Supplementary Provisions, Article 2Transitional Measures Concerning Administrative Monetary Penalties
第二条（課徴金に関する経過措置）
The provisions of Article 172-12 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (hereinafter in this Article referred to as the "New Financial Instruments and Exchange Act") apply to a specified involvement act prescribed in Article 172-12, paragraph (1) of the New Financial Instruments and Exchange Act that commences on or after the date of enforcement of the provisions set forth in item (ii) of the preceding Article (hereinafter in this Article referred to as the "item (ii) effective date").
第一条の規定による改正後の金融商品取引法（以下この条において「新金融商品取引法」という。）第百七十二条の十二の規定は、前条第二号に掲げる規定の施行の日（以下この条において「第二号施行日」という。）以後に開始する新金融商品取引法第百七十二条の十二第一項に規定する特定関与行為について適用する。
The provisions of Articles 173 through 174-3 of the New Financial Instruments and Exchange Act apply to a violation prescribed in Article 173, paragraph (1), Article 174, paragraph (1), Article 174-2, paragraph (1) or Article 174-3, paragraph (1) of the New Financial Instruments and Exchange Act that commences on or after the item (ii) effective date, and the provisions then in force continue to govern a violation prescribed in Article 173, paragraph (1), Article 174, paragraph (1), Article 174-2, paragraph (1) or Article 174-3, paragraph (1) of the Financial Instruments and Exchange Act prior to amendment by the provisions of Article 1 (referred to as the "Former Financial Instruments and Exchange Act" in the following paragraph) that commenced before the item (ii) effective date.
新金融商品取引法第百七十三条から第百七十四条の三までの規定は、第二号施行日以後に開始する新金融商品取引法第百七十三条第一項、第百七十四条第一項、第百七十四条の二第一項又は第百七十四条の三第一項に規定する違反行為について適用し、第二号施行日前に開始した第一条の規定による改正前の金融商品取引法（次項において「旧金融商品取引法」という。）第百七十三条第一項、第百七十四条第一項、第百七十四条の二第一項又は第百七十四条の三第一項に規定する違反行為については、なお従前の例による。
The provisions of Article 175 of the New Financial Instruments and Exchange Act apply to purchase and sale, etc. prescribed in Article 166, paragraph (1) of the New Financial Instruments and Exchange Act, or to purchase, etc. of specified share certificates, etc. or related share certificates, etc. prescribed in Article 167, paragraph (1) of the New Financial Instruments and Exchange Act, or sale, etc. of share certificates, etc. prescribed in that paragraph, that are made on or after the item (ii) effective date, and the provisions then in force continue to govern purchase and sale, etc. prescribed in Article 166, paragraph (1) of the Former Financial Instruments and Exchange Act, or purchase, etc. of specified share certificates, etc. or related share certificates, etc. prescribed in Article 167, paragraph (1) of the Former Financial Instruments and Exchange Act, or sale, etc. of share certificates, etc. prescribed in that paragraph, that were made before the item (ii) effective date.
新金融商品取引法第百七十五条の規定は、第二号施行日以後に行われる新金融商品取引法第百六十六条第一項に規定する売買等又は新金融商品取引法第百六十七条第一項に規定する特定株券等若しくは関連株券等に係る買付け等若しくは同項に規定する株券等に係る売付け等について適用し、第二号施行日前に行われた旧金融商品取引法第百六十六条第一項に規定する売買等又は旧金融商品取引法第百六十七条第一項に規定する特定株券等若しくは関連株券等に係る買付け等若しくは同項に規定する株券等に係る売付け等については、なお従前の例による。
(Acts Prohibited for Company Insiders)
A person set forth in the following items (hereinafter referred to as a "company insider" in this Article) that comes to know a material fact about the business of a listed company…
次の各号に掲げる者（以下この条において「会社関係者」という。）であつて、上場会社等に係る業務等に関する重要事実（当該上場会社等の子会社に係る会社関係者（当該上場会社等に係る会社関係者に該当する者を除く。）については、当該子会社の業務等に関する重要事実であつて、次項第五号から第八号までに規定するものに限る。以下同じ。）…
Open this provision(Acts Prohibited for Persons Affiliated with the Tender Offeror)
A person set forth in any of the following items (hereinafter referred to as a "person affiliated with the tender offeror, etc." in this Article) that comes to know the fact that a tender offer…
次の各号に掲げる者（以下この条において「公開買付者等関係者」という。）であつて、第二十七条の二第一項に規定する株券等で金融商品取引所に上場されているもの、店頭売買有価証券若しくは取扱有価証券に該当するもの（以下この条において「上場等株券等」という。）の同項に規定する公開買付け（同項本文の規定の適用を受ける場合に限る。…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Conducted an Act Which Facilitates or Incites Submission of Fake Disclosure Documents)
When a person specified in the following items (the person is referred to as a "person submitting disclosure documents, etc." in the following paragraph) has submitted, provided…
次の各号に掲げる者（次項において「開示書類提出者等」という。）が当該各号に定める書類又は情報（同項において「虚偽開示書類等」という。）を提出し、提供し又は公表した場合において、特定関与行為を行つた者（以下この項において「特定関与者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該特定関与者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Conducted an Act Which Facilitates or Incites Submission of Fake Disclosure Documents)
When a person specified in the following items (the person is referred to as a "person submitting disclosure documents, etc." in the following paragraph) has submitted, provided…
次の各号に掲げる者（次項において「開示書類提出者等」という。）が当該各号に定める書類又は情報（同項において「虚偽開示書類等」という。）を提出し、提供し又は公表した場合において、特定関与行為を行つた者（以下この項において「特定関与者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該特定関与者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Influences the Price of Securities by Spreading Unfounded Rumors)
If a person, in violation of the provisions of Article 158, spreads unfounded rumors or uses fraudulent means, or influences the prices of securities, etc. by spreading those unfounded rumors or…
第百五十八条の規定に違反して、風説を流布し、又は偽計を用い、当該風説の流布又は偽計（以下この条において「違反行為」という。）により有価証券等の価格に影響を与えた者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し、次の各号に掲げる場合の区分に応じ…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Influences the Price of Securities by Spreading Unfounded Rumors)
If a person, in violation of the provisions of Article 158, spreads unfounded rumors or uses fraudulent means, or influences the prices of securities, etc. by spreading those unfounded rumors or…
第百五十八条の規定に違反して、風説を流布し、又は偽計を用い、当該風説の流布又は偽計（以下この条において「違反行為」という。）により有価証券等の価格に影響を与えた者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し、次の各号に掲げる場合の区分に応じ…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Purchase and Sale of Securities For the Purpose of Misleading Other Persons on the Status of Transactions)
If a person makes a purchase and sale of securities, market derivatives transaction, or over-the-counter derivatives transaction that is in violation of the provisions of Article 159, paragraph (1)…
第百五十九条第一項の規定に違反する有価証券の売買、市場デリバティブ取引若しくは店頭デリバティブ取引又はこれらの取引の申込み若しくは委託等（以下この条において「違反行為」という。）をした者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Series of Purchase and Sales of Securities for the Purpose of Inducing Transactions)
If a person makes a series of purchase and sales of securities, etc. (meaning purchase and sales of securities, etc. prescribed in Article 159, paragraph (2)) that is in violation of the provisions…
第百五十九条第二項第一号の規定に違反する一連の有価証券売買等（同項に規定する有価証券売買等をいう。）又はその申込み若しくは委託等（以下この条において「違反行為」という。）をした者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Series of Purchase and Sales of Securities for the Purpose of Inducing Transactions)
If a person makes a series of purchase and sales of securities, etc. (meaning purchase and sales of securities, etc. prescribed in Article 159, paragraph (2)) that is in violation of the provisions…
第百五十九条第二項第一号の規定に違反する一連の有価証券売買等（同項に規定する有価証券売買等をいう。）又はその申込み若しくは委託等（以下この条において「違反行為」という。）をした者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Violating the Prohibition on Stabilizing Transactions)
If a person makes a series of purchase and sales of securities, etc. that is in violation of the provisions of Article 159, paragraph (3)…
第百五十九条第三項の規定に違反する一連の有価証券売買等（同条第二項に規定する有価証券売買等をいう。）又はその申込み若しくは委託等（以下この条において「違反行為」という。）をした者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person Violating the Prohibition on Stabilizing Transactions)
If a person makes a series of purchase and sales of securities, etc. that is in violation of the provisions of Article 159, paragraph (3)…
第百五十九条第三項の規定に違反する一連の有価証券売買等（同条第二項に規定する有価証券売買等をいう。）又はその申込み若しくは委託等（以下この条において「違反行為」という。）をした者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Makes a Purchase and Sale of Securities For the Purpose of Misleading Other Persons on the Status of Transactions)
If a person makes a purchase and sale of securities, market derivatives transaction, or over-the-counter derivatives transaction that is in violation of the provisions of Article 159, paragraph (1)…
第百五十九条第一項の規定に違反する有価証券の売買、市場デリバティブ取引若しくは店頭デリバティブ取引又はこれらの取引の申込み若しくは委託等（以下この条において「違反行為」という。）をした者（以下この条において「違反者」という。）があるときは、内閣総理大臣は、次節に定める手続に従い、当該違反者に対し…
Open this provision(Administrative Monetary Penalty Payment Order Issued to a Person That Violates Acts Prohibited for Company Insiders)
If a person violates the provisions of Article 166 paragraph (1) or (3) in making a purchase and sale, etc. prescribed in Article 166 paragraph (1), the Prime Minister must…
第百六十六条第一項又は第三項の規定に違反して、同条第一項に規定する売買等をした者があるときは、内閣総理大臣は、次節に定める手続に従い、その者に対し、次の各号に掲げる場合の区分に応じ…
Open this provisionEffective Date
The provisions of Article 1, the following Article, and Article 17 of the Supplementary Provisions: the date specified by Cabinet Order within a period not exceeding one year from the date of…
第一条、次条及び附則第十七条の規定 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
Open this provisionTransitional Measures Concerning Administrative Monetary Penalties
The provisions of Article 172-12 of the Financial Instruments and Exchange Act as amended by the provisions of Article 1…
第一条の規定による改正後の金融商品取引法（以下この条において「新金融商品取引法」という。）第百七十二条の十二の規定は、前条第二号に掲げる規定の施行の日（以下この条において「第二号施行日」という。）以後に開始する新金融商品取引法第百七十二条の十二第一項に規定する特定関与行為について適用する。
Open this provisionTransitional Measures Concerning Administrative Monetary Penalties
The provisions of Article 175 of the New Financial Instruments and Exchange Act apply to purchase and sale, etc. prescribed in Article 166, paragraph (1) of the New Financial Instruments and Exchange…
新金融商品取引法第百七十五条の規定は、第二号施行日以後に行われる新金融商品取引法第百六十六条第一項に規定する売買等又は新金融商品取引法第百六十七条第一項に規定する特定株券等若しくは関連株券等に係る買付け等若しくは同項に規定する株券等に係る売付け等について適用し…
Open this provisionpurchase and sale, etc.machine translation
「売買等」
In Article 166 and the provisions it names, a purchase and sale or other transfer or acquisition for value of a listed company's regulated securities, etc. (特定有価証券等), a succession to them in a merger or company split, or a derivatives transaction in them.
Short name set inArticle 166, paragraph (1)· applies only in this article and in Article 167-2, paragraph (1); Article 175-2, paragraph (1); and Article 197-2, paragraph (1), item (xiv)
share certificates, etc.
「株券等」
In Article 167, Article 167-2, paragraph (2), Article 175-2 and Article 197-2, paragraph (1), item (xv), specified share certificates, etc. (特定株券等) — share certificates, corporate bond certificates with share options and other securities a Cabinet Order (政令) specifies, issued by the company whose shares are the subject of a tender offer, etc. — and related share certificates, etc. (関連株券等), such as securities under Article 2, paragraph (1), item (xix) that represent options on them.
Short name set inArticle 167, paragraph (1)· applies only in this article and in Article 167-2, paragraph (2); Article 175-2; and Article 197-2, paragraph (1), item (xv)
specified share certificates, etc.machine translation
「特定株券等」
In Article 167, paragraph (1), share certificates, corporate bond certificates with share options (新株予約権付社債券) and other securities a Cabinet Order (政令) specifies, issued by the company that issues the listed or other share certificates, etc. (上場等株券等) or listed share certificates, etc. (上場株券等) for which a tender offer, etc. (公開買付け等) is made.
Short name set inArticle 167, paragraph (1)· applies only in this paragraph
specified involvement act
「特定関与行為」
An act that induces a person submitting disclosure documents, etc. (開示書類提出者等) to submit, provide or publish fake disclosure documents, etc. (虚偽開示書類等), or that makes it easier for them to do so by advising the person who prepares those documents on the basis of a concealment or disguise of the facts underlying the accounting, or by knowingly carrying out any part of that concealment or disguise (other than giving an audit certification).
Defined inArticle 172-12, paragraph (2)
violation
「違反行為」
In Article 174-3, a series of purchases and sales of securities, etc. (有価証券売買等), or applications for or entrustments of them, in breach of Article 159, paragraph (3).
Short name set inArticle 174-3, paragraph (1)· applies only in this article
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. 86 of 2012.
Short name set inSupplementary Provisions, Article 2, paragraph (1)· applies only in this article
item (ii) effective datemachine translation
「第二号施行日」
In Article 2 of the supplementary provisions (附則) of Act No. 86 of 2012, the date the provisions listed in Article 1, item (ii) of those supplementary provisions come into effect, a date a Cabinet Order (政令) sets within one year of the Act's promulgation.
Short name set inSupplementary Provisions, Article 2, paragraph (1)· applies only in this article
Former Financial Instruments and Exchange Actmachine translation
「旧金融商品取引法」
In Article 2, paragraphs (2) and (3) of the supplementary provisions (附則) of Act No. 86 of 2012, this Act as it stood before Article 1 of that Act amended it.
Short name set inSupplementary Provisions, Article 2, paragraph (2)· applies only in this provision and in Supplementary Provisions, Article 2, paragraph (3)