A financial instruments exchange must perform self-regulatory services in an appropriate manner, in accordance with this Act and with its articles of incorporation and other rules, in order to ensure the fair purchase and sale of securities and market derivatives transactions on the financial instruments exchange market, as well as to protect investors.
金融商品取引所は、この法律及び定款その他の規則に従い、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正にし、並びに投資者を保護するため、自主規制業務を適切に行わなければならない。
The term "self-regulatory services" as used in the preceding paragraph means the following services conducted in respect of a financial instruments exchange:
services related to the listing and delisting of financial instruments, financial indexes, or options (hereinafter referred to as "financial instruments, etc." in this Chapter) (excluding those specified by Cabinet Office Order);
the investigation of members', etc. compliance with laws and regulations, dispositions by government agencies which are based on laws and regulations, with the articles of incorporation and other rules, and with the principle of good faith in transactions; and
会員等の法令、法令に基づく行政官庁の処分若しくは定款その他の規則又は取引の信義則の遵守の状況の調査
other services specified by Cabinet Office Order as necessary for ensuring fairness in transactions on a financial instruments exchange market.
その他取引所金融商品市場における取引の公正を確保するために必要な業務として内閣府令で定めるもの
Read this with the articles around it
(Self-Regulatory Services)
A financial instruments exchange must perform self-regulatory services in an appropriate manner, in accordance with this Act and with its articles of incorporation and other rules…
金融商品取引所は、この法律及び定款その他の規則に従い、取引所金融商品市場における有価証券の売買及び市場デリバティブ取引を公正にし、並びに投資者を保護するため、自主規制業務を適切に行わなければならない。
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
options
「オプション」
A right under a transaction listed in Article 2, paragraph (21), item (iii) made on a financial instruments market (金融商品市場) under the standards and methods of its operator, a right under a similar transaction on a foreign financial instruments market (外国金融商品市場) (other than one involving commodities or indices based on their prices), or a right under a transaction listed in Article 2, paragraph (22), item (iii) or (iv) made off those markets.
Short name set inArticle 2, paragraph (1), item (xix)
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
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
market derivatives transactions
「市場デリバティブ取引」
A transaction listed in Article 2, paragraph (21) — such as futures, index and option transactions on financial instruments or financial indicators — carried out on a financial instruments market under the standards and methods set by the person that operates that market.
Defined inArticle 2, paragraph (21)· applies throughout the law
financial instruments
「金融商品」
In this Act, securities (有価証券); deposit claims and other rights, or certificates representing them, that a Cabinet Order (政令) specifies; currencies; cryptoassets, etc. (暗号等資産) as item (iii)-2 of Article 2, paragraph (24) defines them; commodities a Cabinet Order specifies; other assets a Cabinet Order specifies of which many of the same kind exist and whose prices fluctuate widely; and standardized instruments (標準物) that a financial instruments exchange sets to facilitate market derivatives transactions.
Defined inArticle 2, paragraph (24)· applies throughout the law
financial index
「金融指標」
Prices of financial instruments (金融商品), and interest rates, etc. on financial instruments other than currencies and commodities; figures from weather observations published by the Japan Meteorological Agency (気象庁) or others; indicators that cannot practically be influenced and that greatly affect businesses, or socio-economic statistics, that a Cabinet Order (政令) specifies, with exclusions; and figures calculated from any of these.
Defined inArticle 2, paragraph (25)· applies throughout the law
member, etc.
「会員等」
The members (会員) or trading participants (取引参加者) of a financial instruments exchange (金融商品取引所).
Short name set inArticle 81, paragraph (1), item (iii)
self-regulatory services
「自主規制業務」
The business carried on for a financial instruments exchange of listing and delisting financial instruments, financial indices and options (other than business a Cabinet Office Order (内閣府令) excludes), examining whether members, etc. (会員等) comply with laws and regulations, dispositions under them, the articles of incorporation and other rules, and the principle of good faith in trading, and other business a Cabinet Office Order specifies as needed to keep trading on its market fair.
Defined inArticle 84, paragraph (2)
financial instruments, etc.
「金融商品等」
In Chapter V, financial instruments (金融商品), financial indexes (金融指標) or options.
Short name set inArticle 84, paragraph (2), item (i)· applies only in this chapter
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.