Every term this law . Its definitions bind only this law — each entry says where the definition applies and links to the sentence that settles it. 1194 terms: 601 with the Ministry of Justice's English, 593 in our translation, marked as such.
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.
次に掲げるもの
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
第二十九条の規定により内閣総理大臣の登録を受けた者
役員
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
取締役、会計参与、監査役若しくは執行役又はこれらに準ずる者
This Act as amended by Article 3 of Act No. 65 of 2006.
発行者
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
有価証券を発行し、又は発行しようとする者（内閣府令で定める有価証券については、内閣府令で定める者）
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
金融商品取引業者又は登録金融機関
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
第八十条第一項の規定により内閣総理大臣の免許を受けて金融商品市場を開設する金融商品会員制法人又は株式会社
This Act as it stood before Article 3 of Act No. 65 of 2006 amended it.
The date Act No. 65 of 2006, the amending Act these supplementary provisions (附則) belong to, comes into effect.
基金
An investor protection fund (投資者保護基金): a body that protects investors by making payments to general customers under Article 79-56, paragraph (1) and carrying on its other business, so as to maintain confidence in securities transactions and commodity-related market derivatives transactions.
市場デリバティブ取引
A transaction listed in Article 2, paragraph (21) — such as futures, index and option transactions on financial instruments or financial indicators — carried out on a financial instruments market under the standards and methods set by the person that operates that market.
金融商品市場において、金融商品市場を開設する者の定める基準及び方法に従い行う次に掲げる取引
A financial instruments market (金融商品市場) opened by a financial instruments exchange (金融商品取引所).
金融商品取引所の開設する金融商品市場
株式会社金融商品取引所
A stock company that operates a financial instruments exchange market.
A record made in electronic, magnetic or any other form people cannot perceive directly, for use in computer processing.
電子的方式、磁気的方式その他人の知覚によつては認識することができない方式で作られる記録であつて、電子計算機による情報処理の用に供されるもの
This Act as amended by Article 1 of Act No. 107 of 1998.
Carrying on as a business any of the acts listed in Article 2, paragraph (8) — such as trading and brokering securities and derivatives, underwriting, handling public offerings and private placements, giving investment advice, managing investments and holding customers' money or securities — other than acts a Cabinet Order (政令) excludes as posing no risk to investor protection, and certain of those acts when banks, cooperative financial institutions (協同組織金融機関) and other financial institutions a Cabinet Order specifies carry them out.
次に掲げる行為（その内容等を勘案し、投資者の保護のため支障を生ずることがないと認められるものとして政令で定めるもの及び銀行、優先出資法第二条第一項に規定する協同組織金融機関（以下「協同組織金融機関」という。）その他政令で定める金融機関が行う第十二号、第十四号、第十五号又は第二十八条第八項各号に掲げるものを除く。）のいずれかを業として行うこと
From Article 29-4, paragraph (2) on, the voting rights of all the shareholders, partners, members, cooperative members or contributors of an entity (総株主等の議決権); for a stock company, not counting votes on shares that cannot be voted on any matter a shareholders' meeting may resolve, and counting votes on shares deemed to carry voting rights under Article 879, paragraph (3) of the Companies Act.
総株主、総社員、総会員、総組合員又は総出資者の議決権をいい、株式会社にあつては、株主総会において決議をすることができる事項の全部につき議決権を行使することができない株式についての議決権を除き、会社法第八百七十九条第三項の規定により議決権を有するものとみなされる株式についての議決権を含む
A person registered by the Prime Minister under Article 66 to carry on financial instruments intermediary service (金融商品仲介業).
第六十六条の規定により内閣総理大臣の登録を受けた者
A membership-based association established under Subsection 1 of Section 2 of Chapter V for the purpose of opening a financial instruments market (金融商品市場).
金融商品市場の開設を目的として第五章第二節第一款の規定に基づいて設立された会員組織の社団
In Chapter IV, short for authorized financial instruments firms association (認可金融商品取引業協会): an association established under Subsection 1 of Section 1 of that Chapter, whose purpose is to make the trading of securities and derivatives transactions, etc. fair and smooth and to contribute to the sound development of financial instruments business and to investor protection.
A person carrying on financial instruments obligation assumption service (金融商品債務引受業) under a licence from the Prime Minister under Article 156-2 or an approval under Article 156-19, paragraph (1).
第百五十六条の二又は第百五十六条の十九第一項の規定により内閣総理大臣の免許又は承認を受けて金融商品債務引受業を行う者
This Act as it stood before Article 1 of Act No. 107 of 1998 amended it.
A financial instruments membership corporation (金融商品会員制法人) that operates a financial instruments exchange market (取引所金融商品市場).
The date Act No. 107 of 1998, the amending Act these supplementary provisions (附則) belong to, comes into effect.
A bank, cooperative financial institution (協同組織金融機関) or other financial institution a Cabinet Order (政令) specifies that is registered under Article 33-2.
第三十三条の二の登録を受けた銀行、協同組織金融機関その他政令で定める金融機関
有価証券報告書
An annual securities report: the report that a company issuing securities listed on a financial instruments exchange, or otherwise falling under Article 24, paragraph (1), must submit to the Prime Minister for each business year, setting out its trade name, the state of its corporate group and its accounts, and other important matters about its business, within three months after the year ends for a domestic company.
上場会社等
In Articles 163 to 166 and Article 167-2, paragraph (1), the issuer of securities a Cabinet Order (政令) specifies, such as the securities in Article 2, paragraph (1), items (v), (vii), (ix) and (xi) (other than those a Cabinet Order excludes) that are listed on a financial instruments exchange (金融商品取引所), are over-the-counter traded securities (店頭売買有価証券) or are tradable securities (取扱有価証券).
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.
新たに発行される有価証券の取得の申込みの勧誘（これに類するものとして内閣府令で定めるもの（次項において「取得勧誘類似行為」という。）を含む。以下「取得勧誘」という。）のうち、当該取得勧誘が第一項各号に掲げる有価証券又は前項の規定により有価証券とみなされる有価証券表示権利、特定電子記録債権若しくは同項各号に掲げる権利（電子情報処理組織を用いて移転することができる財産的価値（電子機器その他の物に電子的方法により記録されるものに限る。）に表示される場合（流通性その他の事情を勘案して内閣府令で定める場合を除く。）に限る。以下「電子記録移転権利」という。）（次項及び第六項、第二条の三第四項及び第五項並びに第二十三条の十三第四項において「第一項有価証券」という。）に係るものである場合にあつては第一号及び第二号に掲げる場合、当該取得勧誘が前項の規定により有価証券とみなされる同項各号に掲げる権利（電子記録移転権利を除く。次項、第二条の三第四項及び第五項並びに第二十三条の十三第四項において「第二項有価証券」という。）に係るものである場合にあつては第三号に掲げる場合に該当するもの
Investment management business as defined in Article 28, paragraph (4): the part of financial instruments business (金融商品取引業) that consists in carrying on as a business the acts in Article 2, paragraph (8), items (xii), (xiv) and (xv) — managing money or other property, on investment decisions (投資判断) based on an analysis of the value, etc. of financial instruments, as an investment in securities or in rights under derivatives transactions, whether under a discretionary investment contract (投資一任契約) or an asset management contract with a registered investment corporation (登録投資法人), or for the holders of the rights items (xiv) and (xv) list who contributed it — including where a bank, a cooperative financial institution or another financial institution a Cabinet Order (政令) specifies carries them on.
金融商品取引業のうち、次に掲げる行為のいずれかを業として行うこと
In Chapter V, a corporation incorporated under Subsection 1-2 of Section 2 of that Chapter to carry on self-regulatory business (自主規制業務), to which a financial instruments exchange may, with the Prime Minister's authorization, entrust that business.
自主規制業務（前条第二項に規定する自主規制業務をいう。以下この章において同じ。）を行うことを目的として、次節第一款の二の規定に基づいて設立された法人
A stock company that has as its subsidiary company (子会社) a stock company opening a financial instruments exchange market (株式会社金融商品取引所), and that was incorporated with, or has received, the Prime Minister's authorization under Article 106-10, paragraph (1) or the proviso to paragraph (3) of that Article.
取引所金融商品市場を開設する株式会社（以下「株式会社金融商品取引所」という。）を子会社（第八十七条の三第三項に規定する子会社をいう。）とする株式会社であつて、第百六条の十第一項の規定により内閣総理大臣の認可を受けて設立され、又は同項若しくは同条第三項ただし書の規定により内閣総理大臣の認可を受けているもの
A person the Prime Minister has designated, on its application, under Article 156-39, paragraph (1) to carry on dispute resolution services, etc. (紛争解決等業務), having found that it meets the requirements listed there.
次条第一項の規定による指定を受けた者
第一種金融商品取引業
The part of financial instruments business (金融商品取引業) that consists of carrying on, as a business, any of the acts listed in Article 28, paragraph (1), such as dealing in securities (other than most rights treated as securities) and brokerage for them, over-the-counter derivatives transactions, the underwriting of securities, and trading securities through an electronic system as Article 2, paragraph (8), item (x) describes.
金融商品取引業のうち、次に掲げる行為のいずれかを業として行うこと
オプション
A right under a transaction listed in Article 2, paragraph (21), item (iii) made on a financial instruments market (金融商品市場) under the standards and methods of its operator, a right under a similar transaction on a foreign financial instruments market (外国金融商品市場) (other than one involving commodities or indices based on their prices), or a right under a transaction listed in Article 2, paragraph (22), item (iii) or (iv) made off those markets.
In Chapter V-5, procedures for resolving, without a lawsuit, a dispute relating to financial instruments business, etc. services (金融商品取引業等業務) that the parties are able to settle.
金融商品取引業等業務関連紛争（金融商品取引業等業務に関する紛争で当事者が和解をすることができるものをいう。第百五十六条の四十四、第百五十六条の四十五及び第百五十六条の五十から第百五十六条の五十二までにおいて同じ。）について訴訟手続によらずに解決を図る手続
An association established under Subsection 1 of Section 1 of Chapter IV, whose purpose is to make the trading of securities and derivatives transactions, etc. fair and smooth and to contribute to the sound development of financial instruments business and to investor protection (Article 67).
第四章第一節第一款の規定に基づいて設立された者
A subsidiary company (子会社) as defined in Article 87-3, paragraph (3): a company in which a corporation holds a majority of the voting rights of all its shareholders, etc., including one in which the corporation and its subsidiary companies, or those subsidiary companies alone, hold such a majority.
第八十七条の三第三項に規定する子会社
In the chapter on shareholders of incorporated financial instruments exchanges, voting rights in an incorporated financial instruments exchange (株式会社金融商品取引所), including those of shares that cannot be asserted against the issuer under Article 147, paragraph (1) or Article 148, paragraph (1) of the Act on Book-Entry Transfer of Corporate Bonds and Shares, and excluding those a Cabinet Office Order (内閣府令) excludes in view of how they are acquired or held.
A person registered with the Prime Minister under Article 66-71 to carry on investment management-related services contracting business (投資運用関係業務受託業).
第六十六条の七十一の規定により内閣総理大臣の登録を受けた者
公開買付け
In Section 1 of Chapter 2-2, a tender offer as defined in Article 27-2, paragraph (1) that a person must make under the main clause of that paragraph: a tender offer by someone other than the issuer of the share certificates, etc. (株券等).
In Article 175-2, paragraph (4), item (ii), a purchase of share certificates, etc.; a transaction under Article 2, paragraph (21), item (ii) in which one is the party that receives money if the actual figure exceeds the agreed figure; a transaction under item (iii) of that paragraph in which one is the party that acquires the option; and other transactions a Cabinet Order (政令) specifies.
株券等の買付け、第二条第二十一項第二号に掲げる取引（現実数値が約定数値を上回つた場合に金銭を受領する立場の当事者となるものに限る。）、同項第三号に掲げる取引（オプションを取得する立場の当事者となるものに限る。）その他の政令で定める取引
Securities registered under Article 67-11, paragraph (1) by an authorized financial instruments firms association (認可金融商品取引業協会) for trading on the over-the-counter securities market it opens.
Carrying on as a business taking on, by assumption, novation or other means, the obligations under subject transactions (対象取引) of financial instruments business operators, registered financial institutions or securities finance companies, with them as counterparties; subject transactions are purchases and sales of securities and derivatives transactions, other than those a Cabinet Order (政令) excludes, and transactions incidental or related to them that a Cabinet Order specifies.
金融商品取引業者、登録金融機関又は証券金融会社（以下この項において「金融商品債務引受業対象業者」という。）を相手方として、金融商品債務引受業対象業者が行う対象取引（有価証券の売買若しくはデリバティブ取引（取引の状況及び我が国の資本市場に与える影響その他の事情を勘案し、公益又は投資者保護のため支障を生ずることがないと認められるものとして政令で定める取引を除く。）又はこれらに付随し、若しくは関連する取引として政令で定める取引をいう。）に基づく債務を、引受け、更改その他の方法により負担することを業として行うこと
公開買付届出書
In Section 1 of Chapter 2-2, Article 197, paragraph (1), item (iii) and Article 197-2, paragraph (1), item (v), the statement, with the attachments a Cabinet Office Order (内閣府令) specifies, that a tender offeror (公開買付者) must submit to the Prime Minister on the day of its public notice of the commencement of a tender offer, stating the purchase price, the number of share certificates, etc. it plans to buy, the purchase period and its other terms, any contract to buy them outside the tender offer, and the other matters Article 27-3, paragraph (2) lists.
The report a large-volume holder (大量保有者) of share certificates, etc. (株券等) must submit to the Prime Minister on its holding ratio, the source of its acquisition funds, its purpose in holding them and other particulars a Cabinet Office Order (内閣府令) specifies.
信用格付業者
A person registered with the Prime Minister under Article 66-27 to carry on credit rating services (信用格付業).
第六十六条の二十七の規定により内閣総理大臣の登録を受けた者
高速取引行為
Buying and selling securities or conducting market derivatives transactions, entrusting either to another, or a similar act a Cabinet Order (政令) specifies, where the decision to do it is made automatically by an electronic data processing system and the information needed to carry it out is sent to a financial instruments exchange or other recipient a Cabinet Office Order (内閣府令) specifies by a method that Order sets for shortening the time sending it would normally take, other than acts a Cabinet Order exempts as posing no risk to the protection of investors.
次に掲げる行為であつて、当該行為を行うことについての判断が電子情報処理組織により自動的に行われ、かつ、当該判断に基づく当該有価証券の売買又は市場デリバティブ取引を行うために必要な情報の金融商品取引所その他の内閣府令で定める者に対する伝達が、情報通信の技術を利用する方法であつて、当該伝達に通常要する時間を短縮するための方法として内閣府令で定める方法を用いて行われるもの（その内容等を勘案し、投資者の保護のため支障を生ずることがないと認められるものとして政令で定めるものを除く。）
取引情報蓄積機関
A person designated under Article 156-67, paragraph (1) to carry on trade repository business (取引情報蓄積業務).
第百五十六条の六十七第一項の規定による指定を受けた者
公開買付者
In Section 1 of Chapter 2-2, a person that has given public notice of the commencement of a tender offer (公開買付開始公告) under Article 27-3, paragraph (1): a tender offer by someone other than the issuer of the share certificates, etc. (株券等).
The work of complaint processing procedures (苦情処理手続) and dispute resolution procedures (紛争解決手続), and work incidental to it.
苦情処理手続及び紛争解決手続に係る業務並びにこれに付随する業務
目論見書
A document setting out an explanation of the issuer's business and other matters, for a public offering or secondary distribution of securities, or for a general solicitation of securities acquired by qualified institutional investors (適格機関投資家取得有価証券一般勧誘) under Article 4, paragraph (2) or of securities acquired by professional investors, etc. (特定投資家等取得有価証券一般勧誘) under Article 4, paragraph (3) that is not a secondary distribution, which is delivered to the other party, or delivered when the other party asks for it.
有価証券の募集若しくは売出し、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（有価証券の売出しに該当するものを除く。）又は同条第三項に規定する特定投資家等取得有価証券一般勧誘（有価証券の売出しに該当するものを除く。）のために当該有価証券の発行者の事業その他の事項に関する説明を記載する文書であつて、相手方に交付し、又は相手方からの交付の請求があつた場合に交付するもの
A person licensed by the Prime Minister under Article 156-24 to lend members, etc. of a financial instruments exchange, or members of an authorized financial instruments firms association (認可金融商品取引業協会), the money or securities needed to settle margin transactions (信用取引) and other transactions a Cabinet Order (政令) specifies, through the settlement system of the exchange market or over-the-counter securities market concerned.
第百五十六条の二十四の規定により内閣総理大臣の免許を受けた者
An officer or employee of a financial instruments business operator, etc. who, whatever their title, carries out for it the acts listed in Article 64, paragraph (1), such as soliciting purchases and sales of securities or derivatives transactions; each must be registered in the register of sales representatives.
商品関連市場デリバティブ取引
A market derivatives transaction (市場デリバティブ取引) on the commodities listed in Article 2, paragraph (24), item (iii)-3, or on financial indicators limited to their prices and figures calculated from them.
A contract under which a financial instruments business operator, etc. (金融商品取引業者等) carries out financial instruments transactions (金融商品取引行為) — the acts listed in the items of Article 2, paragraph (8) — with a customer as the other party or on the customer's behalf.
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).
市場デリバティブ取引、店頭デリバティブ取引又は外国市場デリバティブ取引
約定数値
The figure the parties agree in advance as the value of a financial index (金融指標), compared with the actual figure (現実数値) of that index at a set future time to work out the money exchanged in the transaction.
高速取引行為者
A person registered by the Prime Minister (内閣総理大臣) under Article 66-50 to carry on high-speed trading (高速取引行為).
第六十六条の五十の規定により内閣総理大臣の登録を受けた者
現実数値
The actual value of a financial index (金融指標) at a set time in the future, in a transaction in which the parties exchange money worked out from the difference between it and the figure they agreed in advance (約定数値).
Another financial instruments clearing organization (金融商品取引清算機関), a foreign financial instruments clearing organization (外国金融商品取引清算機関), or a corporation established under foreign law that carries on, abroad, business of the same kind as financial instruments obligation assumption service (金融商品債務引受業); with the Prime Minister's authorization, a financial instruments clearing organization may contract with one to carry on collaborating financial instruments obligation assumption services (連携金融商品債務引受業務).
他の金融商品取引清算機関、外国金融商品取引清算機関又は外国の法令に準拠して設立された法人で外国において金融商品債務引受業と同種類の業務を行う者
In this Act, securities (有価証券); deposit claims and other rights, or certificates representing them, that a Cabinet Order (政令) specifies; currencies; cryptoassets, etc. (暗号等資産) as item (iii)-2 of Article 2, paragraph (24) defines them; commodities a Cabinet Order specifies; other assets a Cabinet Order specifies of which many of the same kind exist and whose prices fluctuate widely; and standardized instruments (標準物) that a financial instruments exchange sets to facilitate market derivatives transactions.
次に掲げるもの
金融指標
Prices of financial instruments (金融商品), and interest rates, etc. on financial instruments other than currencies and commodities; figures from weather observations published by the Japan Meteorological Agency (気象庁) or others; indicators that cannot practically be influenced and that greatly affect businesses, or socio-economic statistics, that a Cabinet Order (政令) specifies, with exclusions; and figures calculated from any of these.
次に掲げるもの
A professional investor: a qualified institutional investor (適格機関投資家), the State, the Bank of Japan, or an investor protection fund (投資者保護基金) or other corporation a Cabinet Office Order (内閣府令) specifies.
次に掲げる者
In the division on the entity conversion of a member financial instruments exchange (Chapter V, Section 2, Subsection 1, Division 6), the change, under Article 101, of a member financial instruments exchange (会員金融商品取引所) into an incorporated financial instruments exchange (株式会社金融商品取引所).
The rules a designated dispute resolution organization (指定紛争解決機関) sets for carrying out its dispute resolution services, etc. (紛争解決等業務).
A transaction listed in Article 2, paragraph (22) — such as forward, index, option and swap transactions on financial instruments or financial indicators — carried out outside financial instruments markets and foreign financial instruments markets, other than those a Cabinet Order (政令) excludes as posing no risk to the public interest or the protection of investors.
金融商品市場及び外国金融商品市場によらないで行う次に掲げる取引（その内容等を勘案し、公益又は投資者の保護のため支障を生ずることがないと認められるものとして政令で定めるものを除く。）
Commodities as defined in Article 2, paragraph (1) of the Commodity Derivatives Transaction Act that a Cabinet Order (政令) specifies, having regard to price stabilisation measures and how their prices are formed and their supply and demand, as ones whose proper price formation market derivatives transactions would not harm and in which such transactions on a financial instruments exchange market would benefit the national economy.
商品先物取引法（昭和二十五年法律第二百三十九号）第二条第一項に規定する商品のうち、法令の規定に基づく当該商品の価格の安定に関する措置の有無その他当該商品の価格形成及び需給の状況を勘案し、当該商品に係る市場デリバティブ取引により当該商品の適切な価格形成が阻害されるおそれがなく、かつ、取引所金融商品市場において当該商品に係る市場デリバティブ取引が行われることが国民経済上有益であるものとして政令で定めるもの
変更報告書
The report on the changed particulars that a person required to submit a statement of large-volume holdings (大量保有報告書) must submit to the Prime Minister when, after becoming a large-volume holder (大量保有者), its holding ratio of share certificates, etc. (株券等保有割合) rises or falls by one percentage point or more — other than where the total number of share certificates, etc. it holds is unchanged — or another material change a Cabinet Order (政令) specifies occurs.
A financial instruments business operator engaged in type-I financial instruments business (not a foreign corporation) that has notified the Prime Minister under Article 57-2, paragraph (1) that its total assets exceed the threshold a Cabinet Order (政令) sets, other than one whose total assets have since stayed at or below that threshold for two years.
前項の規定による届出をした金融商品取引業者をいい、当該届出をした後第六項第二号に該当することとなつた者を除く
In Chapter 5-5, a person or firm involved in financial instruments transactions (金融商品取引関係業者) that has concluded a basic contract for the implementation of dispute resolution procedures (手続実施基本契約) with a designated dispute resolution organization (指定紛争解決機関).
手続実施基本契約を締結した相手方である金融商品取引関係業者
委員会職員
An official of the Securities and Exchange Surveillance Commission (証券取引等監視委員会), who may investigate criminal cases (犯則事件) under Article 210 and the articles that follow it.
A secondary distribution of securities: an offer to sell securities already issued, or a solicitation of offers to buy them (other than acts similar to solicitation for acquisition and acts a Cabinet Office Order (内閣府令) excludes), 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 to hold them — not counting trades on a financial instruments exchange market and other transactions a Cabinet Order specifies.
既に発行された有価証券の売付けの申込み又はその買付けの申込みの勧誘（取得勧誘類似行為に該当するものその他内閣府令で定めるものを除く。以下「売付け勧誘等」という。）のうち、当該売付け勧誘等が第一項有価証券に係るものである場合にあつては第一号及び第二号に掲げる場合、当該売付け勧誘等が第二項有価証券に係るものである場合にあつては第三号に掲げる場合に該当するもの（取引所金融商品市場における有価証券の売買及びこれに準ずる取引その他の政令で定める有価証券の取引に係るものを除く。）
買付け等
In Section 1 of Chapter II-2, on tender offers (公開買付け) for share certificates, etc. by persons other than their issuer, a purchase or other acquisition for value of share certificates, etc. (株券等), meaning share certificates, bond certificates with share options (新株予約権付社債券) and other securities a Cabinet Order (政令) specifies, including acts a Cabinet Order treats as similar.
株券等の買付けその他の有償の譲受けをいい、これに類するものとして政令で定めるものを含む
デリバティブ取引等
In Article 33, the acts its paragraph (3) lists: market derivatives transactions (市場デリバティブ取引) and the intermediation, brokerage or agency in them (or in entrusting them) listed in Article 2, paragraph (8), items (ii) and (iii); over-the-counter derivatives transactions, etc. (店頭デリバティブ取引等); and foreign market derivatives transactions (外国市場デリバティブ取引) together with the same acts in relation to them.
A person that has notified the Prime Minister under Article 63, paragraph (2) that it will carry on specially permitted services for qualified institutional investors, etc. (適格機関投資家等特例業務), other than one that has since given notice under Article 63-2, paragraph (3), item (ii) that it has discontinued them.
第二項の規定による届出をした者をいい、次条第三項第二号に該当する旨の同項の規定による届出をした者を除く
当事者
In the chapter on designated dispute resolution organizations (指定紛争解決機関), a member business operator (加入金融商品取引関係業者) or a customer of one that is a party to the complaint processing or dispute resolution concerned.
A foreign financial instruments clearing organization as defined in Article 2, paragraph (29) of the Financial Instruments and Exchange Act: one that carries on financial instruments obligation assumption business (金融商品債務引受業) under a licence from the Prime Minister under Article 156-20-2 of that Act.
第百五十六条の二十の二の規定により内閣総理大臣の免許を受けて金融商品債務引受業を行う者
A parent company of a special financial instruments business operator (特別金融商品取引業者) that the Prime Minister has designated under Article 57-12, paragraph (1) as subject to the rules of that Subsection, because it carries on the business management of the operator, or it or its subsidiary corporations, etc. give the operator funding support on which its sound operation depends, and designation is especially needed in the public interest or to protect investors.
A foreign securities firm (外国証券業者) that holds the Prime Minister's permission under Article 60, paragraph (1) to carry on on-exchange transaction services (取引所取引業務).
会員等
The members (会員) or trading participants (取引参加者) of a financial instruments exchange (金融商品取引所).
自主規制業務
The business carried on for a financial instruments exchange of listing and delisting financial instruments, financial indices and options (other than business a Cabinet Office Order (内閣府令) excludes), examining whether members, etc. (会員等) comply with laws and regulations, dispositions under them, the articles of incorporation and other rules, and the principle of good faith in trading, and other business a Cabinet Office Order specifies as needed to keep trading on its market fair.
前条第二項に規定する自主規制業務
In the division on the entity conversion of a member financial instruments exchange (Chapter V, Section 2, Subsection 1, Division 6), the stock company that a member financial instruments exchange (会員金融商品取引所) becomes by its entity conversion (組織変更).
In an absorption-type merger (吸収合併) between an incorporated association-operated financial instruments exchange (会員金融商品取引所) and an incorporated financial instruments exchange (株式会社金融商品取引所), the incorporated exchange, which survives the merger.
取引情報蓄積業務
The business of collecting and preserving trade data (取引情報).
取引情報の収集及び保存に関する業務
In Article 167, Article 167-2, paragraph (2), Article 175-2 and Article 197-2, paragraph (1), item (xv), specified share certificates, etc. (特定株券等) — share certificates, corporate bond certificates with share options and other securities a Cabinet Order (政令) specifies, issued by the company whose shares are the subject of a tender offer, etc. — and related share certificates, etc. (関連株券等), such as securities under Article 2, paragraph (1), item (xix) that represent options on them.
Carrying on as a business either of these: managing money contributed by foreign investors, etc. (海外投資家等) who are the only holders of partnership-type rights (Article 2, paragraph (2), items (v) and (vi)) in an investment business — leaving out special purpose companies, silent partnership operators and similar persons with other investors — where that money comes mainly from non-residents; or, in connection with that management, offering or privately placing such rights to those foreign investors, etc. in ways a Cabinet Order (政令) specifies as unlikely to let anyone else acquire them.
次に掲げる行為のいずれかを業として行うこと
This Act as amended by Article 1 of Act No. 65 of 2008.
A person specified by Cabinet Office Order (内閣府令) as having expert knowledge of and experience with investment in securities.
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
Business carried on, on entrustment by a financial instruments business operator (金融商品取引業者) carrying on Type I financial instruments business or investment management business (with some exceptions for small-amount electronic offerings, unlisted securities and qualified investors) or by a registered financial institution (登録金融機関), of any of these acts on its behalf: intermediating purchases and sales of securities; intermediating the entrustment of trades on a financial instruments exchange market or a foreign financial instruments market; handling public offerings, secondary distributions or private placements of securities; and intermediating investment advisory or discretionary investment contracts, subject to an exception for investment management business that paragraph sets.
金融商品取引業者（第二十八条第一項に規定する第一種金融商品取引業（第二十九条の四の二第九項に規定する第一種少額電子募集取扱業務及び第二十九条の四の四第八項に規定する非上場有価証券特例仲介等業務を除く。）又は第二十八条第四項に規定する投資運用業（第二十九条の五第一項に規定する適格投資家向け投資運用業を除く。）を行う者に限る。）又は登録金融機関（第三十三条の二の登録を受けた銀行、協同組織金融機関その他政令で定める金融機関をいう。以下同じ。）の委託を受けて、次に掲げる行為（第二十八条第四項に規定する投資運用業を行う者が行う第四号に掲げる行為を除く。）のいずれかを当該金融商品取引業者又は登録金融機関のために行う業務
In Section 1 of Chapter 4, a member of an authorized association (認可協会).
認可協会の会員
店頭売買有価証券市場
The market an authorized financial instruments firms association (認可金融商品取引業協会) may open for purchases and sales of over-the-counter traded securities (店頭売買有価証券) that its members make on their own account or as intermediary, broker or agent.
A merger of one financial instruments exchange (金融商品取引所) with another in which the exchange that survives takes over all the rights and obligations of the exchange that ceases to exist.
金融商品取引所が他の金融商品取引所とする合併であつて、合併により消滅する金融商品取引所（以下この款において「吸収合併消滅金融商品取引所」という。）の権利義務の全部を合併後存続する金融商品取引所（以下この款において「吸収合併存続金融商品取引所」という。）に承継させるもの
特定有価証券等
In Articles 163 to 166, Article 167-2, paragraph (1), Article 175-2 and Article 197-2, paragraph (1), item (xiv), the regulated securities (特定有価証券) of a listed company, etc. (上場会社等) together with related securities (関連有価証券): securities set out in Article 2, paragraph (1), item (xix) that represent options on those regulated securities, and other securities a Cabinet Order (政令) specifies.
The business a registered financial institution (登録金融機関) carries on under its registration under Article 33-2.
前条の登録に係る業務
Specially permitted services for qualified institutional investors, etc.: carrying on as a business any of the acts listed in Article 63, paragraph (1): privately placing rights in collective investment schemes (Article 2, paragraph (2), item (v) or (vi)) with qualified institutional investors, etc. (適格機関投資家等), or investing money contributed by them, within the limits that paragraph sets; a person other than a financial instruments business operator, etc. may do so after notifying the Prime Minister.
前項各号に掲げる行為のいずれかを業として行うこと
新設合併消滅株式会社金融商品取引所
In Subsection 2 (mergers) of Section 4 of Chapter V, an incorporated financial instruments exchange (株式会社金融商品取引所) that ceases to exist in a consolidation-type merger (新設合併).
A securities registration statement: the statement filed under Article 5, paragraph (1) (including as applied under paragraph (5) of that Article) for a public offering or secondary distribution of securities, the documents attached to it under paragraph (13) of that Article, and any amended statement filed under Article 7, paragraph (1), Article 9, paragraph (1) or Article 10, paragraph (1).
第五条第一項（同条第五項において準用する場合を含む。以下同じ。）の規定による届出書及び同条第十三項の規定によりこれに添付する書類並びに第七条第一項、第九条第一項又は第十条第一項の規定による訂正届出書
Carrying on, as a business, the assignment of credit ratings (信用格付) and providing them or making them available for inspection, other than acts a Cabinet Office Order (内閣府令) specifies as posing little risk to investor protection given whom they are made to or how.
信用格付を付与し、かつ、提供し又は閲覧に供する行為（行為の相手方の範囲その他行為の態様に照らして投資者の保護に欠けるおそれが少ないと認められるものとして内閣府令で定めるものを除く。）を業として行うこと
A person that has notified the Prime Minister under Article 63-9, paragraph (1) that it will carry on specially permitted services for foreign investors, etc. (海外投資家等特例業務), other than one that has since given notice under Article 63-10, paragraph (3), item (ii) that it has discontinued them.
第一項の規定による届出をした者をいい、次条第三項第二号に該当する旨の同項の規定による届出をした者を除く
吸収合併消滅会員金融商品取引所
The incorporated association-operated financial instruments exchange (会員金融商品取引所) that ceases to exist in an absorption-type merger (吸収合併) with another financial instruments exchange.