Supplementary Provisions, Article 2Transitional Measures Concerning Quarterly Securities Reports
第二条(四半期報告書に関する経過措置)
With regard to the submission of a quarterly securities report pertaining to a quarter (meaning each three-month period of the business year prescribed in Article 24-4-7, paragraph (1) of the Financial Instruments and Exchange Act before amendment by the provisions of Article 1 (limited to the amending provisions set forth in that item; the same applies in paragraph (3)) (hereinafter referred to in this Article through Article 4 of the Supplementary Provisions as the "item (iii) Old Financial Instruments and Exchange Act"); the same applies in paragraph (2) of the following Article) that began before the effective date of the provisions set forth in item (iii) of the preceding Article (hereinafter referred to in this Article through Article 4 of the Supplementary Provisions as the "item (iii) effective date") (the quarterly securities report meaning the quarterly securities report prescribed in Article 24-4-7, paragraph (1) of the item (iii) Old Financial Instruments and Exchange Act; hereinafter the same applies in this Article and paragraph (2) of the following Article), the provisions then in force continue to govern.
With regard to the submission of the confirmation letter pertaining to a quarterly securities report in the case where the quarterly securities report is submitted pursuant to the provisions of the preceding paragraph (meaning the confirmation letter prescribed in Article 24-4-2, paragraph (1) of the Financial Instruments and Exchange Act as applied mutatis mutandis pursuant to Article 24-4-8, paragraph (1) of the item (iii) Old Financial Instruments and Exchange Act; the same applies in the following paragraph), the provisions then in force continue to govern.
前項の規定により四半期報告書を提出する場合における当該四半期報告書に係る確認書(第三号旧金融商品取引法第二十四条の四の八第一項において準用する金融商品取引法第二十四条の四の二第一項に規定する確認書をいう。次項において同じ。)の提出については、なお従前の例による。
With regard to the application of the provisions of Chapter II of the Financial Instruments and Exchange Act as amended by the provisions of Article 1 (hereinafter referred to in this Article through Article 4 of the Supplementary Provisions as the "item (iii) New Financial Instruments and Exchange Act") to a quarterly securities report submitted pursuant to the provisions of Article 24-4-7, paragraph (1) or (2) of the item (iii) Old Financial Instruments and Exchange Act before the item (iii) effective date, a quarterly securities report to be submitted on or after the item (iii) effective date pursuant to the provisions of paragraph (1), and the confirmation letters pertaining to these quarterly securities reports, the provisions then in force continue to govern.
With regard to a person that submits a quarterly securities report pursuant to the provisions of Article 24-4-7, paragraph (1) or (2) of the item (iii) Old Financial Instruments and Exchange Act before the item (iii) effective date, or submits a quarterly securities report on or after the item (iii) effective date pursuant to the provisions of paragraph (1), the provisions of Article 5, paragraphs (3) and (4) of the item (iii) New Financial Instruments and Exchange Act (including as applied mutatis mutandis pursuant to paragraph (5) of that Article) apply from the time the person first submits an annual securities report on or after the item (iii) effective date, and until the person first submits an annual securities report on or after the item (iii) effective date, the provisions then in force continue to govern.
With regard to the administrative monetary penalty for a violation relating to a quarterly securities report under Article 24-4-7, paragraph (1) or (2) of the item (iii) Old Financial Instruments and Exchange Act (including one to be submitted on or after the item (iii) effective date pursuant to the provisions of paragraph (1)), the provisions then in force continue to govern.
The provisions of Article 185-7, paragraphs (4) through (7) of the item (iii) New Financial Instruments and Exchange Act apply to the ongoing disclosure document (meaning the ongoing disclosure document prescribed in Article 185-7, paragraph (4) of the item (iii) New Financial Instruments and Exchange Act) or ongoing disclosure document, etc. (meaning the ongoing disclosure document, etc. prescribed in Article 185-7, paragraph (6) of the item (iii) New Financial Instruments and Exchange Act) pertaining to the business year subject to disclosure (meaning the business year subject to disclosure prescribed in Article 185-7, paragraph (31) of the item (iii) New Financial Instruments and Exchange Act) that begins on or after the item (iii) effective date of a person that submits a quarterly securities report pursuant to the provisions of Article 24-4-7, paragraph (1) or (2) of the item (iii) Old Financial Instruments and Exchange Act before the item (iii) effective date, or submits a quarterly securities report on or after the item (iii) effective date pursuant to the provisions of paragraph (1), and with respect to the ongoing disclosure document (meaning the ongoing disclosure document prescribed in Article 185-7, paragraph (4) of the item (iii) Old Financial Instruments and Exchange Act) or ongoing disclosure document, etc. (meaning the ongoing disclosure document, etc. prescribed in Article 185-7, paragraph (6) of the item (iii) Old Financial Instruments and Exchange Act) pertaining to the business year subject to disclosure (meaning the business year subject to disclosure prescribed in Article 185-7, paragraph (31) of the item (iii) Old Financial Instruments and Exchange Act) of that person that began before the item (iii) effective date, the provisions then in force continue to govern.
第三号新金融商品取引法第百八十五条の七第四項から第七項までの規定は、第三号施行日前に第三号旧金融商品取引法第二十四条の四の七第一項若しくは第二項の規定により四半期報告書を提出し、又は第一項の規定により第三号施行日以後に四半期報告書を提出する者の第三号施行日以後に開始する記載対象事業年度(第三号新金融商品取引法第百八十五条の七第三十一項に規定する記載対象事業年度をいう。)に係る継続開示書類(第三号新金融商品取引法第百八十五条の七第四項に規定する継続開示書類をいう。)又は継続開示書類等(第三号新金融商品取引法第百八十五条の七第六項に規定する継続開示書類等をいう。)について適用し、当該者の第三号施行日前に開始した記載対象事業年度(第三号旧金融商品取引法第百八十五条の七第三十一項に規定する記載対象事業年度をいう。)に係る継続開示書類(第三号旧金融商品取引法第百八十五条の七第四項に規定する継続開示書類をいう。)又は継続開示書類等(第三号旧金融商品取引法第百八十五条の七第六項に規定する継続開示書類等をいう。)については、なお従前の例による。
A decision ordering the payment of an administrative monetary penalty to the national treasury pursuant to Article 172-3, paragraph (2), Article 172-4, paragraph (2) or Article 172-12, paragraph (1) of the item (iii) Old Financial Instruments and Exchange Act (limited to one pertaining to a violation relating to a quarterly securities report, and including a decision pursuant to Article 185-7, paragraphs (4) through (7) and (14) through (16) of the item (iii) Old Financial Instruments and Exchange Act) is deemed to be an administrative monetary penalty payment order prescribed in Article 185-15, paragraph (1) of the Financial Instruments and Exchange Act, and a decision clarifying that the case falls under the proviso to Article 185-7, paragraph (5) or the proviso to Article 185-7, paragraph (7) of the item (iii) Old Financial Instruments and Exchange Act (limited to one pertaining to a violation relating to a quarterly securities report) is deemed to be a decision prescribed in Article 185-7, paragraph (18) of the item (iii) New Financial Instruments and Exchange Act, and the provisions of paragraph (15) of that Article apply.
第三号旧金融商品取引法第百七十二条の三第二項、第百七十二条の四第二項又は第百七十二条の十二第一項の規定による課徴金を国庫に納付することを命ずる旨の決定(四半期報告書に関する違反行為に係るものに限り、第三号旧金融商品取引法第百八十五条の七第四項から第七項まで及び第十四項から第十六項までの規定による決定を含む。)は、金融商品取引法第百八十五条の十五第一項に規定する課徴金納付命令とみなし、第三号旧金融商品取引法第百八十五条の七第五項ただし書又は第七項ただし書に該当する旨を明らかにする決定(四半期報告書に関する違反行為に係るものに限る。)は、第三号新金融商品取引法第百八十五条の七第十八項に規定する決定とみなして、同条第十五項の規定を適用する。
(Execution of an Administrative Monetary Penalty Payment Order)
If a person that is issued a demand pursuant to paragraph (1) of the preceding Article fails to pay the amount that person is required to pay by the designated due date…
前条第一項の規定により督促を受けた者がその指定する期限までにその納付すべき金額を納付しないときは、内閣総理大臣の命令で、第百八十五条の七第一項、第二項、第四項から第八項まで及び第十項から第十七項までの決定(第百八十五条の八第六項又は第七項の規定による変更後のものを含む。以下この条及び次条において「課徴金納付命令」とい…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1), paragraph (2), paragraphs (4) through (8), or paragraph (10) through the preceding paragraph…
内閣総理大臣は、第一項、第二項、第四項から第八項まで又は第十項から前項までの規定により決定をしなければならない場合において、当該決定を受けるべき次の表の上欄に掲げる者が、同表の中欄に掲げる日から遡り五年以内に…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If, after the conclusion of trial procedures, the Prime Minister finds no fact to have occurred that falls under an item of Article 178, paragraph (1), or in a case to which paragraph (3)…
内閣総理大臣は、審判手続を経た後、第百七十八条第一項各号に掲げる事実がないと認めるとき又は第三項、第五項ただし書、第七項ただし書、第九項、第十一項ただし書、第十六項ただし書若しくは前項ただし書に該当するときは、その旨を明らかにする決定をしなければならない。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
The term "business year subject to disclosure" as used in paragraphs (4) through (7), and paragraphs (10) and (11) means the business year specified in the relevant of the following items for the…
第四項から第七項まで、第十項及び第十一項の「記載対象事業年度」とは、次の各号に掲げる書類又は情報の区分に応じ、当該各号に定める事業年度をいう。
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
an extraordinary report under Article 24-5, paragraph (4) (including as applied mutatis mutandis pursuant to Article 27), as well as under Article 7,paragraph (1), Article 9, paragraph (1)…
第二十四条の五第四項(第二十七条において準用する場合を含む。)及び第二十四条の五第五項(第二十七条において準用する場合を含む。)において準用する第七条第一項、第九条第一項又は第十条第一項の規定による臨時報告書及びその訂正報告書 当該臨時報告書を提出した日の属する事業年度
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (iii)) in connection with the submission of ongoing…
内閣総理大臣は、同一の記載対象事業年度に係る継続開示書類(有価証券報告書又は半期報告書をいう。次項において同じ。)の提出について第百七十二条の三第一項に該当する事実及び同条第二項に該当する事実のそれぞれについて第一項の決定(第百七十八条第一項第三号に係るものに限る。)をしなければならないときは…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds a fact set forth in Article 178, paragraph (1), item (iii) to have occurred…
内閣総理大臣は、第一項(第百七十八条第一項第三号に掲げる事実があると認める場合に限る。以下この項において同じ。)の決定をしなければならない場合において、既に第一項又は第十五項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)の規定によりなされた決定(以下この項において「既決定」という。)に係る継続…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (limited to a decision under Article 178, paragraph (1), item (iv)) in connection with two or more ongoing…
内閣総理大臣は、同一の記載対象事業年度に係る二以上の継続開示書類等(有価証券報告書等又は半期・臨時報告書等をいい、これらの書類に係る虚偽の記載を訂正し、又は記載すべき重要な事項の不備を補正する第二十四条の二第一項及び第二十四条の五第五項(これらの規定を第二十七条において準用する場合を含む。)において準用する第七条第一…
Open this provision(Decision to Issue an Administrative Monetary Penalty Payment Order)
If the Prime Minister is required to issue the decision referred to in paragraph (1) (but only if the Prime Minister finds the fact set forth in Article 178, paragraph (1), item (iv) to have…
内閣総理大臣は、第一項(第百七十八条第一項第四号に掲げる事実があると認める場合に限る。以下この項において同じ。)又は前項の決定をしなければならない場合において、既に第一項、前項、この項、第十四項(同号に掲げる事実があると認める場合に限る。以下この項において同じ。)…
Open this provision(Submission of a Confirmation Letter for the Content of Statements in an Annual Securities Report)
A company that is required to submit an annual securities report under Article 24, paragraph (1) (including a company that has submitted an annual securities report under Article 23-3, paragraph (4)…
第二十四条第一項の規定による有価証券報告書を提出しなければならない会社(第二十三条の三第四項の規定により当該有価証券報告書を提出した会社を含む。次項において同じ。)のうち、第二十四条第一項第一号に掲げる有価証券の発行者である会社その他の政令で定めるものは、内閣府令で定めるところにより…
Open this provision(Submission of Securities Registration Statements)
If a person that has continuously filed annual securities reports as specified by Cabinet Office Order during the period specified by Cabinet Office Order seeks to file a notification under…
既に内閣府令で定める期間継続して有価証券報告書のうち内閣府令で定めるものを提出している者は、前条第一項から第三項までの規定による届出をしようとする場合には、第一項の届出書に、内閣府令で定めるところにより…
Open this provision(Submission of Securities Registration Statements)
If a person that satisfies all of the requirements set forth below seeks to file a notification under paragraphs (1) through (3) of the preceding Article…
次に掲げる全ての要件を満たす者が前条第一項から第三項までの規定による届出をしようとする場合において、第一項の届出書に、内閣府令で定めるところにより、その者に係る直近の有価証券報告書及びその添付書類並びにその提出以後に提出される半期報告書及び臨時報告書(第二十四条の五第四項に規定する報告書をいう。)並びにこれらの訂正報…
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 provisionEffective Date
the provisions in Article 1 amending Article 5, paragraphs (2) through (6), Article 21-2, paragraph (1), Article 21-3, and Article 24, paragraph (2) of the Financial Instruments and Exchange Act…
第一条中金融商品取引法第五条第二項から第六項まで、第二十一条の二第一項、第二十一条の三及び第二十四条第二項の改正規定、同法第二十四条の四の七及び第二十四条の四の八を削る改正規定並びに同法第二十四条の五第一項から第三項まで及び第十三項、第二十五条第一項から第四項まで及び第六項、第二十七条、第二十七条の三十の二…
Open this provisionTransitional Measures Concerning Quarterly Securities Reports
With regard to the submission of a quarterly securities report pertaining to a quarter (meaning each three-month period of the business year prescribed in Article 24-4-7, paragraph (1) of the…
前条第三号に掲げる規定の施行の日(以下この条から附則第四条までにおいて「第三号施行日」という。)前に開始した四半期(第一条の規定(同号に掲げる改正規定に限る。第三項において同じ。)による改正前の金融商品取引法(以下この条から附則第四条までにおいて「第三号旧金融商品取引法」という。)第二十四条の四の七第一項に規定する事…
Open this provisionTransitional Measures Concerning Quarterly Securities Reports
With regard to the submission of a quarterly securities report pertaining to a quarter (meaning each three-month period of the business year prescribed in Article 24-4-7, paragraph (1) of the…
前条第三号に掲げる規定の施行の日(以下この条から附則第四条までにおいて「第三号施行日」という。)前に開始した四半期(第一条の規定(同号に掲げる改正規定に限る。第三項において同じ。)による改正前の金融商品取引法(以下この条から附則第四条までにおいて「第三号旧金融商品取引法」という。)第二十四条の四の七第一項に規定する事…
Open this provisionTransitional Measures Concerning Quarterly Securities Reports
With regard to the application of the provisions of Chapter II of the Financial Instruments and Exchange Act as amended by the provisions of Article 1…
第三号施行日前に第三号旧金融商品取引法第二十四条の四の七第一項又は第二項の規定により提出された四半期報告書及び第一項の規定により第三号施行日以後に提出される四半期報告書並びにこれらの四半期報告書に係る確認書に係る第一条の規定による改正後の金融商品取引法(以下この条から附則第四条までにおいて「第三号新金融商品取引法」と…
Open this provisionTransitional Measures Concerning Semiannual Securities Reports
In the case where a quarterly securities report (limited to one pertaining to the first quarter of a business year and for which the period for its submission begins on or after the item (iii)…
前条第一項の規定により第三号施行日以後に四半期報告書(事業年度における最初の四半期に係るものであって第三号施行日以後にその提出すべき期間が開始するものに限る。)を提出する場合においては、半期報告書の提出については、前項の規定にかかわらず、当該四半期が属する事業年度から…
Open this provisionTransitional Measures Concerning Public Inspections
The provisions of Article 25 of the item (iii) New Financial Instruments and Exchange Act apply to the documents set forth in paragraph (1), items (i)…
第三号新金融商品取引法第二十五条の規定は、第三号施行日以後に受理される同条第一項第一号、第二号及び第六号から第八号までに掲げる書類並びに第三号施行日以後に提出される当該書類の写しの縦覧について適用し…
Open this provisionannual securities report
「有価証券報告書」
An annual securities report: the report that a company issuing securities listed on a financial instruments exchange, or otherwise falling under Article 24, paragraph (1), must submit to the Prime Minister for each business year, setting out its trade name, the state of its corporate group and its accounts, and other important matters about its business, within three months after the year ends for a domestic company.
Short name set inArticle 24, paragraph (1)
ongoing disclosure documentmachine translation
「継続開示書類」
In Article 185-7, paragraphs (4) and (5), an annual securities report (有価証券報告書) or a semiannual securities report (半期報告書).
Defined inArticle 185-7, paragraph (4)· applies only in this provision and in Article 185-7, paragraph (5)
business year subject to disclosure
「記載対象事業年度」
As used in Article 185-7, paragraphs (4) to (7), (10) and (11), the business year a document or information relates to: for an annual securities report and its attachments (and their amendment reports), the business year they cover; for a semiannual securities report (and its amendment report), the business year that contains the period it covers; for an extraordinary report (and its amendment report), the business year in which it was submitted; for issuer information (発行者情報) and its amendments, the business year it covers.
Defined inArticle 185-7, paragraph (31)
administrative monetary penalty payment order
「課徴金納付命令」
In Articles 185-15 and 185-16, a decision under Article 185-7, paragraph (1), (2), (4) to (8) or (10) to (17) ordering payment of an administrative monetary penalty (課徴金), including one changed under Article 185-8, paragraph (6) or (7); where the person does not pay by the deadline in a demand, it is enforced by order of the Prime Minister.
Short name set inArticle 185-15, paragraph (1)· applies only in this article and in Article 185-16
quarter
「四半期」
In Articles 2 and 3 of the supplementary provisions (附則) of Act No. 79 of 2023, each of the three-month periods into which a business year was divided under Article 24-4-7, paragraph (1) of this Act as it stood before Article 1 of that Act amended it — the periods, other than any a Cabinet Order (政令) excluded, for which quarterly securities reports (四半期報告書) were filed.
Defined inSupplementary Provisions, Article 2, paragraph (1)· applies only in this provision and in Supplementary Provisions, Article 3, paragraph (2)
quarterly securities reportmachine translation
「四半期報告書」
In Articles 2 and 3 of the supplementary provisions (附則) of Act No. 79 of 2023, the report that listed companies, etc. (上場会社等) — companies required to file annual securities reports that a Cabinet Order (政令) specified, such as issuers of listed securities — had to file for each three-month period of a business year longer than three months, on their corporate group's financial condition and other particulars, under Article 24-4-7, paragraph (1) of this Act as it stood before Article 1 of that Act amended it.
Defined inSupplementary Provisions, Article 2, paragraph (1)· applies only in this article and in Supplementary Provisions, Article 3, paragraph (2)
item (iii) effective datemachine translation
「第三号施行日」
In Articles 2 to 4 of the supplementary provisions (附則) of Act No. 79 of 2023, the date the provisions listed in Article 1, item (iii) of those supplementary provisions come into effect: 1 April 2024.
Short name set inSupplementary Provisions, Article 2, paragraph (1)· applies only in this article and in Supplementary Provisions, Articles 3 and 4
item (iii) Old Financial Instruments and Exchange Actmachine translation
「第三号旧金融商品取引法」
In Articles 2 to 4 of the supplementary provisions (附則) of Act No. 79 of 2023, the Financial Instruments and Exchange Act (Act No. 25 of 1948) as it stood before Article 1 of that Act amended it, counting only the amendments listed in Article 1, item (iii) of those supplementary provisions, which come into effect on 1 April 2024.
Short name set inSupplementary Provisions, Article 2, paragraph (1)· applies only in this article and in Supplementary Provisions, Articles 3 and 4
confirmation letter
「確認書」
In Article 2, paragraphs (2) and (3) of the supplementary provisions (附則) of Act No. 79 of 2023, the confirmation letter for a quarterly securities report (四半期報告書) that Article 24-4-8, paragraph (1) of this Act, as it stood before the amendments listed in Article 1, item (iii) of those supplementary provisions, required by applying Article 24-4-2, paragraph (1) to quarterly reports: a document stating that the report's content has been confirmed as appropriate under the laws and regulations on financial instruments and exchange.
Defined inSupplementary Provisions, Article 2, paragraph (2)· applies only in this provision and in Supplementary Provisions, Article 2, paragraph (3)
item (iii) New Financial Instruments and Exchange Actmachine translation
「第三号新金融商品取引法」
This Act as amended by Article 1 of Act No. 79 of 2023.
Short name set inSupplementary Provisions, Article 2, paragraph (3)· applies only in this article and in Supplementary Provisions, Articles 3 and 4