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Supplementary Provisions, Article 2Transitional Measures

第二条（経過措置）

With regard to a financial instruments business operator (meaning a financial instruments business operator prescribed in Article 2, paragraph (9) of the Financial Instruments and Exchange Act as amended by this Act (hereinafter referred to as the "New Act"), excluding a financial instruments business operator prescribed in the following paragraph; hereinafter the same applies in this paragraph), a registered financial institution (meaning a registered financial institution prescribed in paragraph (11) of that Article; hereinafter the same applies in this paragraph), or an authorized firm for on-exchange transactions (meaning an authorized firm for on-exchange transactions prescribed in Article 60-4, paragraph (1) of the New Act; hereinafter the same applies in this paragraph and paragraph (3)) each of which is actually engaged in high-speed trading (meaning high-speed trading prescribed in Article 2, paragraph (41) of the New Act; hereinafter the same applies in this Article and the following Article) at the time this Act comes into effect, the matters set forth in Article 29-2, paragraph (1), item (vii) (excluding (b)), Article 33-3, paragraph (1), item (vi) or Article 60-2, paragraph (1), item (iv) of the New Act are deemed to have been changed as of the day this Act comes into effect (hereinafter referred to as the "effective date"), and the provisions of Article 31, paragraph (1), Article 33-6, paragraph (1) or Article 60-5, paragraph (1) of the New Act, respectively, apply. In this case, until the day on which six months have passed from the effective date, that financial instruments business operator, registered financial institution or authorized firm for on-exchange transactions may continue to engage in high-speed trading even without making the notification under those provisions.

この法律の施行の際現に高速取引行為（この法律による改正後の金融商品取引法（以下「新法」という。）第二条第四十一項に規定する高速取引行為をいう。以下この条及び次条において同じ。）を行っている金融商品取引業者（新法第二条第九項に規定する金融商品取引業者をいい、次項に規定する金融商品取引業者を除く。以下この項において同じ。）、登録金融機関（同条第十一項に規定する登録金融機関をいう。以下この項において同じ。）又は取引所取引許可業者（新法第六十条の四第一項に規定する取引所取引許可業者をいう。以下この項及び第三項において同じ。）については、この法律の施行の日（以下「施行日」という。）において新法第二十九条の二第一項第七号（ロを除く。）、第三十三条の三第一項第六号又は第六十条の二第一項第四号に掲げる事項について変更があったものとみなして、それぞれ新法第三十一条第一項、第三十三条の六第一項又は第六十条の五第一項の規定を適用する。この場合において、当該金融商品取引業者、登録金融機関又は取引所取引許可業者は、施行日から起算して六月を経過する日までの間は、これらの規定による届出をしないでも、引き続き、高速取引行為を行うことができる。

With regard to a financial instruments business operator that is actually engaged in high-speed trading at the time this Act comes into effect (meaning a financial instruments business operator prescribed in Article 2, paragraph (9) of the New Act that, in the case where it engages in neither the type-I financial instruments business prescribed in Article 28, paragraph (1) of the New Act nor the investment management business prescribed in paragraph (4) of that Article, engages in high-speed trading as the type-II financial instruments business prescribed in paragraph (2) of that Article; hereinafter the same applies in this paragraph), the financial instruments business operator is deemed to be one that intends to change the matters set forth in Article 29-2, paragraph (1), item (vii), (b) of the New Act as of the effective date, and the provisions of Article 31, paragraph (4) of the New Act apply. In this case, until the day on which six months have passed from the effective date (or, where that financial instruments business operator has applied for the registration of change under Article 31, paragraph (4) of the New Act for those matters within that period, until the registration of change or the disposition refusing it), that financial instruments business operator may continue to engage in high-speed trading even without obtaining the registration of change under Article 31, paragraph (4) of the New Act for those matters.

この法律の施行の際現に高速取引行為を行っている金融商品取引業者（新法第二条第九項に規定する金融商品取引業者であって、新法第二十八条第一項に規定する第一種金融商品取引業及び同条第四項に規定する投資運用業を行っていない場合において、同条第二項に規定する第二種金融商品取引業として高速取引行為を行っている者をいう。以下この項において同じ。）については、施行日において新法第二十九条の二第一項第七号ロに掲げる事項について変更をしようとするものとみなして、新法第三十一条第四項の規定を適用する。この場合において、当該金融商品取引業者は、施行日から起算して六月を経過する日までの間（当該金融商品取引業者が当該期間内に当該事項について同項の変更登録の申請をした場合には、当該変更登録又はその拒否の処分までの間）は、当該事項について同項の変更登録を受けないでも、引き続き、高速取引行為を行うことができる。

With regard to the application of Article 38, item (viii) of the New Act (including as applied mutatis mutandis pursuant to Article 60-13 of the New Act; the same applies in paragraph (2) of the following Article) to a financial instruments business operator, etc. (meaning a financial instruments business operator, etc. prescribed in Article 34 of the New Act) or an authorized firm for on-exchange transactions that engages in high-speed trading pursuant to the provisions of the preceding two paragraphs, the phrase "a person specified by Cabinet Order" in that item is deemed to be replaced with "a person specified by Cabinet Order and a person that engages in high-speed trading pursuant to the provisions of Article 2, paragraph (1) or (2) of the Supplementary Provisions of the Act Partially Amending the Financial Instruments and Exchange Act (Act No. 37 of 2017)".

前二項の規定により高速取引行為を行う金融商品取引業者等（新法第三十四条に規定する金融商品取引業者等をいう。）又は取引所取引許可業者についての新法第三十八条第八号（新法第六十条の十三において準用する場合を含む。次条第二項において同じ。）の規定の適用については、同号中「政令で定める者」とあるのは、「政令で定める者及び金融商品取引法の一部を改正する法律（平成二十九年法律第三十七号）附則第二条第一項又は第二項の規定により高速取引行為を行う者」とする。

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Supplementary Provisions, Article 2Transitional Measures