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Supplementary Provisions

附　則

Supplementary Provisions, Article 1Effective Date

第一条（施行期日）

This Act comes into effect as of the date specified by Cabinet Order within a period not exceeding six months from the date of promulgation; provided, however, that provisions set forth in the following items come into effect on the date prescribed in each item:

この法律は、公布の日から起算して六月を超えない範囲内において政令で定める日から施行する。ただし、次の各号に掲げる規定は、当該各号に定める日から施行する。

The provisions of Article 3 of the Supplementary Provisions: the date of promulgation

附則第三条の規定　公布の日

Omitted

略

the provisions of amending , the provisions adding four paragraphs to , the provisions amending (limited to the part replacing "or " with ", , or "), the provisions amending , and , the provisions amending and (limited to the part replacing "," with ","), the provisions amending (limited to the part replacing "through " with "through "), the provisions amending , the provisions amending (limited to the part replacing "through " with "through "), and the provisions amending , and ; the provisions of amending ; the provisions of amending , the provisions adding one Article after , the provisions adding one Article after , and the provisions amending ; the provisions of amending , and , the provisions renumbering as and adding one Article after , the provisions adding one Article after , and the provisions amending , , , , and ; the provisions of adding one Article after ; the provisions of amending (excluding the part replacing " (Accumulation of Retained Earnings Reserves, etc.)" with " (Amounts of Capital Reserves and Retained Earnings Reserves)") and the provisions amending ; the provisions of amending ; the provisions of amending ; the provisions of amending , the provisions adding one Article after , the provisions amending and , and the provisions adding one Article after ; the provisions of amending the table of contents, , and , the provisions amending (limited to the part adding "(Act No. 25 of 1948)" after "Financial Instruments and Exchange Act"), the provisions adding one Article after , the provisions amending , the provisions adding one article before in Part II, Chapter IX, Section 2 of , the provisions amending , the provisions adding one Article after , and the provisions amending and and ; the provisions of amending and , the provisions adding one Article after , and the provisions amending ; the provisions of amending , the provisions adding one Article after , the provisions amending and , and the provisions amending the proviso to (excluding the part adding "and " after ""); the provisions of of the Supplementary Provisions amending (limited to the part replacing "," with ","); the provisions of of the Supplementary Provisions amending ; and the provisions of and of the Supplementary Provisions: the date specified by Cabinet Order within a period not exceeding one year from the date of promulgation.

中の改正規定、に四項を加える改正規定、の改正規定（「又は」を「、又は」に改める部分に限る。）、、及びの改正規定、及びの改正規定（「、」を「、」に改める部分に限る。）、の改正規定（「まで」を「まで」に改める部分に限る。）、の改正規定、の改正規定（「まで」を「まで」に改める部分に限る。）並びに、及びの改正規定、中の改正規定、中の改正規定、の次に一条を加える改正規定、の次に一条を加える改正規定及びの改正規定、中、及びの改正規定、をとし、の次に一条を加える改正規定、の次に一条を加える改正規定並びに、、、、及びの改正規定、中の次に一条を加える改正規定、中の改正規定（「（利益準備金の積立て等）」を「（資本準備金及び利益準備金の額）」に改める部分を除く。）及びの改正規定、中の改正規定、中の改正規定、中の改正規定、の次に一条を加える改正規定、及びの改正規定並びにの次に一条を加える改正規定、中保険業法目次、、及びの改正規定、の改正規定（「金融商品取引法」の下に「（）」を加える部分に限る。）、の次に一条を加える改正規定、の改正規定、第二編第九章第二節中の前に一条を加える改正規定、の改正規定、の次に一条を加える改正規定並びに並びに及びの改正規定、中及びの改正規定、の次に一条を加える改正規定並びにの改正規定、中の改正規定、の次に一条を加える改正規定、及びの改正規定並びにただし書の改正規定（「」の下に「及び」を加える部分を除く。）並びに中の改正規定（「、」を「、」に改める部分に限る。）、中の改正規定並びに及びの規定　公布の日から起算して一年を超えない範囲内において政令で定める日

Supplementary Provisions, Article 2Transitional Measures Accompanying Partial Amendment of the Financial Instruments and Exchange Act

第二条（金融商品取引法の一部改正に伴う経過措置）

The provisions of Article 2, paragraph (3), items (i) and (ii) and paragraph (4), item (i), Article 23-13, paragraph (3) (including as applied mutatis mutandis pursuant to Article 27 of the New Financial Instruments and Exchange Act) and Article 27-31 of the Financial Instruments and Exchange Act as amended by the provisions of (hereinafter referred to as the "New Financial Instruments and Exchange Act") apply to solicitation with a view to issuing new securities prescribed in Article 4, paragraph (1), item (iv) of the New Financial Instruments and Exchange Act or solicitation with a view to delivering existing securities prescribed in paragraph (2) of that Article that begins on or after the date of enforcement of this Act (except in the following Article, hereinafter referred to as "the effective date"), and the provisions then in force continue to govern solicitation with a view to issuing new securities prescribed in Article 4, paragraph (1), item (iv) of the Financial Instruments and Exchange Act as it was prior to amendment by the provisions of (hereinafter referred to as the "Former Financial Instruments and Exchange Act") or solicitation with a view to delivering existing securities prescribed in that began before the effective date.

の規定による改正後の金融商品取引法（以下「新金融商品取引法」という。）第二条第三項第一号及び第二号並びに第四項第一号、第二十三条の十三第三項（新金融商品取引法第二十七条において準用する場合を含む。）並びに第二十七条の三十一の規定は、この法律の施行の日（次条を除き、以下「施行日」という。）以後に開始する新金融商品取引法第四条第一項第四号に規定する有価証券発行勧誘等又は同条第二項に規定する有価証券交付勧誘等について適用し、施行日前に開始したの規定による改正前の金融商品取引法（以下「旧金融商品取引法」という。）に規定する有価証券発行勧誘等又はに規定する有価証券交付勧誘等については、なお従前の例による。

Supplementary Provisions, Article 3

第三条

In the case where the date of enforcement of the provisions set forth in Article 1, item (iii) of the Supplementary Provisions (hereinafter referred to in this Article as the "item (iii) effective date") is after the day on which one year elapses from the effective date of the (meaning the effective date prescribed in the main clause of Article 1 of the Supplementary Provisions of that Act) (hereinafter referred to in this Article as the "specified day"), if a person who has made a notification under paragraph (1) of Article 28 of the Supplementary Provisions of that Act pursuant to the provisions of that paragraph (hereinafter referred to in this paragraph as the "earlier notification") makes a notification to the Prime Minister by the specified day as prescribed by Cabinet Office Order, that person may continue to concurrently serve as a director, accounting advisor (if the accounting advisor is a juridical person, a member who is to perform its duties), company auditor or executive officer (including a board member, auditor or any other person equivalent thereto) or employee of the parent bank, etc. (meaning the parent bank, etc. prescribed in paragraph (1) of that Article) pertaining to that earlier notification, from the day following the specified day until the day preceding the item (iii) effective date.

附則第一条第三号に掲げる規定の施行の日（以下この条において「第三号施行日」という。）の施行日（同法附則第一条本文に規定する施行日をいう。）から起算して一年を経過する日（以下この条において「特定日」という。）後である場合には、同法附則第二十八条第一項の規定により同項の届出（以下この項において「旧届出」という。）をした者が、特定日までに内閣府令で定めるところにより内閣総理大臣に届出をしたときは、特定日の翌日から第三号施行日の前日までの間、引き続き当該旧届出に係る親銀行等（同条第一項に規定する親銀行等をいう。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員）、監査役若しくは執行役（理事、監事その他これに準ずる者を含む。）又は使用人を兼ねることができる。

In the case where the item (iii) effective date is after the specified day, if a person who has made a notification under paragraph (2) of Article 28 of the Supplementary Provisions of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) pursuant to the provisions of that paragraph (hereinafter referred to in this paragraph as the "earlier notification") makes a notification to the Prime Minister by the specified day as prescribed by Cabinet Office Order, that person may continue to concurrently serve as a director, accounting advisor (if the accounting advisor is a juridical person, a member who is to perform its duties), company auditor or executive officer (including a board member, auditor or any other person equivalent thereto) of the subsidiary bank, etc. (meaning the subsidiary bank, etc. prescribed in paragraph (2) of that Article) pertaining to that earlier notification, from the day following the specified day until the day preceding the item (iii) effective date.

第三号施行日が特定日後である場合には、証券取引法等の一部を改正する法律（平成十八年法律第六十五号）附則第二十八条第二項の規定により同項の届出（以下この項において「旧届出」という。）をした者が、特定日までに内閣府令で定めるところにより内閣総理大臣に届出をしたときは、特定日の翌日から第三号施行日の前日までの間、引き続き当該旧届出に係る子銀行等（同条第二項に規定する子銀行等をいう。）の取締役、会計参与（会計参与が法人であるときは、その職務を行うべき社員）、監査役又は執行役（理事、監事その他これに準ずる者を含む。）を兼ねることができる。

In the case where the item (iii) effective date is after the specified day, if a person who has made a notification under paragraph (3) of Article 28 of the Supplementary Provisions of the Act Partially Amending the Securities and Exchange Act, etc. (Act No. 65 of 2006) pursuant to the provisions of that paragraph (hereinafter referred to in this paragraph as the "earlier notification") makes a notification to the Prime Minister by the specified day as prescribed by Cabinet Office Order, that person may continue to engage in the ordinary business of a bank, cooperative financial institution or other financial institution specified by Cabinet Order prescribed in paragraph (3) of that Article pertaining to that earlier notification, from the day following the specified day until the day preceding the item (iii) effective date.

第三号施行日が特定日後である場合には、証券取引法等の一部を改正する法律（平成十八年法律第六十五号）附則第二十八条第三項の規定により同項の届出（以下この項において「旧届出」という。）をした者が、特定日までに内閣府令で定めるところにより内閣総理大臣に届出をしたときは、特定日の翌日から第三号施行日の前日までの間、引き続き当該旧届出に係る同条第三項に規定する銀行、協同組織金融機関その他政令で定める金融機関の常務に従事することができる。

The Prime Minister is to delegate the authority under the provisions of the preceding three paragraphs to the Commissioner of the Financial Services Agency.

内閣総理大臣は、前三項の規定による権限を金融庁長官に委任する。

A part of the authority delegated to the Commissioner of the Financial Services Agency pursuant to the provisions of the preceding paragraph may be delegated to the Director-General of a Local Finance Bureau or the Director-General of a Local Finance Branch Bureau, pursuant to the provisions of Cabinet Order.

前項の規定により金融庁長官に委任された権限については、政令で定めるところにより、その一部を財務局長又は財務支局長に委任することができる。

Supplementary Provisions, Article 4

第四条

The provisions of Article 46-3 of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the New Financial Instruments and Exchange Act apply to the business report under paragraph (1) of that Article for the business year prescribed in that paragraph that ends on or after the effective date, and the provisions then in force continue to govern the business report under of the Former Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to of the Former Financial Instruments and Exchange Act for the fiscal year (meaning the period from April 1 to March 31 of the following year; the same applies in the following paragraph) that includes the day preceding the first day of that business year.

新金融商品取引法第六十条の六において準用する新金融商品取引法第四十六条の三の規定は、施行日以後に終了する同条第一項に規定する事業年度に係る同項の事業報告書について適用し、当該事業年度の開始日の前日の属する年度（四月一日から翌年三月三十一日までの期間をいう。次項において同じ。）に係るにおいて準用するの事業報告書については、なお従前の例による。

The provisions of Article 49-3 of the New Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 60-6 of the New Financial Instruments and Exchange Act apply to the documents and written materials prescribed in paragraph (1) of that Article for the business year prescribed in that paragraph that ends on or after the effective date, and the provisions then in force continue to govern the documents and written materials prescribed in of the Former Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to of the Former Financial Instruments and Exchange Act for the fiscal year that includes the day preceding the first day of that business year.

新金融商品取引法第六十条の六において準用する新金融商品取引法第四十九条の三の規定は、施行日以後に終了する同条第一項に規定する事業年度に係る同項に規定する書類及び書面について適用し、当該事業年度の開始日の前日の属する年度に係るにおいて準用するに規定する書類及び書面については、なお従前の例による。

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。

Supplementary Provisions, Article 6

第六条

The provisions of Article 172-2, paragraphs (1) and (2) of the New Financial Instruments and Exchange Act apply to the act of causing a person to acquire or selling securities by a public offering or secondary distribution prescribed in paragraph (1) of that Article based on a disclosure document for offerings prescribed in paragraph (3) of that Article that is submitted on or after the effective date, and the provisions then in force continue to govern the act of causing a person to acquire or selling securities by a public offering or secondary distribution prescribed in of the Former Financial Instruments and Exchange Act based on a disclosure document for offerings prescribed in of the Former Financial Instruments and Exchange Act that was submitted before the effective date.

新金融商品取引法第百七十二条の二第一項及び第二項の規定は、施行日以後に提出される同条第三項に規定する発行開示書類に基づく同条第一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適用し、施行日前に提出されたに規定する発行開示書類に基づく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は、なお従前の例による。

The provisions of Article 172-2, paragraphs (4) and (5) of the New Financial Instruments and Exchange Act apply to the act of selling securities by a secondary distribution prescribed in Article 172, paragraph (3) of the New Financial Instruments and Exchange Act that begins on or after the effective date, and the provisions then in force continue to govern the act of selling securities by a secondary distribution that began before the effective date.

新金融商品取引法第百七十二条の二第四項及び第五項の規定は、施行日以後に開始する新金融商品取引法第百七十二条第三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適用し、施行日前に開始した売出しにより有価証券を売り付ける行為については、なお従前の例による。

The provisions of Article 172-2, paragraph (6) of the New Financial Instruments and Exchange Act apply to an amended offering disclosure document prescribed in that paragraph that is to be submitted for a public offering or secondary distribution prescribed in that paragraph that commences on or after the effective date.

新金融商品取引法第百七十二条の二第六項の規定は、施行日以後に開始する同項に規定する募集又は売出しについて提出すべき同項に規定する発行開示訂正書類について適用する。

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