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Article 67-18Reporting to an Authorized Association

第六十七条の十八（認可協会への報告）

In a case set forth in any of the following items, an association member (in a case set forth in items (i) through (iii), this is limited to the association member of an Authorized Association that operates an over-the-counter securities market) must report the particulars specified in that item to the authorized association to which it belongs, pursuant to the provisions of Cabinet Office Order:

協会員（第一号から第三号までに掲げる場合にあつては、店頭売買有価証券市場を開設する認可協会の協会員に限る。）は、次の各号に掲げる場合において当該各号に定める事項を、内閣府令で定めるところにより、その所属する認可協会に報告しなければならない。

if a purchase and sale of over-the-counter traded securities is made on the association member's own account, or a purchase and sale of over-the-counter traded securities is made and the association member provides intermediation, brokerage, or agency for it:the class, issue, price, volume, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the purchase and sale;

自己の計算において行う店頭売買有価証券の売買又は媒介、取次ぎ若しくは代理を行う店頭売買有価証券の売買が成立した場合　当該売買に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項

if the association member makes an offer to sell or purchase over-the-counter traded securities on its own account:the class, issue, price, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the offer to sell or purchase;

自己の計算において店頭売買有価証券の売付け又は買付けの申込みをした場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項

if the association member is entrusted, etc. with the purchase and sale of over-the-counter traded securities:the class, issues, price, volume, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the entrustment, etc.;

店頭売買有価証券の売買の受託等をした場合　当該受託等に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項

if a purchase and sale of tradable securities (meaning share certificates, corporate bond certificates with share options, or any other securities specified by Cabinet Office Order, with regard to which the authorized association does not prohibit solicitation for purchase and sales and other transactions in its rules (excluding securities listed on a financial instruments exchange, over-the-counter traded securities, and those specified by the Prime Minister as securities of which transferability is found to be restricted under the relevant rules); the same applies hereinafter) is made on the association member's own account, or a purchase and sale of tradable securities is made and the association member provides intermediation, brokerage, or agency for it:the class, issue, price, volume, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the purchase and sale;

自己の計算において行う取扱有価証券（当該認可協会がその規則において、売買その他の取引の勧誘を行うことを禁じていない株券、新株予約権付社債券その他内閣府令で定める有価証券（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当該規則において流通性が制限されていると認められる有価証券として内閣総理大臣が定めるものを除く。）をいう。以下同じ。）の売買又は媒介、取次ぎ若しくは代理を行う取扱有価証券の売買が成立した場合　当該売買に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項

if the association member makes an offer to sell or purchase tradable securities on its own account:the class, issue, price, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the offer to sell or purchase;

自己の計算において取扱有価証券の売付け又は買付けの申込みをした場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項

if the association member is entrusted, etc. with the purchase and sale of tradable securities:the class, issue, price, volume, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the entrustment, etc.;

取扱有価証券の売買の受託等をした場合　当該受託等に係る有価証券の種類、銘柄、価格、数量その他内閣府令で定める事項

if a purchase and sale of listed share certificates, etc. (meaning share certificates, corporate bond certificates with share options, or any other securities specified by Cabinet Office Order, which are listed on a financial instruments exchange; hereinafter the same applies in this Article to Article 78-5) is made outside of a financial instruments exchange market and on the association member's own account; or a purchase and sale of listed share certificates, etc. is made outside of a financial instruments exchange market, and the association member provides intermediation, brokerage, or agency for it:the class, issue, price, volume, and other particulars specified by Cabinet Office Order, with regard to the listed share certificates, etc. subject to the purchase and sale; or

自己の計算において行う上場株券等（金融商品取引所に上場されている株券、新株予約権付社債券その他の有価証券で内閣府令で定めるものをいう。以下この条から第七十八条の五までにおいて同じ。）の取引所金融商品市場外での売買又は媒介、取次ぎ若しくは代理を行う上場株券等の取引所金融商品市場外での売買が成立した場合　当該売買に係る上場株券等の種類、銘柄、価格、数量その他内閣府令で定める事項

if the association member makes an offer to sell or purchase listed share certificates, etc. to a large number of persons simultaneously outside of a financial instruments exchange market, or in any other case specified by Cabinet Office Order:the class, issue, price, and other particulars specified by Cabinet Office Order, with regard to the securities subject to the offer to sell or purchase.

同時に多数の者に対し、取引所金融商品市場外での上場株券等の売付け又は買付けの申込みをした場合その他の内閣府令で定める場合　当該売付け又は買付けの申込みに係る有価証券の種類、銘柄、価格その他内閣府令で定める事項

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Article 67-18Reporting to an Authorized Association