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Supplementary Provisions, Article 5

第五条

The provisions of Article 166 of the New Financial Instruments and Exchange Act (excluding the part pertaining to paragraph (6), item (vii)) apply to purchase and sale, etc. under that Article by a person who came to know a material fact concerning business or other particulars prescribed in paragraph (1) of that Article that arose on or after the effective date (limited, in the case of a decision not to carry out the matter set forth in item (ix) of paragraph (2) of that Article made by the organ of a listed company, etc. which is responsible for making decisions on the execution of operations prescribed in that item, to cases where the decision of that organ to carry out that matter was made on or after the effective date, limited, in the case of the fact set forth in item (xi) of that paragraph, to one that arose in comparison with the last disclosed forecasts or the actual figures for the preceding business period prescribed in that item for which the announcement under paragraph (4) of that Article was made on or after the effective date, and limited, in the case of a decision not to carry out the matter set forth in Article 166, paragraph (2), item (xii) of the New Financial Instruments and Exchange Act made by the organ of the asset management company of a listed company, etc. prescribed in that item which is responsible for making decisions on the execution of operations, to cases where the decision of that organ to carry out that matter was made on or after the effective date) or by a person who received communication of such facts, and the provisions then in force continue to govern the purchase and sale, etc. under Article 166 of the Financial Instruments and Exchange Act by a person who came to know a material fact concerning business or other particulars prescribed in Article 166, paragraph (1) of the Former Financial Instruments and Exchange Act that arose before the effective date or by a person who received communication of such facts.

新金融商品取引法第百六十六条（第六項第七号に係る部分を除く。）の規定は、施行日以後に生じた同条第一項に規定する業務等に関する重要事実（同条第二項第九号に規定する上場会社等の業務執行を決定する機関がした同号に掲げる事項を行わない旨の決定にあっては当該事項を行うことについての当該機関の決定が施行日以後に行われた場合に係るものに限るものとし、同項第十一号に掲げる事実にあっては施行日以後に同条第四項の公表がされた同号に規定する直近の予想値又は前営業期間の実績値に比較して生じたものに限るものとし、同条第二項第十二号に規定する上場会社等の資産運用会社の業務執行を決定する機関がした同号に掲げる事項を行わない旨の決定にあっては当該事項を行うことについての当該機関の決定が施行日以後に行われた場合に係るものに限る。）を知った者又はこれらの事実の伝達を受けた者の同条の売買等について適用し、施行日前に生じた旧金融商品取引法第百六十六条第一項に規定する業務等に関する重要事実を知った者又はこれらの事実の伝達を受けた者の金融商品取引法第百六十六条の売買等については、なお従前の例による。

The provisions of Article 167-2, paragraph (1) of the New Financial Instruments and Exchange Act (limited to the part pertaining to those prescribed in Article 166, paragraph (2), items (ix) through (xiv) of the New Financial Instruments and Exchange Act among the material facts concerning business or other particulars prescribed in Article 166, paragraph (1) of the New Financial Instruments and Exchange Act) apply to the act of making the communication under Article 167-2, paragraph (1) of the New Financial Instruments and Exchange Act or recommending the purchase and sale, etc. under that paragraph, in the case of coming to know a material fact concerning business or other particulars prescribed in Article 166, paragraph (1) of the New Financial Instruments and Exchange Act (limited to those prescribed in paragraph (2), items (ix) through (xiv) of that Article) that arose on or after the effective date (limited, in the case of a decision not to carry out the matter set forth in item (ix) of paragraph (2) of that Article made by the organ of a listed company, etc. which is responsible for making decisions on the execution of operations prescribed in that item, to cases where the decision of that organ to carry out that matter was made on or after the effective date, limited, in the case of the fact set forth in item (xi) of that paragraph, to one that arose in comparison with the last disclosed forecasts or the actual figures for the preceding business period prescribed in that item for which the announcement under paragraph (4) of that Article was made on or after the effective date, and limited, in the case of a decision not to carry out the matter set forth in Article 166, paragraph (2), item (xii) of the New Financial Instruments and Exchange Act made by the organ of the asset management company of a listed company, etc. prescribed in that item which is responsible for making decisions on the execution of operations, to cases where the decision of that organ to carry out that matter was made on or after the effective date).

新金融商品取引法第百六十七条の二第一項の規定（新金融商品取引法第百六十六条第一項に規定する業務等に関する重要事実のうち同条第二項第九号から第十四号までに規定するものに係る部分に限る。）は、新金融商品取引法第百六十六条第一項に規定する業務等に関する重要事実（同条第二項第九号から第十四号までに規定するものに限る。）であって施行日以後に生じたもの（同条第二項第九号に規定する上場会社等の業務執行を決定する機関がした同号に掲げる事項を行わない旨の決定にあっては当該事項を行うことについての当該機関の決定が施行日以後に行われた場合に係るものに限るものとし、同項第十一号に掲げる事実にあっては施行日以後に同条第四項の公表がされた同号に規定する直近の予想値又は前営業期間の実績値に比較して生じたものに限るものとし、同条第二項第十二号に規定する上場会社等の資産運用会社の業務執行を決定する機関がした同号に掲げる事項を行わない旨の決定にあっては当該事項を行うことについての当該機関の決定が施行日以後に行われた場合に係るものに限る。）を知った場合における新金融商品取引法第百六十七条の二第一項の伝達をし、又は同項の売買等をすることを勧める行為について適用する。

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Supplementary Provisions, Article 5