# 金融商品取引法 / Financial Instruments and Exchange Act — 第百九十九条 (Article 199)

- 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: 第百九十九条 (Article 199) — address `art-199`
- 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-199
- Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-199
- 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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### 第百九十九条
<sup>art-199 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-199 · https://japanlaw.org/l/323AC0000000025/art-199</sup>

**第一項**  第七十五条、第七十九条の四、第百六条の六第二項において準用する同条第一項、第百六条の二十第二項において準用する同条第一項、第百六条の二十七（第百九条において準用する場合を含む。）、第百五十一条（第百五十三条の四において準用する場合を含む。）、第百五十五条の九、第百五十六条の十五、第百五十六条の二十の十二、第百五十六条の三十四、第百五十六条の五十八若しくは第百五十六条の八十の規定による報告若しくは資料を提出せず、又は虚偽の報告若しくは資料を提出した場合においては、その行為をした認可金融商品取引業協会若しくは第七十八条第二項に規定する認定金融商品取引業協会、金融商品取引所、第八十五条第一項に規定する自主規制法人、金融商品取引所持株会社、商品取引所、商品取引所持株会社、外国金融商品取引所、金融商品取引清算機関、外国金融商品取引清算機関、証券金融会社、第百五十六条の三十八第一項に規定する指定紛争解決機関若しくは取引情報蓄積機関（以下この条において「認可金融商品取引業協会等」という。）、金融商品取引所の子会社（第八十七条の三第三項に規定する子会社をいう。以下この条において同じ。）、金融商品取引所持株会社の子会社、商品取引所の子会社、商品取引所持株会社の子会社、商品取引参加者、金融商品取引所に上場されている有価証券若しくは店頭売買有価証券の発行者、外国金融商品取引所の外国金融商品取引所参加者、金融商品取引清算機関若しくは外国金融商品取引清算機関の清算参加者若しくは取引情報蓄積機関と取引情報収集契約を締結した者の代表者、代理人、使用人その他の従業者又は認可金融商品取引業協会等から業務の委託を受けた者（その者から委託（二以上の段階にわたる委託を含む。）を受けた者を含み、法人である場合にあつては、その代表者、代理人、使用人その他の従業者）は、一年以下の拘禁刑若しくは三百万円以下の罰金に処し、又はこれを併科する。
<sup>art-199/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-199/par-1 · https://japanlaw.org/l/323AC0000000025/art-199/par-1</sup>
If a person fails to submit a report or materials under the provisions of Article 75; Article 79-4; Article 106-6, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article; Article 106-20, paragraph (1) as applied mutatis mutandis pursuant to paragraph (2) of that Article; Article 106-27 (including as applied mutatis mutandis pursuant to Article 109); Article 151 (including as applied mutatis mutandis pursuant to Article 153-4); Article 155-9; Article 156-15; Article 156-20-12; Article 156-34; Article 156-58; or Article 156-80, or submits a false report or false materials, the person who committed the act, being the representative, agent, employee, or other worker of an authorized financial instruments firms association or certified financial instruments business association prescribed in Article 78, paragraph (2), financial instruments exchange, self-regulatory organization prescribed in Article 85, paragraph (1), financial instruments exchange holding company, commodity exchange, commodity exchange holding company, foreign financial instruments exchange, financial instruments clearing organization, foreign financial instruments clearing organization, securities finance company, designated dispute resolution organization prescribed in Article 156-38, paragraph (1), or trade repository (hereinafter referred to as "authorized financial instruments firms association, etc." in this Article), a subsidiary company of a financial instruments exchange (meaning a subsidiary company prescribed in Article 87-3, paragraph (3); the same applies hereinafter in this Article), a subsidiary company of a financial instruments exchange holding company, a subsidiary company of a commodity exchange, a subsidiary company of a commodity exchange holding company, a commodity trading participant, an issuer of securities listed on a financial instruments exchange or over-the-counter traded securities, a participant in a foreign financial instruments exchange of the foreign financial instruments exchange, a clearing member of a financial instruments clearing organization or foreign financial instruments clearing organization, or a person that has concluded a contract for trade data collection with a trade repository, or a person entrusted with business by an authorized financial instruments firms association, etc. (including a person entrusted by that person (including entrustment in two or more stages) and, if it is a corporation, its representative, agent, employee, or other worker), is subject to imprisonment for not more than one year, a fine of not more than three million yen, or both.
<sup>machine translation, not official</sup>

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## Cites
- art-199/par-1: 第七十五条 → 金融商品取引法 第七十五条 (Article 75), art-75 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-75 · https://japanlaw.org/l/323AC0000000025/art-75
- art-199/par-1: 第七十九条の四 → 金融商品取引法 第七十九条の四 (Article 79-4), art-79-4 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-79-4 · https://japanlaw.org/l/323AC0000000025/art-79-4
- art-199/par-1: 第百六条の六第二項 → 金融商品取引法 第百六条の六第二項 (Article 106-6, paragraph (2)), art-106-6/par-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-106-6/par-2 · https://japanlaw.org/l/323AC0000000025/art-106-6/par-2
- art-199/par-1: 同条第一項 → 金融商品取引法 第百六条の六第一項 (Article 106-6, paragraph (1)), art-106-6/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-106-6/par-1 · https://japanlaw.org/l/323AC0000000025/art-106-6/par-1
- art-199/par-1: 第百六条の二十第二項 → 金融商品取引法 第百六条の二十第二項 (Article 106-20, paragraph (2)), art-106-20/par-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-106-20/par-2 · https://japanlaw.org/l/323AC0000000025/art-106-20/par-2
- art-199/par-1: 同条第一項 → 金融商品取引法 第百六条の二十第一項 (Article 106-20, paragraph (1)), art-106-20/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-106-20/par-1 · https://japanlaw.org/l/323AC0000000025/art-106-20/par-1
- art-199/par-1: 第百六条の二十七 → 金融商品取引法 第百六条の二十七 (Article 106-27), art-106-27 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-106-27 · https://japanlaw.org/l/323AC0000000025/art-106-27
- art-199/par-1: 第百九条 → 金融商品取引法 第百九条 (Article 109), art-109 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-109 · https://japanlaw.org/l/323AC0000000025/art-109
- art-199/par-1: 第百五十一条 → 金融商品取引法 第百五十一条 (Article 151), art-151 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-151 · https://japanlaw.org/l/323AC0000000025/art-151
- art-199/par-1: 第百五十三条の四 → 金融商品取引法 第百五十三条の四 (Article 153-4), art-153-4 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-153-4 · https://japanlaw.org/l/323AC0000000025/art-153-4
- art-199/par-1: 第百五十五条の九 → 金融商品取引法 第百五十五条の九 (Article 155-9), art-155-9 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-155-9 · https://japanlaw.org/l/323AC0000000025/art-155-9
- art-199/par-1: 第百五十六条の十五 → 金融商品取引法 第百五十六条の十五 (Article 156-15), art-156-15 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-15 · https://japanlaw.org/l/323AC0000000025/art-156-15
- art-199/par-1: 第百五十六条の二十の十二 → 金融商品取引法 第百五十六条の二十の十二 (Article 156-20-12), art-156-20-12 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-20-12 · https://japanlaw.org/l/323AC0000000025/art-156-20-12
- art-199/par-1: 第百五十六条の三十四 → 金融商品取引法 第百五十六条の三十四 (Article 156-34), art-156-34 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-34 · https://japanlaw.org/l/323AC0000000025/art-156-34
- art-199/par-1: 第百五十六条の五十八 → 金融商品取引法 第百五十六条の五十八 (Article 156-58), art-156-58 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-58 · https://japanlaw.org/l/323AC0000000025/art-156-58
- art-199/par-1: 第百五十六条の八十 → 金融商品取引法 第百五十六条の八十 (Article 156-80), art-156-80 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-80 · https://japanlaw.org/l/323AC0000000025/art-156-80
- art-199/par-1: 第七十八条第二項 → 金融商品取引法 第七十八条第二項 (Article 78, paragraph (2)), art-78/par-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-78/par-2 · https://japanlaw.org/l/323AC0000000025/art-78/par-2
- art-199/par-1: 第八十五条第一項 → 金融商品取引法 第八十五条第一項 (Article 85, paragraph (1)), art-85/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-85/par-1 · https://japanlaw.org/l/323AC0000000025/art-85/par-1
- art-199/par-1: 第百五十六条の三十八第一項 → 金融商品取引法 第百五十六条の三十八第一項 (Article 156-38, paragraph (1)), art-156-38/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-156-38/par-1 · https://japanlaw.org/l/323AC0000000025/art-156-38/par-1
- art-199/par-1: この条 → 金融商品取引法 第百九十九条 (Article 199), art-199 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-199 · https://japanlaw.org/l/323AC0000000025/art-199
- art-199/par-1: 第八十七条の三第三項 → 金融商品取引法 第八十七条の三第三項 (Article 87-3, paragraph (3)), art-87-3/par-3 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-87-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-87-3/par-3

## Cited by

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

- 会社法 第三百三十一条第一項第三号（取締役の資格等） — https://japanlaw.org/en/companies-act/art-331/par-1/item-3 · https://japanlaw.org/l/417AC0000000086/art-331/par-1/item-3
- 金融商品取引法 第百九十九条第一項 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-199/par-1 · https://japanlaw.org/l/323AC0000000025/art-199/par-1
- 金融商品取引法 第二百七条第一項第四号 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-207/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-207/par-1/item-4

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## 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-20261023T035921-018, 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