Supplementary Provisions, Article 9Transitional Measures Accompanying Partial Amendment of the Financial Instruments and Exchange Act
第九条(金融商品取引法の一部改正に伴う経過措置)
With regard to a public offering of securities or secondary distribution of securities pertaining to what corresponds to electronically recorded transferable rights (meaning electronically recorded transferable rights prescribed in Article 2, paragraph (3) of the Financial Instruments and Exchange Act as amended by the provisions of Article 2 (hereinafter referred to as the "New Financial Instruments and Exchange Act")) that began before this Act comes into effect (meaning the public offering of securities or secondary distribution of securities prescribed in Article 5, paragraph (1) of the New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (5) of that Article, and including where these provisions are applied mutatis mutandis pursuant to Article 27 of the New Financial Instruments and Exchange Act)), the provisions then in force continue to govern.
この法律の施行前に開始した電子記録移転権利(第二条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。)第二条第三項に規定する電子記録移転権利をいう。)に相当するものに係る有価証券の募集又は売出し(新金融商品取引法第五条第一項(同条第五項において準用し、及び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。)に規定する有価証券の募集又は売出しをいう。)については、なお従前の例による。
(Definitions)
The term "public offering of securities" as used in this Act means, among solicitations of offers to acquire newly issued securities…
この法律において、「有価証券の募集」とは、新たに発行される有価証券の取得の申込みの勧誘(これに類するものとして内閣府令で定めるもの(次項において「取得勧誘類似行為」という。)を含む。以下「取得勧誘」という。)のうち、当該取得勧誘が第一項各号に掲げる有価証券又は前項の規定により有価証券とみなされる有価証券表示権利…
Open this provision(Mutatis Mutandis Application of Provisions for an Issuer That Is Not a Company)
The provisions of Article 2-3; Articles 5 through 13; Articles 15 through 24-5-2; and Article 24-7 through the preceding Article apply mutatis mutandis if the issuer is a person other than a company…
第二条の三、第五条から第十三条まで、第十五条から第二十四条の五の二まで及び第二十四条の七から前条までの規定は、発行者が会社以外の者(第五条第六項から第九項まで、第七条第二項、第九条第二項、第十条第二項、第二十四条第八項から第十三項まで、第二十四条の二第四項、第二十四条の四の二第六項(第二十四条の五の二第一項において準…
Open this provision(Submission of Securities Registration Statements)
If an issuer seeking to file a notification for a public offering or secondary distribution of securities under paragraphs (1) through (3) of the preceding Article…
前条第一項から第三項までの規定による有価証券の募集又は売出し(特定有価証券(その投資者の投資判断に重要な影響を及ぼす情報がその発行者が行う資産の運用その他これに類似する事業に関する情報である有価証券として政令で定めるものをいう。以下この項、第五項、第十項及び第十一項、第七条第四項、第二十四条並びに第二十四条の七第一項…
Open this provision(Submission of Securities Registration Statements)
The provisions of paragraph (1) to the preceding paragraph apply mutatis mutandis if the securities for which the notification set forth in paragraph (1) is filed are regulated securities.
第一項から前項までの規定は、当該有価証券が特定有価証券である場合について準用する。この場合において、第一項中「有価証券の募集及び売出しを除く」とあるのは「有価証券の募集又は売出しに限る」と、「当該有価証券(特定有価証券を除く。以下この項から第四項までにおいて同じ。)」とあるのは「当該特定有価証券」と…
Open this provisionpublic offering of securities
「有価証券の募集」
A public offering of securities: a solicitation of applications to acquire newly issued securities (取得勧誘) that, for paragraph (1) securities (第一項有価証券), is made to many persons as a Cabinet Order (政令) sets or falls under none of the exemptions for solicitations made only to qualified institutional investors, only to professional investors, or to a small number of persons, and that, for paragraph (2) securities (第二項有価証券), will lead a fairly large number of persons, as a Cabinet Order sets, to hold the securities.
Defined inArticle 2, paragraph (3)
electronically recorded transferable rights
「電子記録移転権利」
Rights deemed to be securities under the items of Article 2, paragraph (2), such as beneficial interests in trusts and rights under partnership and similar contracts, where they are represented by property value that can be transferred using an electronic data processing system (limited to value recorded electronically on an electronic device or other object), except in cases a Cabinet Office Order (内閣府令) sets in view of their transferability and other circumstances.
Short name set inArticle 2, paragraph (3)
New Financial Instruments and Exchange Actmachine translation
「新金融商品取引法」
This Act as amended by Article 2 of Act No. 28 of 2019.
Short name set inSupplementary Provisions, Article 9, paragraph (1)