The term "designated dispute resolution organization" as used in this Chapter means a person that has obtained the designation under paragraph (1) of the following Article.
この章において「指定紛争解決機関」とは、次条第一項の規定による指定を受けた者をいう。
The term "specified type-I financial instruments business" as used in this Chapter means services that a financial instruments business operator performs in connection with the acts set forth in the items of Article 28, paragraph (1) and services it performs pursuant to Article 35, paragraph (1), as well as services that a financial instruments intermediary service provider provides on behalf of a financial instruments business operator, in connection with the acts set forth in Article 2, paragraph (11), items (i) through (iii).
この章において「特定第一種金融商品取引業務」とは、金融商品取引業者が行う第二十八条第一項各号に掲げる行為に係る業務及び第三十五条第一項の規定により行う業務並びに当該金融商品取引業者のために金融商品仲介業者が行う第二条第十一項第一号から第三号までに掲げる行為に係る業務をいう。
The term "specified type-II financial instruments business" as used in this Chapter means services that a financial instruments business operator performs in relation to the acts set forth in the items of Article 28, paragraph (2) (excluding services related to the acts set forth in Article 63, paragraph (1), item (i) or Article 63-8, paragraph (1), item (ii)) and services incidental to the services.
この章において「特定第二種金融商品取引業務」とは、金融商品取引業者が行う第二十八条第二項各号に掲げる行為に係る業務(第六十三条第一項第一号又は第六十三条の八第一項第二号に掲げる行為に係る業務を除く。)及びこれに付随する業務をいう。
The term "specified investment advisory and agency business" as used in this Chapter means services that a financial instruments business operator performs in relation to the acts set forth in the items of Article 28, paragraph (3), and services incidental to the services.
The term "specified investment management business" as used in this Chapter means services that a financial instruments business operator performs in relation to the acts set forth in the items of Article 28, paragraph (4) (excluding services related to the acts set forth in Article 63, paragraph (1), item (ii) or Article 63-8, paragraph (1), item (i)) and services it performs pursuant to Article 35, paragraph (1), as well as services that a financial instruments intermediary service provider performs on behalf of a financial instruments business operator, in connection with the acts set forth in Article 2, paragraph (11), item (iv).
この章において「特定投資運用業務」とは、金融商品取引業者が行う第二十八条第四項各号に掲げる行為に係る業務(第六十三条第一項第二号又は第六十三条の八第一項第一号に掲げる行為に係る業務を除く。)及び第三十五条第一項の規定により行う業務並びに当該金融商品取引業者のために金融商品仲介業者が行う第二条第十一項第四号に掲げる行為に係る業務をいう。
The term "specified services of a registered financial institution" as used in this Chapter means services that a registered financial institution performs in connection with the registration under Article 33-2 and services incidental thereto, the specified financial instruments business (meaning specified financial instruments business defined in Article 33-8, paragraph (2); hereinafter the same applies in this paragraph) that a person performing specified financial instruments business for that registered financial institution performs, as well as services that a financial instruments intermediary service provider performs on behalf of the registered financial institution, in relation to the acts set forth in Article 2, paragraph (11), items (i) through (iv).
この章において「特定登録金融機関業務」とは、登録金融機関が行う第三十三条の二の登録に係る業務及びこれに付随する業務、当該登録金融機関のために特定金融商品取引業務(第三十三条の八第二項に規定する特定金融商品取引業務をいう。以下この項において同じ。)を行う者が行う特定金融商品取引業務並びに当該登録金融機関のために金融商品仲介業者が行う第二条第十一項第一号から第四号までに掲げる行為に係る業務をいう。
The term "specified services of a securities finance company" as used in this Chapter means services that a securities finance company performs pursuant to the provisions of Article 156-27, paragraph (1), items (i), (iii), and (iv).
この章において「特定証券金融会社業務」とは、証券金融会社が第百五十六条の二十七第一項第一号、第三号及び第四号の規定により行う業務をいう。
The term "financial instruments transaction services" as used in this Chapter means specified type-I financial instruments business, specified type-II financial instruments business, specified investment advisory and agency business, specified investment management business, the specified services of a registered financial institution, or the specified services of a securities finance company.
この章において「金融商品取引業等業務」とは、特定第一種金融商品取引業務、特定第二種金融商品取引業務、特定投資助言・代理業務、特定投資運用業務、特定登録金融機関業務又は特定証券金融会社業務をいう。
The term "complaint processing procedures" as used in this Chapter means procedures for processing complaints related to financial instruments transaction services (meaning the complaints about financial instruments transaction services; the same applies in Article 156-44, Article 156-45 and Article 156-49).
この章において「苦情処理手続」とは、金融商品取引業等業務関連苦情(金融商品取引業等業務に関する苦情をいう。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四十九において同じ。)を処理する手続をいう。
The term "dispute resolution procedures" as used in this Chapter means procedures to resolve disputes related to financial instruments transaction services (meaning disputes concerning financial instruments transaction services which can be settled between the parties; the same applies in Article 156-44, Article 156-45 and Articles 156-50 through 156-52) without using court proceedings.
この章において「紛争解決手続」とは、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をいう。
The term "dispute resolution services, etc." as used in this Chapter means the services involved in complaint processing procedures and dispute resolution procedures, as well as services incidental to them.
The term "category of dispute resolution services" as used in this Chapter means the categorization of specified type-I financial instruments business, specified type-II financial instruments business, specified investment advisory and agency business, specified investment management business, the specified services of a registered financial institution, or the specified services of a securities finance company related to dispute resolution services.
この章において「紛争解決等業務の種別」とは、紛争解決等業務に係る特定第一種金融商品取引業務、特定第二種金融商品取引業務、特定投資助言・代理業務、特定投資運用業務、特定登録金融機関業務及び特定証券金融会社業務の種別をいう。
The term "basic contract for the implementation of dispute resolution procedures" as used in this Chapter means a contract concluded between a designated dispute resolution organization and a business operator involved in financial instruments transactions (meaning a financial instruments business operator, etc. or a securities finance company; the same applies in the following Article, Article 156-42, paragraph (2), Article 156-44, and Article 156-56, item (i)) with regard to the implementation of dispute resolution services, etc.
この章において「手続実施基本契約」とは、紛争解決等業務の実施に関し指定紛争解決機関と金融商品取引関係業者(金融商品取引業者等又は証券金融会社をいう。次条、第百五十六条の四十二第二項、第百五十六条の四十四及び第百五十六条の五十六第一号において同じ。)との間で締結される契約をいう。
Read this with the articles around it
(Restriction on Concurrent Business)
the lending and borrowing of securities (excluding the business prescribed in Article 156-24, paragraph (1)), or intermediation or agency for the lending and borrowing of securities;
有価証券の貸借(第百五十六条の二十四第一項に規定する業務を除く。)又は有価証券の貸借の媒介若しくは代理
Open this provision(Restriction on Concurrent Business)
the lending of money to the customers of financial instruments business operators; and
金融商品取引業者の顧客に対する金銭の貸付け
Open this provision(Restriction on Concurrent Business)
other business specified by Cabinet Office Order.
その他内閣府令で定める業務
Open this provision(Definitions)
The term "specified services of a registered financial institution" as used in this Chapter means services that a registered financial institution performs in connection with the registration under…
この章において「特定登録金融機関業務」とは、登録金融機関が行う第三十三条の二の登録に係る業務及びこれに付随する業務、当該登録金融機関のために特定金融商品取引業務(第三十三条の八第二項に規定する特定金融商品取引業務をいう。以下この項において同じ。)を行う者が行う特定金融商品取引業務並びに当該登録金融機関のために金融商品…
Open this provision(Designation of a Person that Conducts Dispute Resolution Services)
At the application of a person satisfying the following requirements, the Prime Minister may designate that person as a person that conducts dispute resolution services, etc.:
内閣総理大臣は、次に掲げる要件を備える者を、その申請により、紛争解決等業務を行う者として、指定することができる。
Open this provision(Designation of a Person that Conducts Dispute Resolution Services)
At the application of a person satisfying the following requirements, the Prime Minister may designate that person as a person that conducts dispute resolution services, etc.:
内閣総理大臣は、次に掲げる要件を備える者を、その申請により、紛争解決等業務を行う者として、指定することができる。
Open this provision(Services of a Designated Dispute Resolution Organization)
A designated dispute resolution organization (including a dispute resolution mediator) may receive burden charges, fees, or any other remuneration for performing dispute resolution services, etc.…
指定紛争解決機関(紛争解決委員を含む。)は、当事者である加入金融商品取引関係業者(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をいう。以下この章において同じ。)若しくはその顧客(顧客以外の第四十二条第一項に規定する権利者を含む。以下この章において同じ。)又はこれらの者以外の者との手続実施基本契約その他の…
Open this provision(Operational Rules)
A designated dispute resolution organization must establish operational rules in respect of the following particulars:
指定紛争解決機関は、次に掲げる事項に関する業務規程を定めなければならない。
Open this provision(Disclosure of the Fact of a Breach of a Basic Contract for the Implementation of Dispute Resolution Procedures)
If the obligations that a member business operator involved in financial instruments transactions bears pursuant to a basic contract for the implementation of dispute resolution procedures are…
指定紛争解決機関は、手続実施基本契約により加入金融商品取引関係業者が負担する義務の不履行が生じた場合において、当該加入金融商品取引関係業者の意見を聴き、当該不履行につき正当な理由がないと認めるときは、遅滞なく、当該加入金融商品取引関係業者の商号、名称又は氏名及び当該不履行の事実を公表するとともに…
Open this provision(Complaint Processing Procedures by a Designated Dispute Resolution Organization)
If the customer of a member person or firm involved in financial instruments transactions files an application for the resolution of a complaint related to financial instruments transaction services…
指定紛争解決機関は、加入金融商品取引関係業者の顧客から金融商品取引業等業務関連苦情について解決の申立てがあつたときは、その相談に応じ、当該顧客に必要な助言をし、当該金融商品取引業等業務関連苦情に係る事情を調査するとともに、当該加入金融商品取引関係業者に対し…
Open this provision(Dispute Resolution Procedures by a Designated Dispute Resolution Organization)
The party to a dispute related to financial instruments transaction services may file an application for dispute resolution procedures with the designated dispute resolution organization with which…
加入金融商品取引関係業者に係る金融商品取引業等業務関連紛争の解決を図るため、当事者は、当該加入金融商品取引関係業者が手続実施基本契約を締結した指定紛争解決機関に対し、紛争解決手続の申立てをすることができる。
Open this provision(Postponement of Completion of Prescription)
If the dispute resolution mediators terminate dispute resolution procedures on the grounds that there is no prospect of reaching a settlement between the parties to a dispute related to financial…
紛争解決手続によつては金融商品取引業等業務関連紛争の当事者間に和解が成立する見込みがないことを理由に紛争解決委員が当該紛争解決手続を終了した場合において、当該紛争解決手続の申立てをした当該金融商品取引業等業務関連紛争の当事者がその旨の通知を受けた日から一月以内に当該紛争解決手続の目的となつた請求について訴えを提起した…
Open this provision(Suspension of Court Proceedings)
If litigation is pending with regard to a dispute related to financial instruments transaction services between the parties to a dispute related to financial instruments transaction services…
金融商品取引業等業務関連紛争について当該金融商品取引業等業務関連紛争の当事者間に訴訟が係属する場合において、次の各号のいずれかに掲げる事由があり、かつ、当該金融商品取引業等業務関連紛争の当事者の共同の申立てがあるときは、受訴裁判所は、四月以内の期間を定めて訴訟手続を中止する旨の決定をすることができる。
Open this provision(Notification of the Conclusion of a Basic Contract for the Implementation of Dispute Resolution Procedures)
it concludes a basic contract for the implementation of dispute resolution procedures with a person or firm involved in financial instruments transactions…
金融商品取引関係業者と手続実施基本契約を締結したとき、又は当該手続実施基本契約を終了したとき。
Open this provision(Definitions)
intermediation for the purchase and sale of securities (excluding intermediation set forth in paragraph (8), item (x));
有価証券の売買の媒介(第八項第十号に掲げるものを除く。)
Open this provision(Definitions)
the intermediation set forth in paragraph (8), item (iii);
第八項第三号に規定する媒介
Open this provision(Definitions)
the act set forth in paragraph (8), item (ix); or
第八項第九号に掲げる行為
Open this provision(Definitions)
the intermediation set forth in paragraph (8), item (xiii).
第八項第十三号に規定する媒介
Open this provisionThe term "type-I financial instruments business" as used in this Chapter means the performance of any of the following acts on a regular basis, as part of financial instruments business:
この章において「第一種金融商品取引業」とは、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をいう。
Open this provisionThe term "type-II financial instruments business" as used in this Chapter means the performance of any of the following acts on a regular basis, within the financial instruments business:
この章において「第二種金融商品取引業」とは、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をいう。
Open this provisionThe term "investment advisory and agency business" as used in this Chapter means the performance of any of the following acts on a regular basis, within the financial instruments business:
この章において「投資助言・代理業」とは、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をいう。
Open this provisionThe term "investment management business" as used in this Chapter means the performance of any of the following acts on a regular basis, within the financial instruments business…
この章において「投資運用業」とは、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をいい、銀行、協同組織金融機関その他政令で定める金融機関が、当該行為のいずれかを業として行うことを含むものとする。
Open this provision(Registration of Financial Institutions)
A financial institution must be registered by the Prime Minister if it seeks to perform any of the following acts on a regular basis, or if it seeks to provide investment advisory and agency business…
金融機関は、次に掲げる行為のいずれかを業として行おうとするとき、又は投資助言・代理業若しくは有価証券等管理業務を行おうとするときは、内閣総理大臣の登録を受けなければならない。
Open this provision(Special Provisions on Cases in Which Trust Business Is Conducted)
The provisions of Article 29 do not apply if a person set forth in any of the following items acts as the agent for a registered financial institution in providing the services prescribed in the…
第二十九条の規定は、次の各号に掲げる者が政令で定めるところにより登録金融機関を代理して当該各号に規定する業務(以下この条において「特定金融商品取引業務」という。)を行う場合には、適用しない。この場合において、特定金融商品取引業務を行う者は、その者が代理する登録金融機関の使用人とみなして、この法律の規定を適用する。
Open this provision(Scope of Services for Persons Engaged in Type-I Financial Instruments Business or Investment Management Business)
A financial instruments business operator (limited to one engaged in type-I financial instruments business or investment management business; hereinafter the same applies in this Article)…
金融商品取引業者(第一種金融商品取引業又は投資運用業を行う者に限る。以下この条において同じ。)は、金融商品取引業のほか、次に掲げる行為を業として行うことその他の金融商品取引業に付随する業務を行うことができる。
Open this provision(Specially Permitted Services for Foreign Investors)
the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money; the same applies in this item and paragraph (9)…
第二条第二項第五号又は第六号に掲げる権利(同一の出資対象事業(同項第五号に規定する出資対象事業をいう。)に係る当該権利を有する者が海外投資家等(次のいずれにも該当しないものに限る。)のみであるものに限る。)を有する海外投資家等から出資され…
Open this provision(Specially Permitted Services for Foreign Investors)
the public offering or private placement related to rights set forth in Article 2, paragraph (2), item (v) or (vi) made to foreign investors, etc. that do not fall under any of (a) through (c) of the…
その行う前号に掲げる行為に関して海外投資家等で同号イからハまでのいずれにも該当しない者を相手方として行う第二条第二項第五号又は第六号に掲げる権利に係る募集又は私募(海外投資家等(前号イからハまでのいずれにも該当しないものに限る。)以外の者が当該権利を取得するおそれが少ないものとして政令で定めるものに限り、投資者の保護…
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
the private placement of rights set forth in Article 2, paragraph (2), item (v) or (vi) with qualified institutional investors, etc.…
適格機関投資家等(適格機関投資家以外の者で政令で定めるもの(その数が政令で定める数以下の場合に限る。)及び適格機関投資家をいう。以下この条において同じ。)で次のいずれにも該当しない者を相手方として行う第二条第二項第五号又は第六号に掲げる権利に係る私募(適格機関投資家等(次のいずれにも該当しないものに限る。)以外の者が…
Open this provision(Specially Permitted Services for Qualified Institutional Investors)
the act set forth in Article 2, paragraph (8), item (xv), of investing money (including anything specified by Cabinet Order as being similar to money) that has been invested or contributed by a…
第二条第二項第五号又は第六号に掲げる権利(同一の出資対象事業(同項第五号に規定する出資対象事業をいう。)に係る当該権利を有する者が適格機関投資家等(前号イからハまでのいずれにも該当しないものに限る。)のみであるものに限る。)を有する適格機関投資家等から出資され…
Open this provisionfinancial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
registered financial institutionmachine translation
「登録金融機関」
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.
Defined inArticle 2, paragraph (11)
financial instruments intermediary service provider
「金融商品仲介業者」
A person registered by the Prime Minister under Article 66 to carry on financial instruments intermediary service (金融商品仲介業).
Defined inArticle 2, paragraph (12)· applies throughout the law
securities finance company
「証券金融会社」
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.
Defined inArticle 2, paragraph (30)· applies throughout the law
financial instruments business operator, etc.machine translation
「金融商品取引業者等」
A financial instruments business operator (金融商品取引業者) or a registered financial institution (登録金融機関).
Defined inArticle 34, paragraph (1)
designated dispute resolution organization
「指定紛争解決機関」
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.
Defined inArticle 156-38, paragraph (1)· applies only in this chapter
specified type-I financial instruments business
「特定第一種金融商品取引業務」
The business a financial instruments business operator (金融商品取引業者) carries on in the acts listed in Article 28, paragraph (1), the business it carries on under Article 35, paragraph (1), and the business in the acts of Article 2, paragraph (11), items (i) to (iii) that financial instruments intermediary service providers (金融商品仲介業者) carry on for it.
Defined inArticle 156-38, paragraph (2)· applies only in this chapter
specified type-II financial instruments business
「特定第二種金融商品取引業務」
The business a financial instruments business operator (金融商品取引業者) carries on in the acts listed in Article 28, paragraph (2) — other than business in the acts of Article 63, paragraph (1), item (i) or Article 63-8, paragraph (1), item (ii) — and business incidental to it.
Defined inArticle 156-38, paragraph (3)· applies only in this chapter
specified investment advisory and agency business
「特定投資助言・代理業務」
Services a financial instruments business operator carries out in relation to the acts listed in Article 28, paragraph (3) — the acts that make up investment advisory and agency business (投資助言・代理業) — and services incidental to them.
Defined inArticle 156-38, paragraph (4)· applies only in this chapter
specified investment management business
「特定投資運用業務」
Services a financial instruments business operator carries out in relation to the acts listed in Article 28, paragraph (4) — the acts that make up investment management business — other than those in Article 63, paragraph (1), item (ii) or Article 63-8, paragraph (1), item (i), together with services it carries out under Article 35, paragraph (1) and services a financial instruments intermediary service provider carries out for it in relation to the acts in Article 2, paragraph (11), item (iv).
Defined inArticle 156-38, paragraph (5)· applies only in this chapter
specified services of a registered financial institution
「特定登録金融機関業務」
The business a registered financial institution (登録金融機関) carries on under its registration under Article 33-2 and business incidental to it, together with the specified financial instruments business (特定金融商品取引業務) others carry on for it and the business in the acts of Article 2, paragraph (11), items (i) to (iv) that financial instruments intermediary service providers (金融商品仲介業者) carry on for it.
Defined inArticle 156-38, paragraph (6)· applies only in this chapter
specified financial instruments business
「特定金融商品取引業務」
The business that the persons set out in the items of Article 33-8, paragraph (2) — persons a Cabinet Order (政令) specifies among those acting as agent of a registered financial institution (登録金融機関), and non-life insurance agents (損害保険代理店) and certain of their officers and employees — carry on as agent of a registered financial institution: acts concerning the securities of Article 33, paragraph (2), item (ii), and transactions on a financial index of Article 2, paragraph (25), item (ii) in which the customer cannot lose more than the money it paid in advance.
Defined inArticle 156-38, paragraph (6)· applies only in this paragraph
specified services of a securities finance company
「特定証券金融会社業務」
The business a securities finance company (証券金融会社) carries on under Article 156-27, paragraph (1), items (i), (iii) and (iv).
Defined inArticle 156-38, paragraph (7)· applies only in this chapter
financial instruments transaction services
「金融商品取引業等業務」
In Chapter V-5, on designated dispute resolution organizations (指定紛争解決機関), any of these: specified Type I financial instruments business, specified Type II financial instruments business, specified investment advisory and agency business, specified investment management business, specified services of a registered financial institution, or specified services of a securities finance company.
Defined inArticle 156-38, paragraph (8)· applies only in this chapter
complaint processing procedures
「苦情処理手続」
In Chapter V-5, on designated dispute resolution organizations (指定紛争解決機関), the procedures for handling complaints about financial instruments transaction services (金融商品取引業等業務), the kinds of business listed in Article 156-38, paragraph (8).
Defined inArticle 156-38, paragraph (9)· applies only in this chapter
complaint related to financial instruments transaction servicesmachine translation
「金融商品取引業等業務関連苦情」
In Article 156-38, paragraph (9) and Articles 156-44, 156-45 and 156-49, a complaint about financial instruments transaction services (金融商品取引業等業務).
Defined inArticle 156-38, paragraph (9)· applies only in this provision and in Articles 156-44, 156-45 and 156-49
dispute resolution procedures
「紛争解決手続」
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.
Defined inArticle 156-38, paragraph (10)· applies only in this chapter
dispute related to financial instruments transaction servicesmachine translation
「金融商品取引業等業務関連紛争」
In Article 156-38, paragraph (10), Articles 156-44 and 156-45 and Articles 156-50 to 156-52, a dispute about financial instruments transaction services (金融商品取引業等業務) that the parties can settle between themselves (和解).
Defined inArticle 156-38, paragraph (10)· applies only in this provision and in Articles 156-44, 156-45 and 156-50 to 156-52
dispute resolution services, etc.
「紛争解決等業務」
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.
Defined inArticle 156-38, paragraph (11)· applies only in this chapter
category of dispute resolution services
「紛争解決等業務の種別」
The kind of business — specified type-I financial instruments business (特定第一種金融商品取引業務), specified type-II financial instruments business, specified investment advisory and agency business, specified investment management business, specified services of a registered financial institution, or specified services of a securities finance company — to which a body's dispute resolution services (紛争解決等業務) relate.
Defined inArticle 156-38, paragraph (12)· applies only in this chapter
basic contract for the implementation of dispute resolution proceduresmachine translation
「手続実施基本契約」
A contract on carrying out dispute resolution services, etc. (紛争解決等業務) concluded between a designated dispute resolution organization (指定紛争解決機関) and a business operator involved in financial instruments transactions (金融商品取引関係業者) — a financial instruments business operator, etc. or a securities finance company.
Defined inArticle 156-38, paragraph (13)· applies only in this chapter
financial instruments transactions
「金融商品取引関係業者」
In Article 156-38, paragraph (13), Article 156-39, Article 156-42, paragraph (2), Article 156-44 and Article 156-56, item (i), a financial instruments business operator, etc. (金融商品取引業者等) or a securities finance company (証券金融会社), with which a designated dispute resolution organization (指定紛争解決機関) concludes a basic contract for implementing dispute resolution procedures (手続実施基本契約).
Defined inArticle 156-38, paragraph (13)· applies only in this provision and in Articles 156-39 and 156-44; Article 156-42, paragraph (2); and Article 156-56, paragraph (1), item (i)