Supplementary Provisions, Article 66
第六十六条
A sales representative for whom a deemed registered financial institution has received registration pursuant to the provisions of Article 64, paragraph (1) of the Former Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (5) of the Former Securities and Exchange Act at the time of the enforcement of this Act is deemed to have been registered on the effective date pursuant to the provisions of Article 64, paragraph (1) of the New Financial Instruments and Exchange Act. In this case, the provisions of Article 64, paragraph (6) of the New Financial Instruments and Exchange Act do not apply.
この法律の施行の際現に旧証券取引法第六十五条の二第五項において準用する旧証券取引法第六十四条第一項の規定によりみなし登録金融機関が登録を受けている外務員は、施行日において新金融商品取引法第六十四条第一項の規定により登録を受けたものとみなす。この場合において、同条第六項の規定は、適用しない。
Until the day on which one year has passed counting from the effective date, a deemed registered financial institution may, notwithstanding the provisions of Article 64, paragraph (2) of the New Financial Instruments and Exchange Act, have a person other than a sales representative registered pursuant to the provisions of paragraph (1) of that Article perform the duties of a sales representative (excluding the acts set forth in the items of Article 64, paragraph (1) of the Former Securities and Exchange Act (excluding acts of brokerage with written orders (meaning the acts of brokerage with written orders prescribed in Article 33, paragraph (2) of the New Financial Instruments and Exchange Act)) and the acts set forth in the items of Article 95, paragraph (1) of the Former Financial Futures Trading Act). The same applies, where an application for registration under Article 64, paragraph (1) of the New Financial Instruments and Exchange Act has been filed in respect of that person within that period, until the day on which the person receives notice that the application will be registered or the day on which the person receives notice, after that period has elapsed, that the application will not be registered.
みなし登録金融機関は、施行日から起算して一年を経過する日までの間は、新金融商品取引法第六十四条第二項の規定にかかわらず、同条第一項の規定により登録を受けた外務員以外の者に外務員の職務（旧証券取引法第六十四条第一項各号に掲げる行為（書面取次ぎ行為（新金融商品取引法第三十三条第二項に規定する書面取次ぎ行為をいう。）を除く。）及び旧金融先物取引法第九十五条第一項各号に掲げる行為を除く。）を行わせることができる。その者につき当該期間内に新金融商品取引法第六十四条第一項の登録の申請をした場合において、当該申請について登録をする旨の通知を受ける日又は当該申請について当該期間の経過後登録をしない旨の通知を受ける日までの間も、同様とする。
The sales representatives register under the provisions of Article 64, paragraph (1) of the Former Securities and Exchange Act as applied mutatis mutandis pursuant to Article 65-2, paragraph (5) of the Former Securities and Exchange Act that exists at the time of the enforcement of this Act is deemed to be the sales representatives register under the provisions of Article 64, paragraph (1) of the New Financial Instruments and Exchange Act.
この法律の施行の際現に存する旧証券取引法第六十五条の二第五項において準用する旧証券取引法第六十四条第一項の規定による外務員登録原簿は、新金融商品取引法第六十四条第一項の規定による外務員登録原簿とみなす。
(Prohibition on Engagement in Securities Services by Financial Institutions)
The provisions of the main clause of the preceding paragraph do not apply if a financial institution conducts brokerage with written orders…
前項本文の規定は、金融機関が、書面取次ぎ行為（顧客の書面による注文を受けてその計算において有価証券の売買又は有価証券関連デリバティブ取引を行うことをいい、当該注文に関する顧客に対する勧誘に基づき行われるもの及び当該金融機関が行う投資助言業務に関しその顧客から注文を受けて行われるものを除く。次条第一号において同じ。）又…
Open this provision(Registration of Sales Representatives)
A financial instruments business operator, etc. must have a registration made in a sales representatives register that is kept in a location set forth by Cabinet Office Order…
金融商品取引業者等は、勧誘員、販売員、外交員その他いかなる名称を有する者であるかを問わず、その役員又は使用人のうち、その金融商品取引業者等のために次に掲げる行為を行う者（以下「外務員」という。）の氏名、生年月日その他内閣府令で定める事項につき…
Open this provision(Registration of Sales Representatives)
A financial instruments business operator, etc. must not allow a person other than one for which a registration has been made pursuant to the preceding paragraph to perform the duties of a sales…
金融商品取引業者等は、前項の規定により当該金融商品取引業者等が登録を受けた者以外の者に外務員の職務（同項各号に掲げる行為をいう。以下同じ。）を行わせてはならない。
Open this provision(Registration of Sales Representatives)
Upon making a registration referred to in paragraph (1), the Prime Minister must notify the applicant of this in writing.
内閣総理大臣は、第一項の登録をしたときは、書面により、その旨を登録申請者に通知しなければならない。
Open this provisionbrokerage with written orderscorrected by this site
「書面取次ぎ行為」
Brokerage with written orders: a financial institution's buying or selling of securities, or carrying out of a securities-related derivatives transaction, for a customer's account on that customer's written order, other than on an order the institution solicited from the customer or one it received in connection with its own investment advisory business; Article 33, paragraph (2) lets a bank or other financial institution do this although paragraph (1) bars it from securities-related business, and under Article 33-2, item (i) it must be registered with the Prime Minister to do it as a business.
Defined inArticle 33, paragraph (2)· applies only in this provision and in Article 33-2, paragraph (1), item (i)
sales representative
「外務員」
An officer or employee of a financial instruments business operator, etc. who, whatever their title, carries out for it the acts listed in Article 64, paragraph (1), such as soliciting purchases and sales of securities or derivatives transactions; each must be registered in the register of sales representatives.
Short name set inArticle 64, paragraph (1)
the 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)
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)
deemed registered financial institutionmachine translation
「みなし登録金融機関」
In the supplementary provisions (附則) of Act No. 65 of 2006, a bank, cooperative financial institution (協同組織金融機関) or other financial institution a Cabinet Order (政令) specifies that was registered under Article 65-2, paragraph (1) 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 54, paragraph (1) of those supplementary provisions therefore treats as registered under Article 33-2 of this Act as Act No. 65 of 2006 amended it.
Short name set inSupplementary Provisions, Article 54, paragraph (2)