Supplementary Provisions, Article 31
第三十一条
A statement of holding subject voting rights that a person who, at the time of enforcement of this Act, is a major shareholder of a holding company (meaning a holding company prescribed in Article 29-4, paragraph (1), item (v), (d) of the New Financial Instruments and Exchange Act; the same applies hereinafter) that has a deemed registered type-I financial instruments business operator as its subsidiary company (meaning a subsidiary company prescribed in Article 29-4, paragraph (3) of the New Financial Instruments and Exchange Act; the same applies hereinafter, except in Articles 123 and 124 of the Supplementary Provisions) submitted before the effective date pursuant to the provisions of Article 33-2, paragraph (1) of the Former Securities and Exchange Act as applied mutatis mutandis pursuant to Article 33-5 of the Former Securities and Exchange Act is deemed to have been submitted on the effective date pursuant to the provisions of Article 32, paragraph (1) of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 32-4 of the New Financial Instruments and Exchange Act.
この法律の施行の際現にみなし登録第一種業者を子会社（新金融商品取引法第二十九条の四第三項に規定する子会社をいう。附則第百二十三条及び第百二十四条を除き、以下同じ。）とする持株会社（新金融商品取引法第二十九条の四第一項第五号ニに規定する持株会社をいう。以下同じ。）の主要株主である者が施行日前に旧証券取引法第三十三条の五において準用する旧証券取引法第三十三条の二第一項の規定により提出した対象議決権保有届出書は、施行日において新金融商品取引法第三十二条の四において準用する新金融商品取引法第三十二条第一項の規定により提出したものとみなす。
(Refusal of Registration)
a person falling under any of the following and seeking to engage in type-I financial instruments business or investment management business:
第一種金融商品取引業又は投資運用業を行おうとする場合にあつては、次のいずれかに該当する者
Open this provision(Refusal of Registration)
The term "subsidiary company" as used in paragraph (1), item (v), (d) and the preceding paragraph means a second company in which a first company holds the majority of the voting rights held by all…
第一項第五号ニ及び前項の「子会社」とは、会社がその総株主等の議決権の過半数を保有する他の会社をいう。この場合において、会社及びその一若しくは二以上の子会社又は当該会社の一若しくは二以上の子会社がその総株主等の議決権の過半数を保有する他の会社は、当該会社の子会社とみなす。
Open this provision(Mutatis Mutandis Application of Provisions on Major Shareholders)
The provisions of Article 32, paragraphs (1) and (2), Article 32-2, paragraph (1) and paragraph (1) of the preceding Article apply mutatis mutandis to the shareholders or equity holders of a holding…
第三十二条第一項及び第二項、第三十二条の二第一項並びに前条第一項の規定は、金融商品取引業者を子会社（第二十九条の四第四項に規定する子会社をいう。）とする持株会社（第二十九条の四第三項に規定する持株会社をいう。以下同じ。）の株主又は出資者について準用する。
Open this provision(Submission of a Statement of Holdings in Subject Voting Rights)
A person that has become the major shareholder (meaning a major shareholder as prescribed in Article 29-4, paragraph (2); hereinafter the same applies in this Section) of a financial instruments…
金融商品取引業者（第一種金融商品取引業又は投資運用業を行う者に限り、外国法人を除く。以下この款において同じ。）の主要株主（第二十九条の四第二項に規定する主要株主をいう。以下この節において同じ。）となつた者は、内閣府令で定めるところにより…
Open this provisionA deemed licensed exchange that, at the time of the enforcement of this Act, has listed former securities issued by a deemed licensed exchange, for the purpose of their purchase and sale…
この法律の施行の際現にみなし免許取引所が発行者である旧有価証券をその売買のため、又は当該旧有価証券、当該旧有価証券に係る金融指標（新金融商品取引法第二条第二十五項に規定する金融指標をいう。以下同じ。）若しくは当該旧有価証券に係るオプションを市場デリバティブ取引のために取引所金融商品市場（新金融商品取引法第二条第十七項…
Open this provisionA deemed licensed exchange that, at the time of enforcement of this Act, has obtained the approval under Article 110, paragraph (2) of the Former Securities and Exchange Act for listing on the…
この法律の施行の際現に旧証券取引法第百十条第二項第一号から第三号まで又は第五号に掲げる者（当該者がみなし免許取引所の子会社（前条第二項に規定する子会社をいう。）であるみなし免許取引所又はみなし認可取引所持株会社（以下この条において「関連取引所等」という。）である場合に限る。）が発行者である旧有価証券をその売買のためそ…
Open this provisionthe effective datemachine translation
「施行日」
The date Act No. 65 of 2006, 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」
This Act as amended by Article 3 of Act No. 65 of 2006.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
Former Securities and Exchange Actmachine translation
「旧証券取引法」
This Act as it stood before Article 3 of Act No. 65 of 2006 amended it.
Short name set inSupplementary Provisions, Article 14, paragraph (1)
deemed registered type-I financial instruments business operatormachine translation
「みなし登録第一種業者」
In the supplementary provisions (附則) of Act No. 65 of 2006, a person that was registered under Article 28 of this Act as it stood before Act No. 65 of 2006 amended it, under its former title (証券取引法) when that Act came into effect, and that Article 18, paragraph (1) of those supplementary provisions therefore treats as registered under Article 29 of this Act as Act No. 65 of 2006 amended it as a financial instruments business operator (金融商品取引業者) for the businesses that paragraph lists.
Short name set inSupplementary Provisions, Article 18, paragraph (2)
major shareholder
「主要株主」
In the supplementary provisions (附則) of Act No. 65 of 2006, a major shareholder as defined in Article 29-4, paragraph (2) of this Act as Act No. 65 of 2006 amended it.
Defined inSupplementary Provisions, Article 29, paragraph (1)
subsidiary company
「子会社」
In the supplementary provisions (附則) of Act No. 65 of 2006, other than Articles 123 and 124, a subsidiary company as defined in Article 29-4, paragraph (3) of this Act as that Act amended it.
Defined inSupplementary Provisions, Article 31, paragraph (1)· applies from here on, except in Supplementary Provisions, Articles 123 and 124
holding company
「持株会社」
In the supplementary provisions (附則) of Act No. 65 of 2006, a holding company as provided in Article 29-4, paragraph (1), item (v), (d) of this Act as amended by Article 3 of that Act.
Defined inSupplementary Provisions, Article 31, paragraph (1)