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In the section on tender offers by persons other than the issuer and in Article 27-30-11, paragraph (4), the issuer of the share certificates, etc. (株券等) subject to a tender offer (公開買付け).
An amended shelf registration statement submitted under Article 23-4 (by the shelf registrant, when the shelf registration documents need correcting) or under Article 23-9, paragraph (1) or Article 23-10, paragraph (1) (including as applied under paragraph (5) of that Article), where the Prime Minister orders one; the term is used in Articles 17 to 23 as Article 23-12, paragraph (5) applies them to shelf-registered offerings.
In Article 16-2, Article 16-4, paragraph (4), item (i), Article 53, paragraph (1), item (iii) and Article 65, item (vi), a company listed in Article 16-2, paragraph (1), items (i) to (xi) or (xv) to (xvii), other than one engaged exclusively in dependent services (従属業務) or in services incidental or related to banking that a Cabinet Office Order (内閣府令) specifies.
In Chapter III, a bank or other deposit-taking institution (銀行等) meeting requirements a Cabinet Order (政令) sets, or another person that Order specifies: the persons who may undertake to deposit, guarantee or take on a funds transfer service provider's obligations in place of part of its own security deposit (履行保証金).
In Section 3 of Chapter IV, short for certified investor protection organization (認定投資者保護団体): a body the Prime Minister has certified under Article 79-7, paragraph (1) to carry on work such as resolving complaints about, and mediating disputes over, the financial instruments business of financial instruments business operators or financial instruments intermediary service providers.
In Articles 38-8 to 38-11 and 38-13, the Prime Minister (内閣総理大臣) and the Minister for Internal Affairs and Communications (総務大臣).
自己株券買付状況報告書
The report that an issuer of listed share certificates, etc. (上場株券等) must submit to the Prime Minister by the 15th of the following month for each month covered by a shareholders' meeting or board resolution to acquire its own shares (Article 24-6, paragraph (1)), stating how it bought its own shares that month and other matters a Cabinet Office Order (内閣府令) specifies.
In Article 189, an authority of a foreign state that enforces that state's laws corresponding to this Act.
縦覧書類
In Article 25 and Article 26, paragraph (1), the documents listed in Article 25, paragraph (1) — securities registration statements, shelf registration statements and supplements, annual securities reports, confirmation letters, internal control reports, semiannual securities reports, extraordinary reports, share buyback status reports and parent company, etc. status reports, with their attachments and amendments — that the Prime Minister must make available for public inspection, for five years (one year for share buyback status reports).
In Article 164, the part of a report under Article 163 that relates to the profit an officer or major shareholder (主要株主) of a listed company, etc. (上場会社等) made by buying and then selling, or selling and then buying, its specified securities, etc. (特定有価証券等) within six months, where the Prime Minister finds from the report that such a profit was made.
In Chapter V-7 (specified financial index calculators), the Prime Minister's designation, under Article 156-85, paragraph (1), of a person who calculates and publishes a specified financial index (特定金融指標) as a specified financial index calculator (特定金融指標算出者), made where ensuring that it carries on that business properly is needed in the public interest or to protect investors.
委員会
The Securities and Exchange Surveillance Commission (証券取引等監視委員会), to which the Commissioner of the Financial Services Agency (金融庁長官) delegates the powers listed in Article 194-7, paragraph (2).
In the Section containing Article 52-3, a notification of voting-rights holdings (銀行議決権保有届出書) or a report of changes (変更報告書).
In Articles 52-3 and 52-4, the report a large holder of a bank's voting rights (銀行議決権大量保有者) must submit to the Prime Minister when a matter stated in its notification of voting-rights holdings (銀行議決権保有届出書) changes; for its holding ratio, only a rise or fall of one percentage point or more counts.
In Article 35, paragraphs (4) to (7), a qualified consumer organization (適格消費者団体) that the Prime Minister has designated under paragraph (1), (6) or (7) of that Article to take over a right to demand an injunction (差止請求権) held by another organization.
実施予定返金措置計画
The plan for the refund measures (返金措置) that a person notified under Article 15, paragraph (1) intends to carry out, which it prepares and submits to the Prime Minister for approval by the deadline for submitting its written explanation (弁明書).
In Section 3 of Chapter V-3, a financial instruments clearing organization (金融商品取引清算機関) that has received the Prime Minister's authorization under Article 156-20-16, paragraph (1) to contract with a collaborating clearing organization, etc. (連携清算機関等) and carry on collaborating financial instruments obligation assumption services (連携金融商品債務引受業務).
基本方針
The basic policy on promoting women's active engagement in professional life (女性の職業生活における活躍) that the government must set under Article 5, following the fundamental principles (基本原則), so as to carry out its measures for that purpose comprehensively and as one.
A company that became a holding company with a bank as its subsidiary company through an event other than the transactions or acts in Article 52-17, paragraph (1); it must notify the Prime Minister within three months after the end of the business year in which the event occurred.
地方公共団体等
In Articles 106-3, 106-14 and 106-17, a local government (地方公共団体) or another person a Cabinet Order (政令) specifies, which may, with the Prime Minister's authorization, acquire or hold voting rights in an incorporated financial instruments exchange from the holding threshold (保有基準割合) up to 50 percent of all shareholders' voting rights.