Article 172-9Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Specified Solicitation When Specified Information on Securities is not Provided or Disclosed
第百七十二条の九（特定証券情報の提供又は公表がされていないのに特定勧誘等をした者に対する課徴金納付命令）
If a person makes a specified solicitation, etc. (if the person makes a specified solicitation for selling, etc., this is limited to a specified solicitation for selling, etc. securities that the person owns) even though the issuer of the securities has not provided the other party with or disclosed the specified information on securities, etc. for the relevant securities pursuant to the provisions of Article 27-31, paragraph (2), the Prime Minister, in accordance with the procedures prescribed in the following Section, must order that person to pay an administrative monetary penalty to the national treasury in an amount that is equivalent to the amount specified in the following items in accordance with the category of cases set forth in each of those items (if the person falls under both of the following items, the sum of the amounts specified in those items):
the person causes the securities to be acquired through an exclusive solicitation for acquisition:2.25 percent (or 4.5 percent, if the securities are share certificates, etc.) of the total issue value of the securities acquired (if the securities are share option certificates or any other securities specified by Cabinet Office Order as being equivalent to them, the total issue value includes the amount to be paid in upon the exercise of the share options under those share option certificates or any other amount specified by Cabinet Office Order as being equivalent to this);
if the person sells securities that they own through a specified solicitation for selling, etc.:2.25 percent (or 4.5 percent, if the securities are share certificates, etc.) of the total price of the securities that they sell (if the securities are share option certificates or any other securities specified by Cabinet Office Order as being equivalent to them, the total price includes the amount to be paid in upon the exercise of the share options under those share option certificates or any other amount specified by Cabinet Office Order as being equivalent to this).
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(Provision or Disclosure of Specified Information on Securities)
An issuer seeking to provide or disclose specified information on securities must provide the specified information on securities itself or entrust another party to do so…
特定証券情報の提供又は公表をしようとする発行者は、当該特定証券情報を、内閣府令で定めるところにより、自ら若しくは他の者に委託して提供し、又はインターネットの利用その他の方法により公表しなければならない。
Open this provisionsecurities
「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.
Defined inArticle 2, paragraph (1)· applies throughout the law
issuer
「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.
Defined inArticle 2, paragraph (5)
exclusive solicitation for acquisitionmachine translation
「特定取得勧誘」
In Article 27-31 and Chapter VI-2, a solicitation for acquisition only for professional investors (特定投資家向け取得勧誘), or another solicitation with a view to issuing new securities (有価証券発行勧誘等) not subject to the main clause of Article 4, paragraph (1), that a Cabinet Order (政令) specifies.
Short name set inArticle 27-31, paragraph (1)· applies only in this article and in Chapter 6-2
specified solicitation for selling, etc.machine translation
「特定売付け勧誘等」
A solicitation for selling, etc. only for professional investors (特定投資家向け売付け勧誘等) — other than one for securities for professional investors made to a small number of persons as a Cabinet Order (政令) sets — or another solicitation with a view to delivering existing securities (有価証券交付勧誘等) not subject to the main clauses of Article 4, paragraphs (1) to (3), that a Cabinet Order specifies.
Short name set inArticle 27-31, paragraph (1)· applies only in this article and in Chapter 6-2
specified information on securitiesmachine translation
「特定証券情報」
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.
Short name set inArticle 27-31, paragraph (1)
specified solicitation, etc.machine translation
「特定勧誘等」
An exclusive solicitation for acquisition (特定取得勧誘) or a specified solicitation for selling, etc. (特定売付け勧誘等): a solicitation only for professional investors, or another solicitation a Cabinet Order (政令) specifies, that is not subject to the notification requirements of Article 4 and for which the issuer must provide or publish specified information on securities (特定証券情報) by the time it is made.
Defined inArticle 27-34, paragraph (1)
share certificates, etc.
「株券等」
In Article 172, Article 172-2, Article 172-9 and Article 172-10, share certificates, preferred equity investment certificates (優先出資証券) of cooperative financial institutions, and other securities a Cabinet Order (政令) specifies as equivalent to them.
Defined inArticle 172, paragraph (1), item (i)· applies only in this article and in Articles 172-2, 172-9 and 172-10
Prime Minister
内閣総理大臣
The head of the Cabinet. Designated by the Diet from among its own members, and appointed by the Emperor on that designation (Articles 67 and 6). The Prime Minister appoints and may dismiss the other Ministers of State at will, and a majority of them must be members of the Diet (Article 68). No Minister of State can be subjected to legal action while in office without the Prime Minister's consent (Article 75).
Written by AI using Constitution, Arts. 6, 67, 68, 75 and Wikipedia: Prime Minister of Japan as a reference.