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 or engage in securities, etc. management:
an act specified in the items of paragraph (2) of the preceding Article in connection with the securities or transactions set forth in the relevant item (excluding those falling under the proviso to paragraph (1) of that Article);
derivatives transactions, etc. other than securities-related derivatives transactions, etc. (excluding those conducted for the purpose of investment pursuant to the provisions of other Acts or on the account of a person that entrusts the financial institution to do so based on a trust contract and commodity-related market derivatives transactions), or acts other than those set forth in Article 28, paragraph (8), item (vii) among those specified in Article 2, paragraph (8), item (v); or
デリバティブ取引等のうち有価証券関連デリバティブ取引等以外のもの（他の法律の定めるところにより投資の目的をもつて、又は信託契約に基づいて信託をする者の計算において行うもの及び商品関連市場デリバティブ取引を除く。）又は第二条第八項第五号に掲げる行為のうち第二十八条第八項第七号に掲げるもの以外のもの
acts set forth in Article 2, paragraph (8), item (vii).
第二条第八項第七号に掲げる行為
acts specified by Cabinet Order as prescribed in paragraph (3) of the preceding Article.
前条第三項に規定する政令で定める行為
Read this with the articles around it
(Definitions)
brokerage for clearing of securities, etc.;
有価証券等清算取次ぎ
Open this provision(Definitions)
the public offering or private placement of securities (limited to those set forth in the following items):
有価証券（次に掲げるものに限る。）の募集又は私募
Open this provisionan act set forth in Article 2, paragraph (8), item (v) that is connected with the purchase and sale of a security, securities-related derivatives transactions…
第二条第八項第五号に掲げる行為であつて、有価証券の売買、有価証券関連デリバティブ取引その他政令で定める取引に係るもの
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
It is prohibited for a bank or cooperative financial institution, or for any other financial institution specified by Cabinet Order…
銀行、協同組織金融機関その他政令で定める金融機関（以下この条及び次条において「金融機関」という。）は、有価証券関連業又は投資運用業を行つてはならない。ただし、有価証券関連業については、金融機関が他の法律の定めるところにより投資の目的をもつて…
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
The provisions of the main clause of the preceding paragraph do not apply if a financial institution conducts brokerage with written orders…
前項本文の規定は、金融機関が、書面取次ぎ行為（顧客の書面による注文を受けてその計算において有価証券の売買又は有価証券関連デリバティブ取引を行うことをいい、当該注文に関する顧客に対する勧誘に基づき行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるものを除く。次条第一号において同じ。）又…
Open this provision(Prohibition on Engagement in Securities Services by Financial Institutions)
The provisions of Article 29 do not apply if a financial institution performs on a regular basis acts, among the following acts (hereinafter referred to as "derivatives transactions, etc.")…
第二十九条の規定は、金融機関が、次に掲げる行為（以下「デリバティブ取引等」という。）のうち第二十八条第八項第三号から第六号までに掲げるもの（以下「有価証券関連デリバティブ取引等」という。）以外のものを業として行う場合、第二条第八項第五号に掲げる行為のうち第二十八条第八項第七号に掲げるもの以外のものを業として行う場合…
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
commodity-related market derivatives transactions
「商品関連市場デリバティブ取引」
A market derivatives transaction (市場デリバティブ取引) on the commodities listed in Article 2, paragraph (24), item (iii)-3, or on financial indicators limited to their prices and figures calculated from them.
Short name set inArticle 2, paragraph (8), item (i)
investment advisory and agency business
「投資助言・代理業」
In Chapter III, the part of financial instruments business (金融商品取引業) that consists in carrying on as a business either giving advice under an investment advisory contract (投資顧問契約) (Article 2, paragraph (8), item (xi)) or acting as agent or intermediary in concluding an investment advisory contract or a discretionary investment contract (投資一任契約) (item (xiii)).
Defined inArticle 28, paragraph (3)· applies only in this chapter
securities, etc. management
「有価証券等管理業務」
In Chapter III, the part of type-I financial instruments business made up of the acts in Article 28, paragraph (1), item (v): taking deposits of money, securities or electronically recorded transferable rights from customers in connection with one's dealings in securities and derivatives (Article 2, paragraph (8), item (xvi)), and transferring corporate bonds, shares and the like through book-entry accounts (item (xvii) of that paragraph).
Defined inArticle 28, paragraph (5)· applies only in this chapter
financial institutionmachine translation
「金融機関」
In Articles 33 and 33-2, a bank, a cooperative financial institution (協同組織金融機関) or another financial institution a Cabinet Order (政令) specifies; such institutions may not carry on securities-related business (有価証券関連業) or investment management business (投資運用業), with the exceptions those Articles set out.
Short name set inArticle 33, paragraph (1)· applies only in this article and in Article 33-2
brokerage with written orderscorrected by this site
「書面取次ぎ行為」
Brokerage with written orders: a financial institution's buying or selling of securities, or carrying out of a securities-related derivatives transaction, for a customer's account on that customer's written order, other than on an order the institution solicited from the customer or one it received in connection with its own investment advisory business; Article 33, paragraph (2) lets a bank or other financial institution do this although paragraph (1) bars it from securities-related business, and under Article 33-2, item (i) it must be registered with the Prime Minister to do it as a business.
Defined inArticle 33, paragraph (2)· applies only in this provision and in Article 33-2, paragraph (1), item (i)
derivatives transactions, etc.machine translation
「デリバティブ取引等」
In Article 33, the acts its paragraph (3) lists: market derivatives transactions (市場デリバティブ取引) and the intermediation, brokerage or agency in them (or in entrusting them) listed in Article 2, paragraph (8), items (ii) and (iii); over-the-counter derivatives transactions, etc. (店頭デリバティブ取引等); and foreign market derivatives transactions (外国市場デリバティブ取引) together with the same acts in relation to them.
Short name set inArticle 33, paragraph (3)
securities-related derivatives transactions, etc.machine translation
「有価証券関連デリバティブ取引等」
Those derivatives transactions, etc. (デリバティブ取引等) in Article 33, paragraph (3) — market, over-the-counter and foreign market derivatives transactions and the acts connected with them — that are acts listed in Article 28, paragraph (8), items (iii) to (vi): securities-related derivatives transactions and intermediation, brokerage and agency for them.
Short name set inArticle 33, paragraph (3)
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.