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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.
委員会
The Personal Information Protection Commission (個人情報保護委員会), set up under Article 49, paragraph (3) of the Act for Establishment of the Cabinet Office.
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.
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.
外国銀行
A person that carries on banking business in a foreign country under foreign laws and regulations, other than a bank, etc. (銀行等) as defined in Article 4, paragraph (5).
Registration of a planned public offering or secondary distribution of securities by filing a shelf registration statement (発行登録書) with the Prime Minister under Article 23-3, paragraph (1); Article 4, paragraphs (1) to (3) do not apply to an offering or distribution so registered.
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.
The general incorporated association or foundation (一般社団法人・一般財団法人) that the Minister of Land, Infrastructure, Transport and Tourism (国土交通大臣) and the Prime Minister (内閣総理大臣) have designated under Article 23-5, paragraph (1) to carry out dispute resolution services (紛争処理業務) for disputes over the payment of insurance or mutual insurance money and damages.
Conduct by a business operator that breaches Article 5 through a representation misleadingly presenting goods or services as markedly better in quality or other content, or markedly more favourable in price or other terms of trade (a breach through a representation under item (iii) of that Article is excluded); Article 8 provides an administrative monetary penalty (課徴金) for it.
特定投資家向け有価証券
Securities whose solicitation for acquisition was one only for professional investors (特定投資家向け取得勧誘), or whose solicitation for selling, etc. was one only for professional investors; securities of the same kind from the same issuer as a Cabinet Office Order (内閣府令) sets, and specified listed securities (特定上場有価証券) and securities a Cabinet Order (政令) specifies as circulating similarly — other than securities under any item of Article 24, paragraph (1) and securities a Cabinet Order specifies as unlikely to be held by many professional investors.
The document an issuer files with the Prime Minister under Article 23-3, paragraph (1) to register a planned public offering or secondary distribution of securities, stating the planned issuance period (発行予定期間), the class of the securities, the planned amount of issuance (発行予定額) or the maximum outstanding balance, the main underwriters it plans to use and other particulars a Cabinet Office Order (内閣府令) specifies.
発行登録追補書類
The document stating the total issue or distribution value, the terms of issue or distribution and other particulars a Cabinet Office Order (内閣府令) specifies, for each public offering or secondary distribution of securities registered by a shelf registration (発行登録), which Article 23-8, paragraph (1) generally requires to be filed with the Prime Minister before the securities are sold in it.
保有基準割合
In Chapter 5, 20 percent of the voting rights of all shareholders of an incorporated financial instruments exchange (株式会社金融商品取引所), or 15 percent where a fact a Cabinet Office Order (内閣府令) specifies suggests material influence over its financial and business policies.
In Chapter IV, short for certified financial instruments business association (認定金融商品取引業協会): a general incorporated association (一般社団法人) set up by financial instruments business operators that the Prime Minister has certified under Article 78, paragraph (1).
内部統制報告書
A report, which companies a Cabinet Order (政令) specifies (such as issuers of the securities in Article 24, paragraph (1), item (i)) among those required to submit annual securities reports (有価証券報告書) must submit to the Prime Minister with that report each business year, evaluating, as a Cabinet Office Order (内閣府令) specifies, their system for ensuring that the financial documents and other information of the company and its corporate group (企業集団) are proper.
外国銀行代理業務
The services in Article 10, paragraph (2), item (viii)-2: acting as agent or intermediary for a foreign bank's business, in the cases a Cabinet Office Order (内閣府令) specifies; a bank needs the Prime Minister's authorization in advance for each foreign bank it contracts with.
A special financial instruments business operator (特別金融商品取引業者) whose parent company the Prime Minister has designated under Article 57-12, paragraph (1) as subject to the rules for designated parent companies.
In Article 3-2, paragraph (1), a company or other corporation, including an organization without legal personality (法人でない団体) that a Cabinet Office Order (内閣府令) treats as equivalent to a corporation, as item (i) of that paragraph describes.
報告書提出外国会社
A foreign company required to submit an annual securities report (有価証券報告書) under Article 24, paragraph (1), including one that has submitted one under Article 23-3, paragraph (4).
Basic information on securities and their issuer that a Cabinet Office Order (内閣府令) specifies as what investors should be told, and that the issuer must provide to the persons solicited, or publish, before a specified solicitation, etc. (特定勧誘等) — such as a solicitation for acquisition only for professional investors (特定投資家) — may be made.