Supplementary Provisions
附 則
This Act comes into effect as of the day specified by Cabinet Order within a period not exceeding six months counting from the day of promulgation.
この法律は、公布の日から起算して六月をこえない範囲内で政令で定める日から施行する。
Securities dealers and their officers and employees are deemed to be securities companies and their officers and employees, respectively, and the provisions of Article 42, Article 50, Article 54, Article 56 through Article 57-2, and Article 62 through Article 64-4 of the New Act (including the penal provisions pertaining to those provisions) apply to them.
証券業者並びにその役員及び使用人については、新法第四十二条、第五十条、第五十四条、第五十六条から第五十七条の二まで及び第六十二条から第六十四条の四までの規定（これらの規定に係る罰則を含む。）は、これらの者をそれぞれ証券会社並びにその役員及び使用人とみなして、適用する。
If a securities dealer, on or before March 31, 1968, comes to cease to carry on all or part of the securities business due to cessation of business, rescission of registration, or any other reason, and has not completed, by that date, the purchase and sale of securities or other transactions pertaining to the securities business it has ceased to carry on, the provisions of Article 64, paragraph (1) and other provisions of the Former Act remain in force even after that date.
証券業者が昭和四十三年三月三十一日以前において廃業、登録の取消しその他の理由により証券業の全部又は一部を営まないこととなつた場合において、同日までに、当該営まないこととなつた証券業に係る有価証券の売買その他の取引を結了していないときは、旧法第六十四条第一項その他の規定は、同日後もなおその効力を有する。
A person whose registration (excluding the registration of a branch office or other business office or of an agency) has been rescinded or who has been ordered to be dismissed pursuant to the provisions of Article 39, Article 40, paragraph (3), Article 57, paragraph (1), or Article 59 of the Former Act, or who has been sentenced to a fine or a heavier punishment under the provisions of the Former Act, is deemed, as of the day on which the person received the disposition, to have had all types of licenses held by a securities company rescinded or to have been ordered to be dismissed pursuant to the provisions of Article 35, paragraph (1) or (2) of the New Act, or to have been sentenced to a fine or a heavier punishment under the provisions of the New Act.
旧法第三十九条、第四十条第三項、第五十七条第一項若しくは第五十九条の規定により登録（支店その他の営業所若しくは代理店の登録を除く。）を取り消され若しくは解任を命ぜられ、又は旧法の規定により罰金以上の刑に処せられた者は、その処分を受けた日において、新法第三十五条第一項若しくは第二項の規定により証券会社の受けているすべての種類の免許を取り消され若しくは解任を命ぜられ又は新法の規定により罰金以上の刑に処せられたものとみなす。
With regard to the application of penal provisions to acts committed before this Act comes into effect (for a securities dealer, before the expiration of the period during which the Former Act remains in force pursuant to the provisions of paragraph (2)) and to acts of a securities dealer for which the provisions then in force are to apply pursuant to the provisions of paragraph (5), the provisions then in force continue to govern.
この法律の施行前（証券業者については、第二項の規定により旧法がなお効力を有する期間の経過前）にした行為及び第五項の規定により従前の例によることとされる証券業者の行為に対する罰則の適用については、なお従前の例による。
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
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
fine
罰金
A criminal punishment of paying money to the state, of 10,000 yen or more, or less where it is reduced (Penal Code, Article 15). It ranks below imprisonment (拘禁刑) and above penal detention (拘留) and a petty fine (科料) (Articles 9 and 10, paragraph (1)). A person who cannot pay it in full is held in a workhouse (労役場) for one day to two years, or up to three years where fines are imposed together, a period set when the sentence is passed (Article 18, paragraphs (1), (3) and (4)); not within thirty days of the sentence becoming final without the person's consent (paragraph (5)). If it is not enforced for three years after the sentence becomes final, the person is released from it by prescription (Articles 31 and 32, item (v)); the three years do not run while its execution is suspended under law or the person is abroad, and an act of execution interrupts them (Articles 33 and 34, paragraph (2)).
Written by AI using Penal Code, Arts. 9, 10, 15, 18, 31 to 34 as a reference.