The provisions of Article 50-2, paragraph (8) apply mutatis mutandis to a person that was a special financial instruments business operator if the special financial instruments business operator has had the registration referred to in Article 29 rescinded pursuant to the provisions of Article 57-6, paragraph (3). In such a case, the person that was the special financial instruments business operator is deemed to still be a financial instruments business operator inasmuch as the task of completing customer transactions is concerned.
第五十条の二第八項の規定は、特別金融商品取引業者が第五十七条の六第三項の規定により第二十九条の登録を取り消された場合における当該特別金融商品取引業者であつた者について準用する。この場合において、当該特別金融商品取引業者であつた者は、顧客取引を結了する目的の範囲内において、なお金融商品取引業者とみなす。
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(Registration)
A person may not engage in financial instruments business if that person has not been registered by the Prime Minister.
金融商品取引業は、内閣総理大臣の登録を受けた者でなければ、行うことができない。
Open this provision(Notification of Discontinuing Business)
If a financial instruments business operator, etc. issues a public notice under paragraph (6) (unless it issues that public notice in connection with the succession of the whole or part of its…
金融商品取引業者等は、第六項の規定による公告をした場合（合併、分割による事業の全部又は一部の承継及び事業の全部又は一部の譲渡に係る公告をした場合を除く。）においては、当該金融商品取引業者等が行つた有価証券の売買その他の取引及びデリバティブ取引等（第五十六条及び第五十七条の九において「顧客取引」という。）を…
Open this provision(Supervisory Dispositions Corresponding with the Soundness of Management)
If the Prime Minister orders a special financial instruments business operator to suspend all or part of the business pursuant to the provisions of paragraph (1)…
内閣総理大臣は、第一項の規定により特別金融商品取引業者に対しその業務の全部又は一部の停止を命じた場合において、その日から三月を経過した日において当該特別金融商品取引業者及びその子法人等の経営の健全性の状況が改善せず、かつ、改善する見込みがないと認められるときは…
Open this provisionfinancial instruments business operator
「金融商品取引業者」
A person registered by the Prime Minister under Article 29 to carry on financial instruments business (金融商品取引業).
Defined inArticle 2, paragraph (9)· applies throughout the law
customer transactions
「顧客取引」
The purchases and sales and other transactions in securities and the derivatives transactions, etc. (デリバティブ取引等) a financial instruments business operator, etc. (金融商品取引業者等) has carried out, which under Article 50-2, paragraph (8), applied also by Articles 56 and 57-9, it must promptly complete after giving public notice under paragraph (6) of that Article that it will discontinue its business or dissolve.
Short name set inArticle 50-2, paragraph (8)· applies only in this provision and in Articles 56 and 57-9
special financial instruments business operator
「特別金融商品取引業者」
A financial instruments business operator engaged in type-I financial instruments business (not a foreign corporation) that has notified the Prime Minister under Article 57-2, paragraph (1) that its total assets exceed the threshold a Cabinet Order (政令) sets, other than one whose total assets have since stayed at or below that threshold for two years.
Defined inArticle 57-2, paragraph (2)· applies only in this section