Article 29-4-2Special Provisions on Registration of Type-I Small Amount Electronic Public Offering Service Providers

①With regard to the application of the provisions of Article 29-2, paragraph (1), item (vi) and paragraph (2), item (i) to type-I small amount electronic public offering service in cases where a person that seeks to obtain the registration set forth in Article 29 seeks to only engage in type-I small amount electronic public offering service from among type-I financial instruments business, the term "an indication of this" in Article 29-2, paragraph (1), item (vi) is deemed to be replaced with "an indication of this (in the case of only engaging in the type-I small amount electronic public offering service prescribed in Article 29-4-2, paragraph (9) from among type-I financial instruments business, including an indication of this)" and the term "item (v), (c)" in paragraph (2), item (i) of that Article is deemed to be replaced with "item (v), (c), item (vi), (a)".

②The provisions of paragraph (1), item (v), (c) and item (vi), (a) of the preceding Article (including the cases where these provisions are applied mutatis mutandis pursuant to Article 31, paragraph (5)) do not apply to type-I small amount electronic public offering service in the case referred to in the preceding paragraph or in the case where a person that seeks to obtain the registration of change set forth in Article 31, paragraph (4) seeks to only engage in type-I small amount electronic public offering service from among type-I financial instruments businesses.

③A type-I small amount electronic public offering service provider (excluding a person that engages in investment management business; hereinafter the same applies in the following paragraph) is not required to notify the Prime Minister to the effect that it will start to engage in any of the businesses listed in the items of Article 35, paragraph (2), notwithstanding the provisions of Article 35, paragraph (3).

④When a type-I small amount electronic public offering service provider conducts a business other than financial instruments business and the businesses prescribed in Article 35, paragraphs (1) and (2), the service provider is not required to obtain approval from the Prime Minister, notwithstanding the provisions of paragraph (4) of that Article.

⑥The provisions of Articles 46-5 and 46-6 do not apply to a type-I small amount electronic public offering service provider.

⑦With regard to the application of the provisions of Article 27-2, paragraph (4) (including the cases where applied mutatis mutandis pursuant to Article 27-22-2, paragraph (2)), Article 27-26, paragraph (1) and Article 66-2, paragraph (1), item (iv) in cases where a type-I small amount electronic public offering service provider engages in type-I small amount electronic public offering service, the term "type-I financial instruments business" in these provisions is deemed to be replaced with "type-I financial instruments business (excluding the type-I small amount electronic public offering service prescribed in Article 29-4-2, paragraph (9))" and the term "paragraph (4) of that Article" in Article 27-26, paragraph (1) is deemed to be replaced with "Article 28, paragraph (4)".

⑧The term "type-I small amount electronic public offering service provider" as used in paragraph (3) to the preceding paragraph means a person that has obtained the registration set forth in Article 29 or the registration of change set forth in Article 31, paragraph (4) by stating in the written application for registration to the effect that the person will only engage in type-I small amount electronic public offering service from among type-I financial instruments businesses.

⑨The term "type-I small amount electronic public offering service" as used in paragraphs (1), (2), (5) and the preceding two paragraphs means electronic public offering service (limited to handling of public offering or handling of private placement of the following securities (limited to securities not listed on a financial instruments exchange and excluding those specified by Cabinet Order; hereinafter the same applies in this paragraph) which satisfies the requirements specified by Cabinet Order as being such handling where the total issue value of the securities and the amount to be paid by the person that acquires the securities are small; hereinafter the same applies in this paragraph) or receiving of a deposit of money from customers in relation to electronic public offering service: