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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 day specified by Cabinet Order within a period not exceeding one year from the date of promulgation; provided, however, that the provisions set forth in the following items come into effect as of the days specified in those items.

この法律は、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 provision in revising the proviso to , and the provisions of Article 17 and Article 18 of the Supplementary Provisions: the date of promulgation;

中ただし書の改正規定並びに附則第十七条及び第十八条の規定　公布の日

The provision in revising the table of contents of the Financial Instruments and Exchange Act (limited to the part replacing "Chapter VIII Penal Provisions ()" with "Chapter VIII Penal Provisions () / Chapter VIII-2 Special Provisions on Procedures Concerning Confiscation ()"), the provisions revising , , and , , , and , and , the provision revising (limited to the part replacing "provisions (" with "provisions and" and "including penal provisions)" with "the provisions of Chapter VIII and Chapter VIII-2"), the provision revising (limited to the part replacing "provisions (" with "provisions and" and "including penal provisions)" with "the provisions of Chapter VIII and Chapter VIII-2"), the provision adding two Articles after , the provision adding one Chapter after Chapter VIII of , and the provision revising , and the provisions of (limited to the provision revising ), (excluding the provision revising (limited to the part adding "(excluding )" after "") and the provision revising ), (excluding the provisions revising , and ), (excluding the provision revising ), (excluding the provisions revising , and ), (excluding the provision revising ), (excluding the provision revising ), (excluding the provisions revising and ), (excluding the provision revising ), (excluding the provision revising ), (excluding the provision revising ), (excluding the provisions revising , and ), , (excluding the provision revising ), (excluding the provisions revising , and ), (excluding the provisions revising and ) and (excluding the provisions revising and ), and the provisions of (excluding the provision revising ), (limited to the provision revising (limited to the part replacing "provisions (" with "provisions and" and "including penal provisions)" with "the provisions of Chapter VIII and Chapter VIII-2 of ")) and (limited to the provision revising (limited to the part replacing "provisions (" with "provisions and" and "including penal provisions)" with "the provisions of Chapter VIII and Chapter VIII-2 of ") and the provision revising ) of the Supplementary Provisions: the date specified by Cabinet Order within a period not exceeding six months from the date of promulgation;

中金融商品取引法目次の改正規定（「第八章　罰則（―）」を「／第八章　罰則（―）／第八章の二　没収に関する手続等の特例（―）／」に改める部分に限る。）、、、及び、、、及び並びにの改正規定、の改正規定（「規定（」を「規定並びに」に、「罰則を含む。）」を「第八章及び第八章の二の規定」に改める部分に限る。）、の改正規定（「規定（」を「規定並びに」に、「罰則を含む。）」を「第八章及び第八章の二の規定」に改める部分に限る。）、の次に二条を加える改正規定、第八章の次に一章を加える改正規定並びにの改正規定並びに（の改正規定に限る。）、（の改正規定（「」の下に「（を除く。）」を加える部分に限る。）及びの改正規定を除く。）、（、及びの改正規定を除く。）、（の改正規定を除く。）、（、及びの改正規定を除く。）、（の改正規定を除く。）、（の改正規定を除く。）、（及びの改正規定を除く。）、（の改正規定を除く。）、（の改正規定を除く。）、（の改正規定を除く。）、（、及びの改正規定を除く。）、、（の改正規定を除く。）、（、及びの改正規定を除く。）、（及びの改正規定を除く。）及び（及びの改正規定を除く。）の規定並びに（の改正規定を除く。）、（の改正規定（「規定（」を「規定並びに」に、「罰則を含む。）」を「第八章及び第八章の二の規定」に改める部分に限る。）に限る。）及び（の改正規定（「規定（」を「規定並びに」に、「罰則を含む。）」を「第八章及び第八章の二の規定」に改める部分に限る。）及びの改正規定に限る。）の規定　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

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 21-2 of the Financial Instruments and Exchange Act as amended by this Act (hereinafter referred to as the "New Financial Instruments and Exchange Act") (including where applied mutatis mutandis pursuant to Article 27 and Article 27-34 of the New Financial Instruments and Exchange Act), Article 22 of the New Financial Instruments and Exchange Act (including where applied mutatis mutandis pursuant to Article 23-12, paragraph (5), Article 24-4, Article 24-4-6, Article 24-4-7, paragraph (4) and Article 24-5, paragraph (5) of the New Financial Instruments and Exchange Act (including where these provisions are applied mutatis mutandis pursuant to Article 27 of the New Financial Instruments and Exchange Act), Article 24-6, paragraph (2), Article 27 and Article 27-34 of the New Financial Instruments and Exchange Act) and Article 27-34-2, paragraph (3) of the New Financial Instruments and Exchange Act apply to documents set forth in the items of Article 25, paragraph (1) of the New Financial Instruments and Exchange Act that are submitted, or foreign securities information prescribed in Article 27-32-2, paragraph (1) of the New Financial Instruments and Exchange Act or specified information prescribed in Article 27-34 of the New Financial Instruments and Exchange Act that is provided or made public, on or after the date of enforcement of this Act (hereinafter referred to as "the effective date"), and the provisions then in force continue to govern documents set forth in the items of prior to amendment by this Act (hereinafter referred to as the "Former Financial Instruments and Exchange Act") that were submitted, or foreign securities information prescribed in of the Former Financial Instruments and Exchange Act or specified information prescribed in of the Former Financial Instruments and Exchange Act that was provided or made public, before the effective date.

この法律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。）第二十一条の二（新金融商品取引法第二十七条及び第二十七条の三十四において準用する場合を含む。）、第二十二条（新金融商品取引法第二十三条の十二第五項、第二十四条の四、第二十四条の四の六、及び第二十四条の五第五項（これらの規定を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。）、第二十四条の六第二項、第二十七条並びに第二十七条の三十四において準用する場合を含む。）及び第二十七条の三十四の二第三項の規定は、この法律の施行の日（以下「施行日」という。）以後に提出される新金融商品取引法第二十五条第一項各号に掲げる書類又は提供され、若しくは公表される新金融商品取引法第二十七条の三十二の二第一項に規定する外国証券情報若しくは新金融商品取引法第二十七条の三十四に規定する特定情報について適用し、施行日前に提出されたこの法律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。）各号に掲げる書類又は提供され、若しくは公表されたに規定する外国証券情報若しくはに規定する特定情報については、なお従前の例による。

Supplementary Provisions, Article 3

第三条

The provisions of Article 27-23 of the New Financial Instruments and Exchange Act apply to the submission of the statement of large-volume holdings prescribed in paragraph (1) of that Article in the case where a person becomes a large-volume holder prescribed in that paragraph on or after the effective date, and the provisions then in force continue to govern the submission of the statement of large-volume holdings prescribed in in the case where a person became a large-volume holder prescribed in of the Former Financial Instruments and Exchange Act before the effective date.

新金融商品取引法第二十七条の二十三の規定は、施行日以後に同条第一項に規定する大量保有者となった場合における同項に規定する大量保有報告書の提出について適用し、施行日前にに規定する大量保有者となった場合におけるに規定する大量保有報告書の提出については、なお従前の例による。

The provisions of Article 27-25 of the New Financial Instruments and Exchange Act apply to the submission of the statement of changes prescribed in paragraph (1) of that Article in the case where, on or after the effective date, there has been a change specified by Cabinet Order as a change in an important matter to be stated in the statement of large-volume holdings prescribed in that paragraph, and the provisions then in force continue to govern the submission of the statement of changes prescribed in in the case where, before the effective date, there was a change specified by Cabinet Order as a change in an important matter to be stated in the statement of large-volume holdings prescribed in of the Former Financial Instruments and Exchange Act and in the case where a ground arose, as prescribed in , for newly submitting a statement of changes.

新金融商品取引法第二十七条の二十五の規定は、施行日以後に同条第一項に規定する大量保有報告書に記載すべき重要な事項の変更として政令で定めるものがあった場合における同項に規定する変更報告書の提出について適用し、施行日前にに規定する大量保有報告書に記載すべき重要な事項の変更として政令で定めるものがあった場合及びに規定する新たに変更報告書を提出しなければならない事由が生じた場合におけるに規定する変更報告書の提出については、なお従前の例による。

The provisions of Article 27-26, paragraph (1) of the New Financial Instruments and Exchange Act apply to the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in Article 27-26, paragraph (1) of the New Financial Instruments and Exchange Act in the case where the holding ratio of share certificates, etc. prescribed in Article 27-25, paragraph (1) of the New Financial Instruments and Exchange Act first exceeds 5 percent on the reference date prescribed in Article 27-26, paragraph (3) of the New Financial Instruments and Exchange Act that falls on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in of the Former Financial Instruments and Exchange Act in the case where the holding ratio of share certificates, etc. prescribed in of the Former Financial Instruments and Exchange Act first exceeded 5 percent on the reference date prescribed in of the Former Financial Instruments and Exchange Act that fell before the effective date.

新金融商品取引法第二十七条の二十六第一項の規定は、施行日以後の同条第三項に規定する基準日において新金融商品取引法第二十七条の二十五第一項に規定する株券等保有割合が初めて百分の五を超えることとなった場合における新金融商品取引法第二十七条の二十六第一項に規定する特例対象株券等に係る大量保有報告書の提出について適用し、施行日前のに規定する基準日においてに規定する株券等保有割合が初めて百分の五を超えることとなった場合におけるに規定する特例対象株券等に係る大量保有報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。

The provisions of Article 27-26, paragraph (2) of the New Financial Instruments and Exchange Act apply to the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in that paragraph in the case where a person comes to fall under any of the cases set forth in the items of that paragraph on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in in the case where a person came to fall under any of the cases set forth in the items of of the Former Financial Instruments and Exchange Act before the effective date.

新金融商品取引法第二十七条の二十六第二項の規定は、施行日以後に同項各号に掲げる場合に該当することとなった場合における同項に規定する特例対象株券等に係る変更報告書の提出について適用し、施行日前に各号に掲げる場合に該当することとなった場合におけるに規定する特例対象株券等に係る変更報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。

The provisions of Article 27-26, paragraph (4) of the New Financial Instruments and Exchange Act apply to the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in paragraph (1) of that Article in the case where the day on which the holding ratio came to exceed 5 percent, as prescribed in Article 27-26, paragraph (4) of the New Financial Instruments and Exchange Act, is on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of large-volume holdings concerning share certificates, etc. subject to special provisions prescribed in in the case where the day on which the holding ratio came to exceed 5 percent, as prescribed in of the Former Financial Instruments and Exchange Act, is before the effective date.

新金融商品取引法第二十七条の二十六第四項の規定は、同項に規定する百分の五を超えることとなった日が施行日以後である場合における同条第一項に規定する特例対象株券等に係る大量保有報告書の提出について適用し、に規定する百分の五を超えることとなった日が施行日前である場合におけるに規定する特例対象株券等に係る大量保有報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。

The provisions of Article 27-26, paragraph (5) of the New Financial Instruments and Exchange Act apply to the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in paragraph (2) of that Article in the case where the day of the increase as prescribed in Article 27-26, paragraph (5) of the New Financial Instruments and Exchange Act is on or after the effective date, and, notwithstanding the provisions of Article 27-23, paragraph (4) of the New Financial Instruments and Exchange Act, the provisions then in force continue to govern the submission of a statement of changes concerning share certificates, etc. subject to special provisions prescribed in in the case where the day of the increase as prescribed in of the Former Financial Instruments and Exchange Act is before the effective date.

新金融商品取引法第二十七条の二十六第五項の規定は、同項に規定する当該増加した日が施行日以後である場合における同条第二項に規定する特例対象株券等に係る変更報告書の提出について適用し、に規定する当該増加した日が施行日前である場合におけるに規定する特例対象株券等に係る変更報告書の提出については、新金融商品取引法第二十七条の二十三第四項の規定にかかわらず、なお従前の例による。

Supplementary Provisions, Article 4

第四条

The provisions of Article 27-28, paragraph (1) of the New Financial Instruments and Exchange Act (including where applied mutatis mutandis pursuant to Article 27-29, paragraph (2) of the New Financial Instruments and Exchange Act; hereinafter the same applies in this Article) apply to the public inspection of documents prescribed in Article 27-28, paragraph (1) of the New Financial Instruments and Exchange Act that are received on or after the effective date, and the provisions then in force continue to govern the public inspection of documents prescribed in of the Former Financial Instruments and Exchange Act (including where applied mutatis mutandis pursuant to of the Former Financial Instruments and Exchange Act; the same applies in the following paragraph and the following Article) that were received before the effective date.

新金融商品取引法第二十七条の二十八第一項（新金融商品取引法第二十七条の二十九第二項において準用する場合を含む。以下この条において同じ。）の規定は、施行日以後に受理される新金融商品取引法第二十七条の二十八第一項に規定する書類の縦覧について適用し、施行日前に受理された（において準用する場合を含む。次項及び次条において同じ。）に規定する書類の縦覧については、なお従前の例による。

The provisions of Article 27-28, paragraph (2) of the New Financial Instruments and Exchange Act (including where applied mutatis mutandis pursuant to Article 27-29, paragraph (2) of the New Financial Instruments and Exchange Act) apply to the public inspection of copies of documents prescribed in Article 27-28, paragraph (1) of the New Financial Instruments and Exchange Act that are sent and received on or after the effective date, and the provisions then in force continue to govern the public inspection of copies of documents prescribed in of the Former Financial Instruments and Exchange Act that were sent and received before the effective date.

新金融商品取引法第二十七条の二十八第二項（新金融商品取引法第二十七条の二十九第二項において準用する場合を含む。）の規定は、施行日以後に送付を受ける新金融商品取引法第二十七条の二十八第一項に規定する書類の写しの縦覧について適用し、施行日前に送付を受けたに規定する書類の写しの縦覧については、なお従前の例による。

Supplementary Provisions, Article 5

第五条

The provisions of Article 27-30-6, paragraph (3) of the New Financial Instruments and Exchange Act apply to the sending of copies of statements of large-volume holdings, etc. prescribed in that paragraph that are submitted on or after the effective date, and the provisions then in force continue to govern the sending of copies of documents prescribed in of the Former Financial Instruments and Exchange Act that were submitted before the effective date.

新金融商品取引法第二十七条の三十の六第三項の規定は、施行日以後に提出される同項に規定する大量保有報告書等の写しの送付について適用し、施行日前に提出されたに規定する書類の写しの送付については、なお従前の例による。

Supplementary Provisions, Article 6

第六条

The provisions of Article 193-2, paragraph (2), item (iv) of the New Financial Instruments and Exchange Act do not apply to an internal control report prescribed in Article 24-4-4, paragraph (1) of the New Financial Instruments and Exchange Act that is submitted pursuant to the provisions of Article 24-4-4 of the New Financial Instruments and Exchange Act, during the period until the day on which three years have elapsed from the effective date, by a person who submitted, or is required to submit, an internal control report prescribed in of the Former Financial Instruments and Exchange Act pursuant to the provisions of before the effective date.

新金融商品取引法第百九十三条の二第二項第四号の規定は、施行日前にの規定によりに規定する内部統制報告書を提出した者又は提出しなければならない者が、施行日以後三年を経過する日までの間に新金融商品取引法第二十四条の四の四の規定により提出する同条第一項に規定する内部統制報告書については、適用しない。

Supplementary Provisions, Article 17Transitional Measures Concerning the Application of Penal Provisions

第十七条（罰則の適用に関する経過措置）

With regard to the application of penal provisions to acts committed before this Act (or, for the provisions set forth in the items of Article 1 of the Supplementary Provisions, those provisions; the same applies hereinafter in this Article) comes into effect and to acts committed after this Act comes into effect in the cases where the provisions then in force continue to govern pursuant to the provisions of these Supplementary Provisions, the provisions then in force continue to govern.

この法律（附則第一条各号に掲げる規定にあっては、当該規定。以下この条において同じ。）の施行前にした行為及びこの附則の規定によりなお従前の例によることとされる場合におけるこの法律の施行後にした行為に対する罰則の適用については、なお従前の例による。

Supplementary Provisions, Article 18Delegation to Cabinet Order

第十八条（政令への委任）

Beyond what is provided for in Article 2 through Article 6 of the Supplementary Provisions and the preceding Article, transitional measures necessary in connection with the enforcement of this Act (including transitional measures concerning penal provisions) are specified by Cabinet Order.

附則第二条から第六条まで及び前条に定めるもののほか、この法律の施行に関し必要な経過措置（罰則に関する経過措置を含む。）は、政令で定める。

Supplementary Provisions, Article 19Review

第十九条（検討）

The government is to, with a target of five years after this Act comes into effect, taking into account the status, etc. of the enforcement of the respective Acts as amended by this Act (hereinafter referred to in this Article as "the respective Acts as amended"), when it finds it necessary, review the provisions of the respective Acts as amended, and take the required measures based on the results of that review.

政府は、この法律の施行後五年を目途として、この法律による改正後のそれぞれの法律（以下この条において「改正後の各法律」という。）の施行の状況等を勘案し、必要があると認めるときは、改正後の各法律の規定について検討を加え、その結果に基づいて所要の措置を講ずるものとする。

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