Supplementary Provisions
附 則
Supplementary Provisions, Article 1Effective Date
第一条(施行期日)
This Act comes into effect on December 1, 2005 (hereinafter referred to as "the effective date"); provided, however, that the provisions amending Article 27-2, paragraph (1) and Article 178, paragraph (2), and the provisions amending Article 198, item (vi) (limited to the part replacing ", paragraph (3) of that Article" with ", paragraph (4) of that Article") come into effect on the day on which ten days have elapsed from the date of promulgation, and the provisions amending Article 194-6, paragraph (3) come into effect on July 1 of the same year.
この法律は、平成十七年十二月一日(以下「施行日」という。)から施行する。ただし、第二十七条の二第一項及び第百七十八条第二項の改正規定並びに第百九十八条第六号の改正規定(「、同条第三項」を「、同条第四項」に改める部分に限る。)は公布の日から起算して十日を経過した日から、第百九十四条の六第三項の改正規定は同年七月一日から施行する。
Supplementary Provisions, Article 2Transitional Measures Concerning Annual Securities Reports, etc. Submitted by Foreign Companies, etc.
第二条(外国会社等の提出する有価証券報告書等に関する経過措置)
The provisions of Articles 24, 24-2 and 24-5 of the Financial Instruments and Exchange Act as amended by the provisions of Article 3 of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) (hereinafter referred to as the "New Financial Instruments and Exchange Act") (including the case where those provisions apply mutatis mutandis pursuant to Article 27 of the New Financial Instruments and Exchange Act) apply starting with the annual securities reports and their accompanying documents, the amended reports of those, and the semiannual securities reports and their amended reports, submitted by an issuer of securities set forth in the following items on or after the day specified in the respective items, and with regard to those submitted before the day specified in the respective items, the provisions then in force continue to govern.
Securities specified by Cabinet Order among the beneficiary certificates of foreign investment trusts prescribed in Article 2, paragraph (1), item (x) of the New Financial Instruments and Exchange Act: the effective date
新金融商品取引法第二条第一項第十号に規定する外国投資信託の受益証券のうち、政令で定める有価証券 施行日
Securities other than those set forth in the preceding item: the date specified by Cabinet Order within the period from the effective date to March 31, 2009
Supplementary Provisions, Article 3Transitional Measures Concerning Parent Company, etc. Status Reports
第三条(親会社等状況報告書に関する経過措置)
The provisions of Article 24, paragraphs (8), (9), and (11) through (13) of the New Financial Instruments and Exchange Act, as applied mutatis mutandis pursuant to Article 24-7, paragraph (5) of the New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (6) of that Article), apply starting with the parent company, etc. status reports submitted on or after the date specified by Cabinet Order within the period from the effective date to March 31, 2009.
新金融商品取引法第二十四条の七第五項(同条第六項において準用する場合を含む。)において準用する新金融商品取引法第二十四条第八項、第九項及び第十一項から第十三項までの規定は、施行日から平成二十一年三月三十一日までの範囲内において政令で定める日以後に提出される親会社等状況報告書から適用する。
Supplementary Provisions, Article 4Transitional Measures Concerning Tender Offers
第四条(公開買付けに関する経過措置)
The provisions of Article 27-2, paragraph (1) of the New Securities and Exchange Act apply to the purchase, etc. of share certificates, etc. prescribed in that paragraph that commences on or after the day on which that provision comes into effect, and with regard to the purchase, etc. of share certificates, etc. prescribed in Article 27-2, paragraph (1) of the Securities and Exchange Act before its amendment by this Act that commenced before that day, the provisions then in force continue to govern.
新証券取引法第二十七条の二第一項の規定は、当該規定の施行の日以後に開始する同項に規定する株券等の買付け等について適用し、同日前に開始したこの法律による改正前の証券取引法第二十七条の二第一項に規定する株券等の買付け等については、なお従前の例による。
Supplementary Provisions, Article 5Transitional Measures Concerning Surcharges
第五条(課徴金に関する経過措置)
The provisions of Article 172-2, paragraphs (1) and (2) of the New Securities and Exchange Act apply to the submission, on or after the effective date, of an annual securities report, etc. (meaning an annual securities report, etc. prescribed in paragraph (1) of that Article; the same applies in the following paragraph) or a semiannual securities or extraordinary report, etc. (meaning a semiannual securities or extraordinary report, etc. prescribed in paragraph (2) of that Article; the same applies in the following paragraph).
With regard to the application of the provisions of Article 172-2, paragraph (1) or (2) of the New Securities and Exchange Act in the case where a person who has submitted an annual securities report, etc. or a semiannual securities or extraordinary report, etc. by the day on which one year elapses from the effective date falls under all of the following, the phrase "3,000,000 yen" in Article 172-2, paragraph (1), item (i) of the New Securities and Exchange Act is deemed to be replaced with "2,000,000 yen", the phrase "three one-hundred-thousandths" in item (ii), (b) of that paragraph is deemed to be replaced with "two one-hundred-thousandths", and in paragraph (2) of that Article, the phrase "item (i) of the preceding paragraph" is deemed to be replaced with "item (i) of the preceding paragraph as applied with the terms replaced pursuant to Article 5, paragraph (2) of the Supplementary Provisions of the Act Partially Amending the Securities and Exchange Act (Act No. 76 of 2005)", the phrase "item (ii) of that paragraph" is deemed to be replaced with "item (ii) of the preceding paragraph as applied with the terms replaced pursuant to paragraph (2) of that Article", and the phrase "item (i) of that paragraph" is deemed to be replaced with "item (i) of the preceding paragraph as applied with the terms replaced pursuant to paragraph (2) of that Article".
施行日から起算して一年を経過する日までの間に有価証券報告書等又は半期・臨時報告書等を提出した者が次のいずれにも該当する場合における新証券取引法第百七十二条の二第一項又は第二項の規定の適用については、同条第一項第一号中「三百万円」とあるのは「二百万円」と、同項第二号ロ中「十万分の三」とあるのは「十万分の二」と、同条第二項中「前項第一号」とあるのは「証券取引法の一部を改正する法律(平成十七年法律第七十六号)附則第五条第二項において読み替えて適用する前項第一号」と、「同項第二号」とあるのは「同条第二項において読み替えて適用する前項第二号」と、「同項第一号」とあるのは「同条第二項において読み替えて適用する前項第一号」とする。
The person has not received a decision under Article 185-7, paragraph (1) of the New Securities and Exchange Act (limited to one pertaining to Article 178, paragraph (1), item (ii) of the New Securities and Exchange Act) or a decision under Article 185-7, paragraphs (2) through (4) of the New Securities and Exchange Act, and is not a person for whom five years have not elapsed since the day on which the person, having been sentenced to a penalty for committing, before the submission of that annual securities report, etc. or semiannual securities or extraordinary report, etc., an offense under Article 197, paragraph (1), item (i) or Article 198, item (vi) (limited to the part pertaining to the submission of an annual securities report, etc. or semiannual securities or extraordinary report, etc.) of the Securities and Exchange Act, completed the execution of the sentence or ceased to be subject to its execution;
By the day before the day on which the submission of reports or materials, or the inspection of books, documents, and other articles, under the provisions of Article 26 of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to Article 27 of the New Securities and Exchange Act) was first conducted in connection with the case pertaining to the submission of that annual securities report, etc. or semiannual securities or extraordinary report, etc., the person has submitted an amended report under Article 7 of the New Securities and Exchange Act as the term is replaced pursuant to the provisions of Article 24-2, paragraph (1) of the New Securities and Exchange Act (including as applied mutatis mutandis pursuant to Article 27 of the New Securities and Exchange Act), correcting the contents of that annual securities report, etc. or semiannual securities or extraordinary report, etc.;
The person has taken the measures necessary to prevent a recurrence of the submission of an annual securities report, etc. or a semiannual securities or extraordinary report, etc. containing a false statement regarding a material particular.
Supplementary Provisions, Article 6Review
第六条(検討)
The government is to, aiming for approximately two years, take into account the implementation status of the system pertaining to surcharges as amended by this Act, changes in socioeconomic conditions, etc., review what the system pertaining to surcharges ought to be, including the method of calculating the amount of surcharges, their level, and measures for monitoring violations, and take required measures based on the results.
政府は、おおむね二年を目途として、この法律による改正後の課徴金に係る制度の実施状況、社会経済情勢の変化等を勘案し、課徴金の額の算定方法、その水準及び違反行為の監視のための方策を含め、課徴金に係る制度の在り方等について検討を加え、その結果に基づいて所要の措置を講ずるものとする。
Once five years have passed after this Act comes into effect, the government is to take into account the implementation status of the provisions amended by this Act and the changes in socioeconomic conditions, review the financial system amended by this Act, and take the required measures based on the results of the review if it finds this to be necessary.
政府は、この法律の施行後五年間を経過した場合において、この法律による改正後の規定の実施状況、社会経済情勢の変化等を勘案し、この法律による改正後の金融諸制度について検討を加え、必要があると認めるときは、その結果に基づいて所要の措置を講ずるものとする。
(Definitions)
beneficiary certificates of an investment trust or foreign investment trust which are prescribed in the Act on Investment Trusts and Investment Corporations (Act No. 198 of 1951);
投資信託及び投資法人に関する法律(昭和二十六年法律第百九十八号)に規定する投資信託又は外国投資信託の受益証券
Open this provision(Submission of Annual Securities Reports)
If securities issued by a company (excluding regulated securities; hereinafter the same applies in this Article, except in the following items) fall under any of the categories set forth in the…
有価証券の発行者である会社は、その会社が発行者である有価証券(特定有価証券を除く。次の各号を除き、以下この条において同じ。)が次に掲げる有価証券のいずれかに該当する場合には、内閣府令で定めるところにより、事業年度ごとに、当該会社の商号…
Open this provision(Mutatis Mutandis Application of Provisions on Amended Statements)
The provisions of Article 7, paragraph (1),Article 9, paragraph (1), and Article 10, paragraph (1) apply mutatis mutandis to an annual securities report and accompanying documents.
第七条第一項、第九条第一項及び第十条第一項の規定は、有価証券報告書及びその添付書類について準用する。この場合において、第七条第一項中「第四条第一項から第三項までの規定による届出の日以後当該届出がその効力を生ずることとなる日前において、第五条第一項及び第十三項の規定による届出書類」とあるのは「有価証券報告書及びその添付…
Open this provision(Submission of Semiannual Securities Reports and Extraordinary Reports)
A company that is required to submit an annual securities report under Article 24, paragraph (1) (including a company that has submitted an annual securities report pursuant to Article 23-3…
第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により有価証券報告書を提出した会社を含む。第四項において同じ。)は、事業年度ごとに、当該事業年度が開始した日から六月が経過したときは、内閣府令で定めるところにより、次の表の各号の上欄に掲げる区分に応じ、それぞれ…
Open this provision(Submission of a Parent Company Status Report)
The provisions of Article 24, paragraphs (8), (9), and (11) through (13) apply mutatis mutandis if a parent company, etc. that is a foreign company submits a parent company, etc. status report.
第二十四条第八項、第九項及び第十一項から第十三項までの規定は、外国会社である親会社等が親会社等状況報告書を提出する場合について準用する。この場合において、同条第八項中「外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)」とあるのは「外国会社である親会社等…
Open this provision(Submission of a Parent Company Status Report)
The provisions of the preceding paragraphs apply mutatis mutandis if the parent company, etc. is a person other than a company.
前各項の規定は、親会社等が会社以外の者である場合について準用する。この場合において、第一項中「議決権の過半数を所有している会社」とあるのは「議決権の過半数を所有している会社以外の者」と、「密接な関係を有するものとして政令で定めるもの」とあるのは「密接な関係を有する会社以外の者として政令で定める会社以外の者」と…
Open this provision(Submission of Annual Securities Reports)
If a reporting foreign company submits a foreign company report and its supplementary documents pursuant to paragraphs (8) and (9), the foreign company report and supplementary documents are deemed…
第八項及び第九項の規定により報告書提出外国会社が外国会社報告書及びその補足書類を提出した場合には、当該外国会社報告書及びその補足書類を有価証券報告書とみなし、これらの提出を有価証券報告書等を提出したものとみなして、金融商品取引法令の規定を適用する。
Open this provision(Submission of Annual Securities Reports)
If the Prime Minister finds that a reporting foreign company that has submitted a foreign company report does not satisfy the requirements referred do in the provisions of paragraph (8) for being…
内閣総理大臣は、外国会社報告書を提出した報告書提出外国会社が第八項の規定により外国会社報告書を提出することができる場合に該当しないと認めるときは、当該報告書提出外国会社に対し、その旨を通知しなければならない。
Open this provision(Submission of Annual Securities Reports)
Notwithstanding the provisions of paragraph (1), if a reporting foreign company receives a notice under the preceding paragraph, it must submit an annual securities report under the provisions of…
前項の規定による通知を受けた報告書提出外国会社は、第一項の規定にかかわらず、同項の規定による有価証券報告書を、当該通知があつた日を起算日として公益又は投資者保護のため必要かつ適当なものとして政令で定める期間内に提出しなければならない。
Open this provision(Submission of Annual Securities Reports)
In a case that is specified by Cabinet Office Order as one in which this does not damage the public interest or result in insufficient investor protection…
第一項(第五項において準用する場合を含む。以下この項から第十三項までにおいて同じ。)の規定により有価証券報告書を提出しなければならない外国会社(第二十三条の三第四項の規定により有価証券報告書を提出したものを含む。以下「報告書提出外国会社」という。)は…
Open this provision(Submission of Annual Securities Reports)
A Japanese translation of the summary of the particulars stated in a foreign company report that are specified by Cabinet Office Order as necessary and appropriate in the public interest or for the…
外国会社報告書には、内閣府令で定めるところにより、当該外国会社報告書に記載されている事項のうち公益又は投資者保護のため必要かつ適当なものとして内閣府令で定めるものの要約の日本語による翻訳文…
Open this provision(Mutatis Mutandis Application of Provisions for an Issuer That Is Not a Company)
The provisions of Article 2-3; Articles 5 through 13; Articles 15 through 24-5-2; and Article 24-7 through the preceding Article apply mutatis mutandis if the issuer is a person other than a company…
第二条の三、第五条から第十三条まで、第十五条から第二十四条の五の二まで及び第二十四条の七から前条までの規定は、発行者が会社以外の者(第五条第六項から第九項まで、第七条第二項、第九条第二項、第十条第二項、第二十四条第八項から第十三項まで、第二十四条の二第四項、第二十四条の四の二第六項(第二十四条の五の二第一項において準…
Open this provisionTransitional Measures Concerning Annual Securities Reports, etc. Submitted by Foreign Companies, etc.
Securities specified by Cabinet Order among the beneficiary certificates of foreign investment trusts prescribed in Article 2, paragraph (1), item (x) of the New Financial Instruments and Exchange…
新金融商品取引法第二条第一項第十号に規定する外国投資信託の受益証券のうち、政令で定める有価証券 施行日
Open this provisionTransitional Measures Concerning Surcharges
With regard to the application of the provisions of Article 172-2, paragraph (1) or (2) of the New Securities and Exchange Act in the case where a person who has submitted an annual securities report…
施行日から起算して一年を経過する日までの間に有価証券報告書等又は半期・臨時報告書等を提出した者が次のいずれにも該当する場合における新証券取引法第百七十二条の二第一項又は第二項の規定の適用については、同条第一項第一号中「三百万円」とあるのは「二百万円」と、同項第二号ロ中「十万分の三」とあるのは「十万分の二」と…
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
issuer
「発行者」
A person who issues or intends to issue securities, or for securities a Cabinet Office Order (内閣府令) specifies, the person it specifies; for rights treated as securities under Article 2, paragraph (2), the person a Cabinet Office Order specifies for each kind of right is treated as issuing them, at the time it specifies.
Defined inArticle 2, paragraph (5)
annual securities report
「有価証券報告書」
An annual securities report: the report that a company issuing securities listed on a financial instruments exchange, or otherwise falling under Article 24, paragraph (1), must submit to the Prime Minister for each business year, setting out its trade name, the state of its corporate group and its accounts, and other important matters about its business, within three months after the year ends for a domestic company.
Short name set inArticle 24, paragraph (1)
semiannual securities reportmachine translation
「半期報告書」
The report that every company required to submit annual securities reports (有価証券報告書) must submit to the Prime Minister under Article 24-5, paragraph (1) for the first six months of each business year, stating the particulars the table in that paragraph sets for its category, within the period the table sets.
Defined inArticle 24-5, paragraph (1)
parent company, etc. status report
「親会社等状況報告書」
The report that a parent company, etc. (親会社等) must submit to the Prime Minister for each of its business years, within three months after the year ends (within a period a Cabinet Order (政令) sets, for a foreign company), stating matters on those who own its shares and other matters a Cabinet Office Order (内閣府令) specifies, unless the Prime Minister has approved its not doing so.
Defined inArticle 24-7, paragraph (3)
purchase, etc. of share certificates, etc.
「株券等の買付け等」
In Article 175-2, paragraph (4), item (ii), a purchase of share certificates, etc.; a transaction under Article 2, paragraph (21), item (ii) in which one is the party that receives money if the actual figure exceeds the agreed figure; a transaction under item (iii) of that paragraph in which one is the party that acquires the option; and other transactions a Cabinet Order (政令) specifies.
Defined inArticle 175-2, paragraph (11)
the effective datemachine translation
「施行日」
The date Act No. 76 of 2005, the amending Act these supplementary provisions (附則) belong to, comes into effect.
Short name set inSupplementary Provisions, Article 1, paragraph (1)
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
In the supplementary provisions (附則) of Act No. 76 of 2005, this Act as amended by Article 3 of Act No. 65 of 2006.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
semiannual securities or extraordinary report, etc.machine translation
「半期・臨時報告書等」
In Article 5 of the supplementary provisions (附則) of Act No. 76 of 2005, a semiannual securities or extraordinary report, etc. as defined in Article 172-2, paragraph (2) of this Act as that Act amended it, under its former title (証券取引法).
Defined inSupplementary Provisions, Article 5, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 5, paragraph (2)
annual securities report, etc.machine translation
「有価証券報告書等」
In Article 5 of the supplementary provisions (附則) of Act No. 76 of 2005, annual securities reports, etc. as defined in Article 172-2, paragraph (1) of this Act under its former name (証券取引法) as that Act amended it.
Defined inSupplementary Provisions, Article 5, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 5, paragraph (2)