# 金融商品取引法 / Financial Instruments and Exchange Act — 第百五十六条の二十の三 (Article 156-20-3)

- Law: 金融商品取引法 (Financial Instruments and Exchange Act), 昭和二十三年法律第二十五号
- English title "Financial Instruments and Exchange Act": Ministry of Justice translation
- Kind: Act — the distinction between 法律 (Act), 政令 (Cabinet Order), 省令 (Ministerial Order) and 条例 (local ordinance) decides who may issue it and what it may say.
- Provision: 第百五十六条の二十の三 (Article 156-20-3)（免許の申請） — address `art-156-20-3`
- Text in force since: 2026-08-12
- URL (the page that opens at this provision): https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3
- Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-156-20-3
- Every provision below carries its address and both URLs on the line under it.
- Japanese text: e-Gov 法令検索, Digital Agency (デジタル庁). English: as marked on each line below.

Only the Japanese as published by the government has legal effect; the text
below is a copy of it. Every English rendering below is a translation and
says which kind: the Ministry of Justice's translation, or this
site's machine translation, whose model and date the Sources list names.
They are never merged and never substituted for one another.

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### 第百五十六条の二十の三（免許の申請） — (License Application)
<sup>caption: Ministry of Justice translation — Japanese Law Translation Database System</sup>
<sup>art-156-20-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-3</sup>

  **第一項**  前条の免許を受けようとする者は、国内における代表者を定め、次に掲げる事項を記載した免許申請書を内閣総理大臣に提出しなければならない。
  <sup>art-156-20-3/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1</sup>
  A person seeking the license referred to in the preceding Article must designate a domestic representative and submit a written license application to the Prime Minister, in which it states the following particulars:
  <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **一**  商号又は名称
    <sup>art-156-20-3/par-1/item-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-1</sup>
    its trade name or name;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **二**  資本金の額又は出資の総額
    <sup>art-156-20-3/par-1/item-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-2</sup>
    the amount of stated capital or the total amount of contributions;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **三**  本店又は主たる事務所の所在の場所
    <sup>art-156-20-3/par-1/item-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-3</sup>
    the location of its head office or principal office;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **四**  国内に事務所があるときは、その所在の場所
    <sup>art-156-20-3/par-1/item-4 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-4</sup>
    the location of its office in Japan, if any;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **五**  役員の役職名及び氏名
    <sup>art-156-20-3/par-1/item-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-5</sup>
    the titles and names of its officers;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **六**  国内における代表者の氏名及び国内の住所
    <sup>art-156-20-3/par-1/item-6 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-6</sup>
    the name and domestic address of its domestic representative; and
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **七**  金融商品債務引受業等及びこれに附帯する業務以外の業務を行うときは、その業務の内容
    <sup>art-156-20-3/par-1/item-7 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1/item-7</sup>
    if the person conducts business other than financial instruments obligation assumption services, etc. and business incidental to this, the outline of that business.
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

  **第二項**  前項の免許申請書には、次に掲げる書類を添付しなければならない。
  <sup>art-156-20-3/par-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2</sup>
  The following documents must accompany the written license application referred to in the preceding paragraph:
  <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **一**  次条第二項第一号から第四号までに掲げる要件に該当しない旨を誓約する書面
    <sup>art-156-20-3/par-2/item-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-1</sup>
    a document pledging that the applicant does not fall under the purview of the requirements set forth in paragraph (2), items (i) through (iv) of the following Article;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **二**  定款（これに準ずるものを含む。以下この章において同じ。）
    <sup>art-156-20-3/par-2/item-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-2</sup>
    the articles of incorporation (including anything equivalent thereto; hereinafter the same applies in this Chapter);
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **三**  業務方法書
    <sup>art-156-20-3/par-2/item-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-3</sup>
    the business rules;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **四**  貸借対照表及び損益計算書
    <sup>art-156-20-3/par-2/item-4 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-4</sup>
    the balance sheet and profit and loss statement;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **五**  収支の見込みを記載した書類
    <sup>art-156-20-3/par-2/item-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-5 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-5</sup>
    documents stating the expected income and expenditures;
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **六**  未決済債務等（第百五十六条の二十の九第一項に規定する未決済債務等をいう。次条第一項第五号において同じ。）の決済を行うために必要な担保の徴求の方法その他の当該決済の仕組み及び当該決済の業務を行うための設備、人員その他の体制の概要を記載した書類
    <sup>art-156-20-3/par-2/item-6 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-6 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-6</sup>
    a document outlining the method of securing the collateral needed to settle outstanding obligations (meaning outstanding obligations as prescribed in Article 156-20-9, paragraph (1); hereinafter the same applies in paragraph (1), item (v) of the following Article) and other arrangements for settling them, and outlining the facilities, personnel, and other systems for performing such settlement operations; and
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

    **七**  前各号に掲げるもののほか、内閣府令で定める書類
    <sup>art-156-20-3/par-2/item-7 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-7 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-7</sup>
    beyond what is set forth in the preceding items, documents specified by Cabinet Office Order.
    <sup>Ministry of Justice translation — Japanese Law Translation Database System</sup>

  **第三項**  前項の場合において、定款若しくは貸借対照表が電磁的記録で作成されているとき、又は損益計算書について書面に代えて電磁的記録の作成がされているときは、書類に代えて電磁的記録（内閣府令で定めるものに限る。）を添付することができる。
  <sup>art-156-20-3/par-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-3</sup>
  In the case referred to in the preceding paragraph, if the articles of incorporation or balance sheet has been prepared as an electronic or magnetic record or an electronic or magnetic record has been prepared for a profit and loss statement in lieu of a written document, the electronic or magnetic record (limited to those specified by Cabinet Office Order) may accompany the written license application in lieu of the written document.
  <sup>machine translation, not official</sup>

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## Cites
- art-156-20-3/par-1: 前条 → 金融商品取引法 第百五十六条の二十の二 (Article 156-20-2), art-156-20-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-2
- art-156-20-3/par-2: 前項 → 金融商品取引法 第百五十六条の二十の三第一項 (Article 156-20-3, paragraph (1)), art-156-20-3/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-1
- art-156-20-3/par-2/item-1: 次条第二項第一号から第四号まで → 金融商品取引法 第百五十六条の二十の四第二項第一号 (Article 156-20-4, paragraph (2), item (i)), art-156-20-4/par-2/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-4/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-4/par-2/item-1
- art-156-20-3/par-2/item-1: 次条第二項第一号から第四号まで → 金融商品取引法 第百五十六条の二十の四第二項第二号 (Article 156-20-4, paragraph (2), item (ii)), art-156-20-4/par-2/item-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-4/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-4/par-2/item-2
- art-156-20-3/par-2/item-1: 次条第二項第一号から第四号まで → 金融商品取引法 第百五十六条の二十の四第二項第三号 (Article 156-20-4, paragraph (2), item (iii)), art-156-20-4/par-2/item-3 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-4/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-4/par-2/item-3
- art-156-20-3/par-2/item-1: 次条第二項第一号から第四号まで → 金融商品取引法 第百五十六条の二十の四第二項第四号 (Article 156-20-4, paragraph (2), item (iv)), art-156-20-4/par-2/item-4 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-4/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-156-20-4/par-2/item-4
- art-156-20-3/par-2/item-6: 第百五十六条の二十の九第一項 → 金融商品取引法 第百五十六条の二十の九第一項 (Article 156-20-9, paragraph (1)), art-156-20-9/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-9/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-9/par-1
- art-156-20-3/par-2/item-6: 次条第一項第五号 → 金融商品取引法 第百五十六条の二十の四第一項第五号 (Article 156-20-4, paragraph (1), item (v)), art-156-20-4/par-1/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-4/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-156-20-4/par-1/item-5
- art-156-20-3/par-2/item-7: 前各号 → 金融商品取引法 第百五十六条の二十の三第二項第一号 (Article 156-20-3, paragraph (2), item (i)), art-156-20-3/par-2/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-1
- art-156-20-3/par-2/item-7: 前各号 → 金融商品取引法 第百五十六条の二十の三第二項第二号 (Article 156-20-3, paragraph (2), item (ii)), art-156-20-3/par-2/item-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-2
- art-156-20-3/par-2/item-7: 前各号 → 金融商品取引法 第百五十六条の二十の三第二項第三号 (Article 156-20-3, paragraph (2), item (iii)), art-156-20-3/par-2/item-3 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-3
- art-156-20-3/par-2/item-7: 前各号 → 金融商品取引法 第百五十六条の二十の三第二項第四号 (Article 156-20-3, paragraph (2), item (iv)), art-156-20-3/par-2/item-4 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-4 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-4
- art-156-20-3/par-2/item-7: 前各号 → 金融商品取引法 第百五十六条の二十の三第二項第五号 (Article 156-20-3, paragraph (2), item (v)), art-156-20-3/par-2/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-5 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-5
- art-156-20-3/par-2/item-7: 前各号 → 金融商品取引法 第百五十六条の二十の三第二項第六号 (Article 156-20-3, paragraph (2), item (vi)), art-156-20-3/par-2/item-6 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-6 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-6
- art-156-20-3/par-3: 前項 → 金融商品取引法 第百五十六条の二十の三第二項 (Article 156-20-3, paragraph (2)), art-156-20-3/par-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2

## Cited by

8 provisions cite this one. No official source publishes this direction.

- 金融商品取引法 第百五十六条の二十の三第二項（免許の申請） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2
- 金融商品取引法 第百五十六条の二十の三第二項第七号（免許の申請） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-2/item-7 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-2/item-7
- 金融商品取引法 第百五十六条の二十の三第三項（免許の申請） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-156-20-3/par-3
- 金融商品取引法 第百五十六条の二十の四第一項（免許審査基準） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-4/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-4/par-1
- 金融商品取引法 第百五十六条の二十の五第一項（免許の拒否等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-5/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-5/par-1
- 金融商品取引法 第百五十六条の二十の十一第一項（資本金の額等の変更の届出） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-11/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-20-11/par-1
- 金融商品取引法 第百五十六条の二十二第一項（内閣府令への委任） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-22/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-22/par-1
- 金融商品取引法 第百九十八条の六第一項第一号 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-198-6/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-198-6/par-1/item-1

---

## Sources

- e-Gov 法令検索, Digital Agency (デジタル庁) — 金融商品取引法 — the text in force from 2026-08-12 (https://laws.e-gov.go.jp/law/323AC0000000025/20260812_508AC0000000064), retrieved 2026-10-22
- Japanese Law Translation Database System, Ministry of Justice (法務省) — Financial Instruments and Exchange Act — Ministry of Justice translation (https://www.japaneselawtranslation.go.jp/en/laws/view/4633/tb), retrieved 2026-10-22
- claude-sonnet-5-5 — Machine translation, batch financial-instruments-and-exchange-act-20261023T033157-017, translated 2026-10-23
- This site's parser, version 212 — 金融商品取引法 — structure, counts, cross-references and defined terms, computed 2026-10-22