If any of the following items applies, the person who has committed the violation is subject to imprisonment for not more than six months or a fine of not more than five hundred thousand yen, or both:
次の各号のいずれかに該当する場合には、当該違反行為をした者は、六月以下の拘禁刑若しくは五十万円以下の罰金に処し、又はこれを併科する。
a person fails to submit the written notice under the provisions of Article 5, paragraph (1) or the accompanying documents under the provisions of paragraph (2) of that Article or submits a false written notice or accompanying documents;
a person made false statements in the written application for registration under the provisions of Article 8, paragraph (1) or the accompanying documents under the provisions of paragraph (2) of that Article, the written application for registration under the provisions of Article 38, paragraph (1) (including as applied mutatis mutandis pursuant to Article 41, paragraph (2)) or the accompanying documents under the provisions of Article 38, paragraph (2) (including as applied mutatis mutandis pursuant to Article 41, paragraph (2)), the written application for registration under the provisions of Article 62-4, paragraph (1) (including as applied mutatis mutandis pursuant to Article 62-7, paragraph (2)) or the accompanying documents under the provisions of Article 62-4, paragraph (2) (including as applied mutatis mutandis pursuant to Article 62-7, paragraph (2)), the written application for registration under the provisions of Article 63-3, paragraph (1) or the accompanying documents under the provisions of paragraph (2) of that Article, or the written application for registration under the provisions of Article 63-22-3, paragraph (1) (including as applied mutatis mutandis pursuant to Article 63-22-6, paragraph (2)) or the accompanying documents under the provisions of Article 63-22-3, paragraph (2) (including as applied mutatis mutandis pursuant to Article 63-22-6, paragraph (2)), and submits those;
第八条第一項の規定による登録申請書若しくは同条第二項の規定による添付書類、第三十八条第一項（第四十一条第二項において準用する場合を含む。）の規定による登録申請書若しくは第三十八条第二項（第四十一条第二項において準用する場合を含む。）の規定による添付書類、第六十二条の四第一項（第六十二条の七第二項において準用する場合を含む。）の規定による登録申請書若しくは第六十二条の四第二項（第六十二条の七第二項において準用する場合を含む。）の規定による添付書類、第六十三条の三第一項の規定による登録申請書若しくは同条第二項の規定による添付書類又は第六十三条の二十二の三第一項（第六十三条の二十二の六第二項において準用する場合を含む。）の規定による登録申請書若しくは第六十三条の二十二の三第二項（第六十三条の二十二の六第二項において準用する場合を含む。）の規定による添付書類に虚偽の記載をして提出したとき。
a person, in violation of Article 14, paragraph (1) or (2), fails to make a deposit;
a person, in violation of an order under the provisions of Article 17, fails to make a deposit;
第十七条の規定による命令に違反して、供託を行わなかったとき。
a person fails to prepare or maintain the books and documents under the provisions of Article 22, or prepares false books or documents;
第二十二条の規定による帳簿書類の作成若しくは保存をせず、又は虚偽の帳簿書類の作成をしたとき。
a person fails to submit the written reports under the provisions of Article 23, paragraph (1) or the accompanying documents under the provisions of paragraph (2) of that Article or submits false written reports or accompanying documents;
a person fails to submit reports or materials under the provisions of Article 24, paragraph (1) or (2), or submits false reports or materials;
a person fails to answer or gives a false answer to the questions asked by the officials under the provisions of Article 24, paragraph (1) or (2), or refuses, prevents or evades the inspection under these provisions;
a person fails to indicate the particulars prescribed in Article 37, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis or makes a false indication;
準用金融商品取引法第三十七条第一項に規定する事項を表示せず、又は虚偽の表示をしたとき。
a person violates the provisions of Article 37, paragraph (2) of the Financial Instruments and Exchange Act as applied mutatis mutandis;
準用金融商品取引法第三十七条第二項の規定に違反したとき。
a person, in violation of the provisions of Article 37-3, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis, fails to provide information under the provisions of that paragraph, or provides false information;
準用金融商品取引法第三十七条の三第一項の規定に違反して、同項の規定による情報の提供をせず、又は虚偽の情報の提供をしたとき。
a person, in violation of the provisions of Article 37-4 of the Financial Instruments and Exchange Act as applied mutatis mutandis, fails to provide information under the provisions of that Article, or provides false information;
準用金融商品取引法第三十七条の四の規定に違反して、同条の規定による情報の提供をせず、又は虚偽の情報の提供をしたとき。
a person fails to indicate the particulars prescribed in Article 63-9-2 (including as applied mutatis mutandis pursuant to Article 63-22-15, paragraph (2));
第六十三条の九の二（第六十三条の二十二の十五第二項において準用する場合を含む。）に規定する事項を表示しなかったとき。
a person violates the provisions of Article 63-9-3 (including as applied mutatis mutandis pursuant to Article 63-22-15, paragraph (2); the same applies hereinafter in this item) and commits an act set forth in item (ii) or (iii) of Article 63-9-3;
第六十三条の九の三（第六十三条の二十二の十五第二項において準用する場合を含む。以下この号において同じ。）の規定に違反して、第六十三条の九の三第二号又は第三号に掲げる行為をしたとき。
a person fails to submit reports or materials under the provisions of Article 95, or submits false reports or materials; or
第九十五条の規定による報告若しくは資料の提出をせず、又は虚偽の報告若しくは資料の提出をしたとき。
a person fails to answer or gives a false answer to the questions asked by the officials under the provisions of Article 95, or refuses, prevents or evades the inspection under the provisions of that Article.