Supplementary Provisions, Article 20
第二十条
With regard to the application of the provisions of Article 29-4, paragraph (1), item (i), (c) of the Financial Instruments and Exchange Act, a person who has violated the provisions, prior to their repeal by the provisions of Article 1 of the Arrangement Act, of the Act on Foreign Securities Firms (Act No. 5 of 1971; hereinafter referred to as the "Former Foreign Securities Firms Act"), the Act on Regulation of Securities Investment Advisory Business (Act No. 74 of 1986; hereinafter referred to as the "Former Securities Investment Advisory Business Act"), or the Financial Futures Trading Act (Act No. 77 of 1988; hereinafter referred to as the "Former Financial Futures Trading Act") (including those provisions in the case where the provisions then in force continue to govern pursuant to the provisions of Article 217 of the Arrangement Act), or the corresponding provisions of foreign laws and regulations, has been sentenced to a fine (including a sentence under foreign laws and regulations corresponding thereto), and for whom five years have not elapsed since the day on which the execution of the sentence was completed or the person ceased to be subject to the execution of the sentence, is deemed to be a person who falls under Article 29-4, paragraph (1), item (i), (c) of the Financial Instruments and Exchange Act.
金融商品取引法第二十九条の四第一項第一号ハの規定の適用については、整備法第一条の規定による廃止前の外国証券業者に関する法律（昭和四十六年法律第五号。以下「旧外国証券業者法」という。）、有価証券に係る投資顧問業の規制等に関する法律（昭和六十一年法律第七十四号。以下「旧証券投資顧問業法」という。）若しくは金融先物取引法（昭和六十三年法律第七十七号。以下「旧金融先物取引法」という。）の規定（整備法第二百十七条の規定によりなお従前の例によることとされる場合におけるこれらの規定を含む。）又はこれらに相当する外国の法令の規定に違反し、罰金の刑（これに相当する外国の法令による刑を含む。）に処せられ、その刑の執行を終わり、又はその刑の執行を受けることがなくなった日から五年を経過しない者については、同号ハに該当する者とみなす。
(Refusal of Registration)
a person falling under any of the following:
次のいずれかに該当する者
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
Arrangement Actmachine translation
「整備法」
Short name, in the supplementary provisions (附則) of Act No. 65 of 2006, for Act No. 66 of 2006, the Act that arranged related Acts for the coming into effect of Act No. 65 of 2006, which partially amended this Act and other Acts.
Short name set inSupplementary Provisions, Article 17, paragraph (1)
Former Foreign Securities Firms Actmachine translation
「旧外国証券業者法」
In the supplementary provisions (附則) of Act No. 65 of 2006, the law on foreign securities firms (外国証券業者に関する法律, Act No. 5 of 1971) as it stood before Article 1 of Act No. 66 of 2006, the Act arranging related Acts (整備法), abolished it.
Short name set inSupplementary Provisions, Article 20, paragraph (1)
Former Securities Investment Advisory Business Actmachine translation
「旧証券投資顧問業法」
In the supplementary provisions (附則) of Act No. 65 of 2006, short name for the law regulating securities investment advisory business (有価証券に係る投資顧問業の規制等に関する法律, Act No. 74 of 1986).
Short name set inSupplementary Provisions, Article 20, paragraph (1)
Former Financial Futures Trading Actmachine translation
「旧金融先物取引法」
In the supplementary provisions (附則) of Act No. 65 of 2006, short name for the law on financial futures trading (金融先物取引法, Act No. 77 of 1988).
Short name set inSupplementary Provisions, Article 20, paragraph (1)
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.