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Article 30Authorization

第三十条（認可）

A financial instruments business operator must obtain the authorization of the Prime Minister when it intends to conduct, as a business, the acts set forth in Article 2, paragraph (8), item (x); provided, however, that this does not apply in the case where it conducts those acts only with respect to the following securities, and the sum of the trading volume of the securities pertaining to those acts is equal to or less than the standard specified by Cabinet Order as a standard recognized as one under which, even if it became difficult to conduct those acts stably, it is unlikely to affect a large number of persons.

金融商品取引業者は、第二条第八項第十号に掲げる行為を業として行おうとするときは、内閣総理大臣の認可を受けなければならない。ただし、当該行為を次に掲げる有価証券のみについて行う場合であつて、当該行為に係る有価証券の売買高の合計額が、当該行為を安定的に行うことが困難となつた場合であつても多数の者に影響を及ぼすおそれが少ないと認められる基準として政令で定める基準以下のときは、この限りでない。

securities set forth in Article 2, paragraph (1), item (ix) (excluding securities listed on a financial instruments exchange, over-the-counter traded securities, and other securities specified by Cabinet Order);

第二条第一項第九号に掲げる有価証券（金融商品取引所に上場されている有価証券、店頭売買有価証券その他政令で定める有価証券を除く。）

securities set forth in Article 2, paragraph (1), item (xiv) (excluding securities listed on a financial instruments exchange, over-the-counter traded securities, and the securities specified by Cabinet Order prescribed in the preceding item);

第二条第一項第十四号に掲げる有価証券（金融商品取引所に上場されている有価証券、店頭売買有価証券及び前号に規定する政令で定める有価証券を除く。）

rights that are to be indicated on the securities set forth in the preceding two items and that are deemed to be securities pursuant to the provisions of Article 2, paragraph (2);

前二号に掲げる有価証券に表示されるべき権利であつて、第二条第二項の規定により有価証券とみなされるもの

securities specified by Cabinet Order, other than those set forth in the preceding three items, as securities recognized as ones for which, even if it became difficult to conduct those acts stably, it is unlikely to affect a large number of persons.

前三号に掲げるもののほか、当該行為を安定的に行うことが困難となつた場合であつても多数の者に影響を及ぼすおそれが少ないと認められる有価証券として政令で定めるもの

Upon granting the authorization referred to in the preceding paragraph to a financial instruments business operator, the Prime Minister must note this in the relevant financial instruments business operator's registration.

内閣総理大臣は、金融商品取引業者に対し前項の認可をしたときは、その旨を当該金融商品取引業者の登録に付記しなければならない。

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Article 30Authorization