A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:
前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
its trade name or name;
商号又は名称
the amount of stated capital, the total amount of funds, or the total amount of contributions;
資本金の額、基金の総額又は出資の総額
the names of its accounting advisors, if it is a company with accounting advisors;
会計参与設置会社にあつては、会計参与の氏名又は名称
if the person provides an electronic offering service or electronic public offering service with regard to securities set forth in the items of Article 3 or securities not listed on a financial instruments exchange (excluding those specified by Cabinet Order as prescribed in Article 29-2, paragraph (1), item (vi)), an indication of this;
the following particulars concerning high-speed trading:
高速取引行為に関する次に掲げる事項
if the person conducts high-speed trading as registered financial institution business (meaning business in connection with the registration set forth in the preceding Article; the same applies hereinafter), an indication of this; and
beyond the case provided for in (a), if the person conducts high-speed trading, an indication of this;
イに規定する場合のほか、高速取引行為を行う場合にあつては、その旨
if the person conducts, as a business, the acts set forth in Article 2, paragraph (8), items (vii) through (ix) with regard to rights in a lending business, etc., an indication of this;
貸付事業等権利についての第二条第八項第七号から第九号までに掲げる行為を業として行う場合にあつては、その旨
the names and locations of its head office and other business offices or offices;
本店その他の営業所又は事務所の名称及び所在地
if the person engages in other business, the business type; and
他に事業を行つているときは、その事業の種類
other particulars specified by Cabinet Office Order.
その他内閣府令で定める事項
The following documents must accompany the written application for registration referred to in the preceding paragraph:
前項の登録申請書には、次に掲げる書類を添付しなければならない。
a document pledging that the applicant does not fall under Article 33-5, paragraph (1), items (i) and (ii);
第三十三条の五第一項第一号及び第二号に該当しないことを誓約する書面
a document stating the person's way of managing the risk of loss, the way that duties are divided, and the other things specified by Cabinet Office Order as constituting the business outline and business methods;
損失の危険の管理方法、業務分掌の方法その他の業務の内容及び方法として内閣府令で定めるものを記載した書類
a document stating the things specified by Cabinet Office Order as constituting the person's status as a parent corporation, etc., subsidiary corporation, etc., or other affiliated company; and
its articles of incorporation, certificate of registered information, balance sheet, profit and loss statement, and other documents specified by Cabinet Office Order, other than those that are set forth in the preceding three items.
前三号に掲げるもののほか、定款、登記事項証明書、貸借対照表、損益計算書その他内閣府令で定める書類
As concerns the documents set forth in item (iv) of the preceding paragraph accompanying a written application for registration, if the articles of incorporation or balance sheet have been prepared as electronic or magnetic records or if electronic or magnetic records have been prepared for a profit and loss statement in lieu of a written document, such electronic or magnetic records (limited to those specified by Cabinet Office Order) may accompany the written application for registration in lieu of the written documents.
Read this with the articles around it
(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 provision(Definitions)
secondary distribution of securities or solicitation for selling, etc. only for professional investors;
有価証券の売出し又は特定投資家向け売付け勧誘等
Open this provision(Definitions)
the handling of a public offering or secondary distribution of securities, or the handling of a private placement of securities or solicitation for selling, etc. only for professional investors;
有価証券の募集若しくは売出しの取扱い又は私募若しくは特定投資家向け売付け勧誘等の取扱い
Open this provision(Application for Registration)
if the person provides an electronic offering service (meaning performing the act set forth in Article 2, paragraph (8), item (vii) or (viii) (excluding those specified by Cabinet Order) on a regular…
第三条各号に掲げる有価証券又は金融商品取引所に上場されていない有価証券（政令で定めるものを除く。）について、電子募集業務（電子情報処理組織を使用する方法その他の情報通信の技術を利用する方法であつて内閣府令で定めるものにより第二条第八項第七号又は第八号に掲げる行為（政令で定めるものを除く。）を業として行うことをいう。以…
Open this provision(Exempted Securities)
The provisions of this Chapter do not apply to the following securities:
この章の規定は、次に掲げる有価証券については、適用しない。
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(Application for the Registration of a Financial Institution)
A person seeking the registration referred to in the preceding Article must submit a written application for registration to the Prime Minister, in which it states the following particulars:
前条の登録を受けようとする者は、次に掲げる事項を記載した登録申請書を内閣総理大臣に提出しなければならない。
Open this provision(Application for the Registration of a Financial Institution)
a document pledging that the applicant does not fall under Article 33-5, paragraph (1), items (i) and (ii);
第三十三条の五第一項第一号及び第二号に該当しないことを誓約する書面
Open this provision(Application for the Registration of a Financial Institution)
a document stating the person's way of managing the risk of loss, the way that duties are divided, and the other things specified by Cabinet Office Order as constituting the business outline and…
損失の危険の管理方法、業務分掌の方法その他の業務の内容及び方法として内閣府令で定めるものを記載した書類
Open this provision(Application for the Registration of a Financial Institution)
a document stating the things specified by Cabinet Office Order as constituting the person's status as a parent corporation, etc., subsidiary corporation, etc., or other affiliated company; and
親法人等、子法人等その他の関係会社の状況として内閣府令で定めるものを記載した書類
Open this provision(Application for the Registration of a Financial Institution)
its articles of incorporation, certificate of registered information, balance sheet, profit and loss statement, and other documents specified by Cabinet Office Order…
前三号に掲げるもののほか、定款、登記事項証明書、貸借対照表、損益計算書その他内閣府令で定める書類
Open this provision(Refusal to Register a Financial Institution)
a person that has had the registration referred to in Article 33-2 rescinded pursuant to the provisions of Article 52-2, paragraph (1), has had the registration referred to in Article 66 rescinded…
第五十二条の二第一項の規定により第三十三条の二の登録を取り消され、第六十六条の二十第一項の規定により第六十六条の登録を取り消され、第六十六条の四十二第一項の規定により第六十六条の二十七の登録を取り消され、第六十六条の六十三第一項の規定により第六十六条の五十の登録を取り消され…
Open this provision(Refusal to Register a Financial Institution)
a person that has been sentenced to a fine (including an equivalent sentence under a law or regulation of a foreign state) for violating the provisions of this Act; the Secured Bond Trust Act…
この法律、担保付社債信託法、金融機関の信託業務の兼営等に関する法律、商品先物取引法、投資信託及び投資法人に関する法律、宅地建物取引業法、出資の受入れ、預り金及び金利等の取締りに関する法律、割賦販売法、貸金業法、預託等取引に関する法律、商品投資に係る事業の規制に関する法律、不動産特定共同事業法、資産の流動化に関する法律…
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
financial instruments exchange
「金融商品取引所」
A membership corporation (金融商品会員制法人) or stock company (株式会社) licensed by the Prime Minister under Article 80, paragraph (1) to open a financial instruments market (金融商品市場).
Defined inArticle 2, paragraph (16)· applies throughout the law
high-speed trading
「高速取引行為」
Buying and selling securities or conducting market derivatives transactions, entrusting either to another, or a similar act a Cabinet Order (政令) specifies, where the decision to do it is made automatically by an electronic data processing system and the information needed to carry it out is sent to a financial instruments exchange or other recipient a Cabinet Office Order (内閣府令) specifies by a method that Order sets for shortening the time sending it would normally take, other than acts a Cabinet Order exempts as posing no risk to the protection of investors.
Defined inArticle 2, paragraph (41)· applies throughout the law
electronic or magnetic recordmachine translation
「電磁的記録」
A record made in electronic, magnetic or any other form people cannot perceive directly, for use in computer processing.
Defined inArticle 13, paragraph (5)
officer
「役員」
A director, accounting advisor, company auditor or executive officer, or a person equivalent to one, in this Act other than Articles 163 to 167.
Defined inArticle 21, paragraph (1), item (i)· applies from here on, except in Articles 163 to 167
electronic public offering servicemachine translation
「電子募集取扱業務」
In Chapter III, carrying on as a business, by using an electronic data processing system or another method using information and communications technology that a Cabinet Office Order (内閣府令) specifies, the handling of a public offering, secondary distribution or private placement of securities or of a solicitation for selling only to professional investors (Article 2, paragraph (8), item (ix)).
Defined inArticle 29-2, paragraph (1), item (vi)· applies only in this chapter
electronic offering servicemachine translation
「電子募集業務」
In Chapter III, carrying on as a business, by using an electronic data processing system or another method using information and communications technology that a Cabinet Office Order (内閣府令) specifies, the public offering or private placement of the securities listed in Article 2, paragraph (8), item (vii), such as beneficiary certificates of investment trusts, or a secondary distribution of securities or solicitation for selling only to professional investors (item (viii) of that paragraph), other than acts a Cabinet Order (政令) excludes.
Defined inArticle 29-2, paragraph (1), item (vi)· applies only in this chapter
rights in a lending business, etc.machine translation
「貸付事業等権利」
In Chapter III, rights listed in Article 2, paragraph (2), items (iii) to (vi) whose investment business (出資対象事業) — the business run with the money or other property the holders contributed — mainly lends money, and other such rights a Cabinet Order (政令) specifies.
Defined inArticle 29-2, paragraph (1), item (x)· applies only in this chapter
parent corporation, etc.
「親法人等」
In Article 31-4, paragraph (3), Article 33-3, paragraph (2), item (iii) and Article 44-3, a corporation or other organization that holds a majority of the voting rights of all the shareholders, etc. of a financial instruments business operator (金融商品取引業者), or otherwise meets the requirements a Cabinet Order (政令) sets for being closely related to it.
Short name set inArticle 31-4, paragraph (3)· applies only in this provision and in Article 33-3, paragraph (2), item (iii); and Article 44-3
subsidiary corporation, etc.
「子法人等」
In Article 31-4, Article 33-3, paragraph (2), item (iii) and Article 44-3, a corporation or other organization meeting requirements a Cabinet Order (政令) sets as closely related to a financial instruments business operator, such as one in which the operator holds a majority of the voting rights of all shareholders, etc.
Short name set inArticle 31-4, paragraph (4)· applies only in this provision and in Article 33-3, paragraph (2), item (iii); and Article 44-3
registered financial institution businessmachine translation
「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.
Defined inArticle 33-3, paragraph (1), item (vi), (a)
articles of incorporation
定款
A company's own basic rules, written by its founders when it is formed: at least its purpose, its trade name, where its head office is, the value of the property contributed at incorporation and who the founders are (Companies Act, Article 27). A stock company's must be certified by a notary before it takes effect (Article 30, paragraph (1)), and can later be changed by a resolution of the shareholders meeting (Article 466). Many rules in the Act apply "unless the articles of incorporation provide otherwise", so a company's articles decide a great deal of how the Act applies to it.
Written by AI using Companies Act, Arts. 26, 27, 30, 466, 575 as a reference.
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.