In a case set forth in any of the following items, the member of a certified association must report the particulars prescribed in that item to the certified association, pursuant to the provisions of Cabinet Office Order:
会員は、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、その所属する認定協会に報告しなければならない。
a purchase and sale of listed share certificates, etc. is made outside of a financial instruments exchange market and on the 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 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. that are subject to the purchase and sale; and
the 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, volume, and other particulars specified by Cabinet Office Order, with regard to the listed share certificates, etc. subject to the offer to sell or purchase.
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securities
「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 market
「取引所金融商品市場」
A financial instruments market (金融商品市場) opened by a financial instruments exchange (金融商品取引所).
Defined inArticle 2, paragraph (17)· applies throughout the law
listed share certificates, etc.
「上場株券等」
In Articles 67-18 to 78-5, share certificates, bonds with share options (新株予約権付社債券) and other securities a Cabinet Office Order (内閣府令) specifies that are listed on a financial instruments exchange (金融商品取引所).
Defined inArticle 67-18, paragraph (1), item (vii)· applies only in this article and in Articles 67-19 to 78-5
certified association
「認定協会」
In Chapter IV, short for certified financial instruments business association (認定金融商品取引業協会): a general incorporated association (一般社団法人) set up by financial instruments business operators that the Prime Minister has certified under Article 78, paragraph (1).
Short name set inArticle 78-2, paragraph (1)· applies only in this chapter