) (hereinafter referred to as the "item (iv) New Financial Instruments and Exchange Act") (including as applied mutatis mutandis with the terms replaced pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act (Act No. 200 of 1948), Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act (Act No. 181 of 1949) and Article 62-17, paragraph (1) of the Payment Services Act (Act No. 59 of 2009)) apply to the case where, on or after the date of enforcement of the provisions set forth in that item (hereinafter referred to as the "item (iv) effective date"), the time arrives at which a financial instruments transaction contract under Article 37-4 of the item (iv) New Financial Instruments and Exchange Act is concluded or any other time specified by Cabinet Office Order (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, the time at which a specified mutual aid contract under that Article is concluded or any other time specified by Order of the Ministry of Health, Labour and Welfare; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act, the time at which a specified mutual aid contract under that Article is concluded or any other time specified by order of the competent ministry; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4 of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, the time at which a specified electronic payment instruments, etc. transaction contract under that Article is concluded or any other time specified by Cabinet Office Order), and with respect to the case where, before the item (iv) effective date, the time has arrived at which a financial instruments transaction contract under Article 37-4, paragraph (1) of the Financial Instruments and Exchange Act before amendment by the provisions of Article 1 (hereinafter referred to as the "item (iv) Old Financial Instruments and Exchange Act") (including as applied mutatis mutandis with the terms replaced pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act and Article 62-17, paragraph (1) of the Payment Services Act) was concluded or any other time specified by Cabinet Office Order (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 12-3, paragraph (2) of the Consumer Cooperatives Act, the time at which a specified mutual aid contract under that paragraph was concluded or any other time specified by Order of the Ministry of Health, Labour and Welfare; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 9-7-5, paragraph (2) of the Small and Medium-Sized Enterprise Cooperatives Act, the time at which a specified mutual aid contract under that paragraph was concluded or any other time specified by order of the competent ministry; in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-4, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, the time at which a specified electronic payment instruments, etc. transaction contract under that paragraph was concluded or any other time specified by Cabinet Office Order), the provisions then in force continue to govern.

②The provisions of Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act (including as applied mutatis mutandis with the terms replaced pursuant to Article 62-17, paragraph (1) of the Payment Services Act) apply to the cancellation of a financial instruments transaction contract prescribed in Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act that is concluded on or after the item (iv) effective date (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-6, paragraph (1) of the item (iv) New Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, a specified electronic payment instruments, etc. transaction contract prescribed in that paragraph), and with respect to the cancellation of a financial instruments transaction contract prescribed in Article 37-6, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act (including as applied mutatis mutandis with the terms replaced pursuant to Article 62-17, paragraph (1) of the Payment Services Act) that was concluded before the item (iv) effective date (in the case of applying mutatis mutandis with the terms replaced the provisions of Article 37-6, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pursuant to Article 62-17, paragraph (1) of the Payment Services Act, a specified electronic payment instruments, etc. transaction contract prescribed in that paragraph), the provisions then in force continue to govern.

③The provisions of Article 40-2, paragraph (5) of the item (iv) New Financial Instruments and Exchange Act apply to the case where a customer requests, on or after the item (iv) effective date, the provision of the information under that paragraph pertaining to transactions of securities, etc. (meaning transactions of securities, etc. prescribed in paragraph (1) of that Article), and with respect to the case where a customer requested, before the item (iv) effective date, the delivery of the document under Article 40-2, paragraph (5) of the item (iv) Old Financial Instruments and Exchange Act pertaining to transactions of securities, etc. (meaning transactions of securities, etc. prescribed in Article 40-2, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act), the provisions then in force continue to govern.

④The provisions of Article 42-7 of the item (iv) New Financial Instruments and Exchange Act apply to the provision of the information pertaining to a covered period ending on or after the item (iv) effective date (meaning the period that is the subject of the provision of information on the status of management of the investment property under paragraph (1) of that Article and other matters specified by Cabinet Office Order, which is provided pursuant to the provisions of that paragraph), and with respect to the preparation and delivery of the investment management report under Article 42-7, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act pertaining to a covered period ending before the item (iv) effective date (meaning the period that is the subject of the preparation of the investment management report prepared pursuant to the provisions of Article 42-7, paragraph (1) of the item (iv) Old Financial Instruments and Exchange Act), the provisions then in force continue to govern.

①The Prime Minister is to delegate the authority under Article 7, paragraph (1) of the Supplementary Provisions to the Commissioner of the Financial Services Agency.

②The Commissioner of the Financial Services Agency may delegate the authority delegated pursuant to the provisions of the preceding paragraph 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.

The provisions then in force continue to govern the application of penal provisions to conduct engaged in before this Act (or, for the provisions set forth in Article 1, items (iii) and (iv) of the Supplementary Provisions, those provisions; the same applies hereinafter in this Article and the following Article) comes into effect and to conduct engaged in after this Act comes into effect in the cases in which the provisions then in force continue to govern pursuant to the provisions of these Supplementary Provisions.

Beyond what is provided for in these Supplementary Provisions, transitional measures necessary for the enforcement of this Act (including transitional measures concerning penal provisions) are specified by Cabinet Order.

The government is to, with a target of five years after this Act comes into effect, taking into account the status, etc. of the enforcement of the respective Acts as amended by this Act (hereinafter referred to in this Article as "the respective Acts as amended"), when it finds it necessary, review the provisions of the respective Acts as amended, and take the required measures based on the results of that review.