Supplementary Provisions, Article 5
第五条
The provisions of Article 172, paragraph (1) of the New Financial Instruments and Exchange Act apply to a public offering or secondary distribution of securities prescribed in that paragraph that begins on or after the effective date or to general solicitation involving securities acquired by a qualified institutional investor prescribed in Article 4, paragraph (2) of the New Financial Instruments and Exchange Act; the provisions of Article 172, paragraph (2) of the New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (4) of that Article) apply to the act of causing a person to acquire or selling securities by a public offering or secondary distribution prescribed in paragraph (2) of that Article that begins on or after the effective date; and the provisions of paragraph (3) of that Article apply to the act of selling securities by a secondary distribution prescribed in that paragraph that begins on or after the effective date, respectively.
新金融商品取引法第百七十二条第一項の規定は施行日以後に開始する同項に規定する有価証券の募集若しくは売出し又は新金融商品取引法第四条第二項に規定する適格機関投資家取得有価証券一般勧誘について、新金融商品取引法第百七十二条第二項（同条第四項において準用する場合を含む。）の規定は施行日以後に開始する同条第二項に規定する募集又は売出しにより有価証券を取得させ、又は売り付ける行為について、同条第三項の規定は施行日以後に開始する同項に規定する売出しにより有価証券を売り付ける行為について、それぞれ適用する。
(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If, in respect of a public offering or secondary distribution of securities subject to a notification under Article 4, paragraph (1), a general solicitation involving securities acquired by a…
第四条第一項の規定による届出を必要とする有価証券の募集若しくは売出し、同条第二項の規定による届出を必要とする適格機関投資家取得有価証券一般勧誘又は同条第三項の規定による届出を必要とする特定投資家等取得有価証券一般勧誘について、これらの届出が受理されていないのに当該募集若しくは売出し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If an issuer violates the provisions of Article 15, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) in causing securities set forth in Article 15…
第十五条第一項（第二十七条において準用する場合を含む。）の規定に違反して、同項に規定する有価証券を募集（第四条第一項に規定する有価証券の募集をいう。第百七十三条から第百七十四条の三までを除き、以下この章において同じ。）により取得させた発行者又は売出し（第四条第四項に規定する有価証券の売出しをいう。次項、次条第四項及び…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
If a person violates the provisions of Article 15, paragraph (2) (including as applied mutatis mutandis pursuant to Article 27) in selling securities that it owns through a secondary distribution…
第十五条第二項（第二十七条において準用する場合を含む。）の規定に違反して、目論見書（第十三条第一項に規定する既に開示された有価証券の売出し（同項に規定する有価証券の売出しをいう。以下この項、次条第四項及び第五項、第百七十八条第五項及び第八項並びに第百八十五条の七第十四項において同じ。）に係る目論見書に限る。以下この章…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person that Conducts a Public Offering of Securities Without Having Its Notification Accepted by the Prime Minister)
The provisions of paragraph (2) apply mutatis mutandis if an issuer violates the provisions of Article 23-8, paragraph (1) (including as applied mutatis mutandis pursuant to Article 27) in causing…
第二項の規定は、第二十三条の八第一項（第二十七条において準用する場合を含む。）の規定に違反して、同項に規定する有価証券を募集により取得させた発行者又は売出しにより売り付けた者（自己の所有する有価証券を売り付けた者に限る。）がある場合について準用する。
Open this provision(Notification of Public Offering or Secondary Distribution)
It is not permitted for a person to issue a solicitation with a view to delivering existing securities (meaning a solicitation for selling, etc. or procedures related to the delivery of securities…
その有価証券発行勧誘等（取得勧誘及び組織再編成発行手続をいう。以下同じ。）又は有価証券交付勧誘等（売付け勧誘等及び組織再編成交付手続をいう。以下同じ。）が次に掲げる場合に該当するものであつた有価証券（第二号に掲げる場合にあつては第二条第三項第一号の規定により多数の者から除かれた適格機関投資家が取得した有価証券に限り、…
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
public offering of securities
「有価証券の募集」
A public offering of securities: a solicitation of applications to acquire newly issued securities (取得勧誘) that, for paragraph (1) securities (第一項有価証券), is made to many persons as a Cabinet Order (政令) sets or falls under none of the exemptions for solicitations made only to qualified institutional investors, only to professional investors, or to a small number of persons, and that, for paragraph (2) securities (第二項有価証券), will lead a fairly large number of persons, as a Cabinet Order sets, to hold the securities.
Defined inArticle 2, paragraph (3)
general solicitation involving securities acquired by a qualified institutional investormachine translation
「適格機関投資家取得有価証券一般勧誘」
A solicitation with a view to delivering existing securities (有価証券交付勧誘等) that a qualified institutional investor (適格機関投資家) makes to persons who are not qualified institutional investors, involving securities whose original solicitation fell under one of the cases listed in Article 4, paragraph (2) (in the cases in items (ii) and (iv), only securities acquired by qualified institutional investors left out of the count of persons solicited).
Short name set inArticle 4, paragraph (2)
public offeringmachine translation
「募集」
In Chapter 6-2, other than in Articles 173 to 174-3, a public offering of securities (有価証券の募集) as defined in Article 4, paragraph (1).
Defined inArticle 172, paragraph (2)· applies only in this chapter, except in Articles 173 to 174-3
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Article 1 of Act No. 65 of 2008.
Short name set inSupplementary Provisions, Article 2, paragraph (1)
the effective datemachine translation
「施行日」
The date Act No. 65 of 2008, to which these supplementary provisions (附則) belong, comes into effect.
Short name set inSupplementary Provisions, Article 2, paragraph (1)· applies from here on, except in Supplementary Provisions, Article 3