# 金融商品取引法 / Financial Instruments and Exchange Act — 第三十七条の三 (Article 37-3) - 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: 第三十七条の三 (Article 37-3)（契約締結前の情報の提供等） — address `art-37-3` - 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-37-3 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-37-3 - 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. --- ### 第三十七条の三（契約締結前の情報の提供等） — Provision of Information, etc. Prior to Conclusion of a Contract caption: machine translation, not official art-37-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3 · https://japanlaw.org/l/323AC0000000025/art-37-3 **第一項** 金融商品取引業者等は、金融商品取引契約を締結しようとするときは、内閣府令で定めるところにより、あらかじめ、顧客に対し、次に掲げる事項に係る情報を提供しなければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。 art-37-3/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1 If a financial instruments business operator, etc. seeks to conclude a financial instruments transaction contract, it must provide the customer in advance, pursuant to the provisions of Cabinet Office Order, with information on the following particulars; provided, however, that this does not apply in cases specified by Cabinet Office Order as those in which its not doing so does not compromise the protection of investors: machine translation, not official **一** 当該金融商品取引業者等の商号、名称又は氏名及び住所 art-37-3/par-1/item-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-1 the trade name or name and address of the financial instruments business operator, etc.; Ministry of Justice translation — Japanese Law Translation Database System **二** 金融商品取引業者等である旨及び当該金融商品取引業者等の登録番号 art-37-3/par-1/item-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-2 an indication that it is a financial instruments business operator, etc., and its registration number; Ministry of Justice translation — Japanese Law Translation Database System **三** 当該金融商品取引契約の概要 art-37-3/par-1/item-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-3 an outline of the relevant financial instruments transaction contract; Ministry of Justice translation — Japanese Law Translation Database System **四** 手数料、報酬その他の当該金融商品取引契約に関して顧客が支払うべき対価に関する事項であつて内閣府令で定めるもの art-37-3/par-1/item-4 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-4 the particulars specified by Cabinet Office Order with regard to any fees, remuneration, or other consideration payable by the customer in connection with the financial instruments transaction contract; Ministry of Justice translation — Japanese Law Translation Database System **五** 顧客が行う金融商品取引行為について金利、通貨の価格、金融商品市場における相場その他の指標に係る変動により損失が生ずることとなるおそれがあるときは、その旨 art-37-3/par-1/item-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-5 an indication of any risk that a loss will be incurred due to fluctuations in the money rate, the value of currencies, quotations on the financial instruments market, and other indicators, in connection with an act that constitutes a financial instruments transaction carried out by the customer; Ministry of Justice translation — Japanese Law Translation Database System **六** 前号の損失の額が顧客が預託すべき委託証拠金その他の保証金その他内閣府令で定めるものの額を上回るおそれがあるときは、その旨 art-37-3/par-1/item-6 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-6 an indication of any risk that the amount of the loss set forth in the preceding item will exceed the amount of customer margin or any other security deposit, or anything specified by Cabinet Office Order that is payable by the customer; and Ministry of Justice translation — Japanese Law Translation Database System **七** 前各号に掲げるもののほか、金融商品取引業の内容に関する事項であつて、顧客の判断に影響を及ぼすこととなる重要なものとして内閣府令で定める事項 art-37-3/par-1/item-7 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-7 the particulars of the contents of the relevant financial instruments business other than what is set forth in the preceding items, which are specified by Cabinet Office Order as material particulars that may have an impact on customers' judgment. Ministry of Justice translation — Japanese Law Translation Database System **第二項** 金融商品取引業者等は、前項の規定による情報の提供を行うときは、顧客に対し、同項各号に掲げる事項（同項第五号及び第六号に掲げる事項その他内閣府令で定める事項を除く。）について、顧客の知識、経験、財産の状況及び当該金融商品取引契約を締結しようとする目的（以下この項において「顧客属性」という。）に照らして、当該顧客に理解されるために必要な方法及び程度により、説明をしなければならない。ただし、顧客属性に照らして、当該情報の提供のみで当該顧客が当該事項の内容を理解したことを適切な方法により確認した場合その他の内閣府令で定める場合は、この限りでない。 art-37-3/par-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-2 When a financial instruments business operator, etc. provides information pursuant to the provisions of the preceding paragraph, it must explain to the customer the particulars set forth in the items of that paragraph (excluding the particulars set forth in items (v) and (vi) of that paragraph and other particulars specified by Cabinet Office Order), by the method and to the extent necessary for the customer to understand them, in light of customer knowledge, customer experience, the state of customer assets, and the purpose for which the financial instruments transaction contract is to be concluded (hereinafter referred to as "customer attributes" in this paragraph); provided, however, that this does not apply in cases specified by Cabinet Office Order, such as the case where, in light of customer attributes, it has been confirmed by an appropriate method that the customer has understood the contents of those particulars through the provision of that information alone. machine translation, not official **第三項** 金融商品取引業者等は、第二条第二項の規定により有価証券とみなされる同項各号に掲げる権利に係る金融商品取引契約の締結の勧誘（募集若しくは売出し又は募集若しくは売出しの取扱いであつて、政令で定めるものに限る。）を行う場合には、内閣府令で定めるところにより、あらかじめ、当該金融商品取引契約に係る第一項の規定により提供する情報の内容を内閣総理大臣に届け出なければならない。ただし、投資者の保護に支障を生ずることがない場合として内閣府令で定める場合は、この限りでない。 art-37-3/par-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-3 Before soliciting (limited to a public offering or secondary distribution, or dealings in a public offering or secondary distribution specified by Cabinet Order) the conclusion of a financial instruments transaction contract for any of the rights set forth in the items of Article 2, paragraph (2) that are deemed to be securities under that paragraph, a financial instruments business operator, etc. must notify the Prime Minister, pursuant to the provisions of Cabinet Office Order, of the contents of the information provided pursuant to the provisions of paragraph (1) regarding the relevant financial instruments transaction contract; provided, however, that this does not apply in cases specified by Cabinet Office Order as those in which its not doing so does not compromise the protection of investors. machine translation, not official --- ## Cites - art-37-3/par-1/item-6: 前号 → 金融商品取引法 第三十七条の三第一項第五号 (Article 37-3, paragraph (1), item (v)), art-37-3/par-1/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-5 - art-37-3/par-1/item-7: 前各号 → 金融商品取引法 第三十七条の三第一項第一号 (Article 37-3, paragraph (1), item (i)), art-37-3/par-1/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-1 - art-37-3/par-1/item-7: 前各号 → 金融商品取引法 第三十七条の三第一項第二号 (Article 37-3, paragraph (1), item (ii)), art-37-3/par-1/item-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-2 - art-37-3/par-1/item-7: 前各号 → 金融商品取引法 第三十七条の三第一項第三号 (Article 37-3, paragraph (1), item (iii)), art-37-3/par-1/item-3 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-3 - art-37-3/par-1/item-7: 前各号 → 金融商品取引法 第三十七条の三第一項第四号 (Article 37-3, paragraph (1), item (iv)), art-37-3/par-1/item-4 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-4 - art-37-3/par-1/item-7: 前各号 → 金融商品取引法 第三十七条の三第一項第五号 (Article 37-3, paragraph (1), item (v)), art-37-3/par-1/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-5 - art-37-3/par-1/item-7: 前各号 → 金融商品取引法 第三十七条の三第一項第六号 (Article 37-3, paragraph (1), item (vi)), art-37-3/par-1/item-6 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-6 - art-37-3/par-2: 前項 → 金融商品取引法 第三十七条の三第一項 (Article 37-3, paragraph (1)), art-37-3/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1 - art-37-3/par-2: 同項第五号 → 金融商品取引法 第三十七条の三第一項第五号 (Article 37-3, paragraph (1), item (v)), art-37-3/par-1/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-5 - art-37-3/par-2: 第六号 → 金融商品取引法 第三十七条の三第一項第六号 (Article 37-3, paragraph (1), item (vi)), art-37-3/par-1/item-6 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-6 - art-37-3/par-2: この項 → 金融商品取引法 第三十七条の三第二項 (Article 37-3, paragraph (2)), art-37-3/par-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-2 - art-37-3/par-3: 第二条第二項 → 金融商品取引法 第二条第二項 (Article 2, paragraph (2)), art-2/par-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-2/par-2 · https://japanlaw.org/l/323AC0000000025/art-2/par-2 - art-37-3/par-3: 第一項 → 金融商品取引法 第三十七条の三第一項 (Article 37-3, paragraph (1)), art-37-3/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1 ## Cited by 26 provisions cite this one. No official source publishes this direction. - 資金決済に関する法律 第六十二条の十七第一項（金融商品取引法の準用） — https://japanlaw.org/en/payment-services-act/art-62-17/par-1 · https://japanlaw.org/l/421AC0000000059/art-62-17/par-1 - 資金決済に関する法律 第六十三条の二十二の十五第一項（金融商品取引法等の準用） — https://japanlaw.org/en/payment-services-act/art-63-22-15/par-1 · https://japanlaw.org/l/421AC0000000059/art-63-22-15/par-1 - 資金決済に関する法律 第百十二条第一項第十一号 — https://japanlaw.org/en/payment-services-act/art-112/par-1/item-11 · https://japanlaw.org/l/421AC0000000059/art-112/par-1/item-11 - 金融商品取引法 第三十七条の三第一項第六号（契約締結前の情報の提供等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-6 - 金融商品取引法 第三十七条の三第一項第七号（契約締結前の情報の提供等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-1/item-7 - 金融商品取引法 第三十七条の三第二項（契約締結前の情報の提供等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-2 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-2 - 金融商品取引法 第三十七条の三第三項（契約締結前の情報の提供等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-37-3/par-3 · https://japanlaw.org/l/323AC0000000025/art-37-3/par-3 - 金融商品取引法 第四十三条の五第一項 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-43-5/par-1 · https://japanlaw.org/l/323AC0000000025/art-43-5/par-1 - 金融商品取引法 第四十五条第一項第二号 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-45/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-45/par-1/item-2 - 金融商品取引法 第五十条の二第四項（廃業等の届出等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-50-2/par-4 · https://japanlaw.org/l/323AC0000000025/art-50-2/par-4 - 金融商品取引法 第六十三条第十一項（適格機関投資家等特例業務） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-63/par-11 · https://japanlaw.org/l/323AC0000000025/art-63/par-11 - 金融商品取引法 第六十三条の三第三項第一号（金融商品取引業者等が適格機関投資家等特例業務を行う場合） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-63-3/par-3/item-1 · https://japanlaw.org/l/323AC0000000025/art-63-3/par-3/item-1 - 金融商品取引法 第六十三条の三第三項第二号（金融商品取引業者等が適格機関投資家等特例業務を行う場合） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-63-3/par-3/item-2 · https://japanlaw.org/l/323AC0000000025/art-63-3/par-3/item-2 - 金融商品取引法 第六十三条の九第八項（海外投資家等特例業務の届出等） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-63-9/par-8 · https://japanlaw.org/l/323AC0000000025/art-63-9/par-8 - 金融商品取引法 第六十三条の十一第三項第一号（金融商品取引業者等が海外投資家等特例業務を行う場合） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-63-11/par-3/item-1 · https://japanlaw.org/l/323AC0000000025/art-63-11/par-3/item-1 - 金融商品取引法 第六十三条の十一第三項第二号（金融商品取引業者等が海外投資家等特例業務を行う場合） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-63-11/par-3/item-2 · https://japanlaw.org/l/323AC0000000025/art-63-11/par-3/item-2 - 金融商品取引法 第六十五条の四第一項（内閣府令への委任） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-65-4/par-1 · https://japanlaw.org/l/323AC0000000025/art-65-4/par-1 - 金融商品取引法 第六十五条の五第二項（適用除外） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-65-5/par-2 · https://japanlaw.org/l/323AC0000000025/art-65-5/par-2 - 金融商品取引法 第六十五条の五第四項（適用除外） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-65-5/par-4 · https://japanlaw.org/l/323AC0000000025/art-65-5/par-4 - 金融商品取引法 第二百五条第一項第十二号 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-205/par-1/item-12 · https://japanlaw.org/l/323AC0000000025/art-205/par-1/item-12 - 金融商品取引法 第二百五条第一項第十三号 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-205/par-1/item-13 · https://japanlaw.org/l/323AC0000000025/art-205/par-1/item-13 - 銀行法 第十三条の四第一項（金融商品取引法の準用） — https://japanlaw.org/en/banking-act/art-13-4/par-1 · https://japanlaw.org/l/356AC0000000059/art-13-4/par-1 - 銀行法 第五十二条の二の五第一項（外国銀行代理銀行についての金融商品取引法の準用） — https://japanlaw.org/en/banking-act/art-52-2-5/par-1 · https://japanlaw.org/l/356AC0000000059/art-52-2-5/par-1 - 銀行法 第五十二条の四十五の二第一項（銀行代理業者についての金融商品取引法の準用） — https://japanlaw.org/en/banking-act/art-52-45-2/par-1 · https://japanlaw.org/l/356AC0000000059/art-52-45-2/par-1 - 銀行法 第五十二条の六十の十七第一項（金融商品取引法の準用） — https://japanlaw.org/en/banking-act/art-52-60-17/par-1 · https://japanlaw.org/l/356AC0000000059/art-52-60-17/par-1 - 銀行法 第六十三条の二の五第一項第三号 — https://japanlaw.org/en/banking-act/art-63-2-5/par-1/item-3 · https://japanlaw.org/l/356AC0000000059/art-63-2-5/par-1/item-3 --- ## 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-20261023T035921-007, 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