# 金融商品取引法 / Financial Instruments and Exchange Act — 第六十六条の五十三 (Article 66-53) - 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: 第六十六条の五十三 (Article 66-53)（登録の拒否） — address `art-66-53` - 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-66-53 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-66-53 - 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. --- ### 第六十六条の五十三（登録の拒否） — (Refusal of Registration) caption: Ministry of Justice translation — Japanese Law Translation Database System art-66-53 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53 · https://japanlaw.org/l/323AC0000000025/art-66-53 **第一項** 内閣総理大臣は、登録申請者が次の各号のいずれかに該当するとき、又は登録申請書若しくはこれに添付すべき書類若しくは電磁的記録のうちに虚偽の記載若しくは記録があり、若しくは重要な事実の記載若しくは記録が欠けているときは、その登録を拒否しなければならない。 art-66-53/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1 If the applicant for registration falls under any of the following items, or if a written application for registration or an accompanying document, or electronic or magnetic record includes a false statement or record or lacks a statement or record of a material fact, the Prime Minister must refuse that registration: Ministry of Justice translation — Japanese Law Translation Database System **一** 第二十九条の四第一項第一号イからハまでのいずれかに該当する者 art-66-53/par-1/item-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-1 a person that falls under any of Article 29-4, paragraph (1), item (i), (a) through (c); Ministry of Justice translation — Japanese Law Translation Database System **二** 他に行う事業が公益に反すると認められる者 art-66-53/par-1/item-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-2 a person that conducts another business which is found to be contrary to the public interest; Ministry of Justice translation — Japanese Law Translation Database System **三** 高速取引行為に係る業務を適確に遂行するに足りる人的構成を有しない者 art-66-53/par-1/item-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-3 a person that does not have a personnel structure sufficient to perform the services related to high-speed trading in an appropriate manner; Ministry of Justice translation — Japanese Law Translation Database System **四** 高速取引行為に係る業務を適確に遂行するための必要な体制が整備されていると認められない者 art-66-53/par-1/item-4 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-4 a person that is found not to have in place the necessary system for performing services related to high-speed trading in an appropriate manner; Ministry of Justice translation — Japanese Law Translation Database System **五** 法人である場合においては、次のいずれかに該当する者 art-66-53/par-1/item-5 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5 if the applicant is a corporation, a person that falls under any of the following: Ministry of Justice translation — Japanese Law Translation Database System **イ** 役員のうちに次のいずれかに該当する者のある者 art-66-53/par-1/item-5/sub-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5/sub-1 a person that has an officer falling under any of the following persons: Ministry of Justice translation — Japanese Law Translation Database System **（１）** 心身の故障により高速取引行為に係る業務を適正に行うことができない者として内閣府令で定める者 art-66-53/par-1/item-5/sub-1/sub2-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5/sub-1/sub2-1 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5/sub-1/sub2-1 a person specified by Cabinet Office Order as being unable to properly perform services related to high-speed trading due to a mental or physical disorder; machine translation, not official **（２）** 第二十九条の四第一項第二号ロからリまでのいずれかに該当する者 art-66-53/par-1/item-5/sub-1/sub2-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5/sub-1/sub2-2 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5/sub-1/sub2-2 a person falling under any of Article 29-4, paragraph (1), item (ii), (b) through (i); machine translation, not official **ロ** 資本金の額又は出資の総額が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない者 art-66-53/par-1/item-5/sub-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5/sub-2 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5/sub-2 a person whose stated capital or total amount of contributions are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors; Ministry of Justice translation — Japanese Law Translation Database System **ハ** 外国法人であつて国内における代表者又は国内における代理人を定めていない者 art-66-53/par-1/item-5/sub-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5/sub-3 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5/sub-3 a foreign corporation that has not designated a domestic representative or a domestic agent; or Ministry of Justice translation — Japanese Law Translation Database System **ニ** 外国法人であつてその主たる営業所若しくは事務所又は高速取引行為に係る業務を行う営業所若しくは事務所の所在するいずれかの外国の第百八十九条第一項に規定する外国金融商品取引規制当局の同条第二項第一号の保証がない者 art-66-53/par-1/item-5/sub-4 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5/sub-4 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5/sub-4 a foreign corporation that has not been given the assurance referred to in Article 189, paragraph (2), item (i) by the foreign regulatory authority for financial instruments prescribed in paragraph (1) of that Article in a foreign country where its principal business office or office or its business office or office for services related to high-speed trading is located; Ministry of Justice translation — Japanese Law Translation Database System **六** 個人である場合においては、次のいずれかに該当する者 art-66-53/par-1/item-6 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-6 if the applicant is an individual, a person that falls under any of the following persons: Ministry of Justice translation — Japanese Law Translation Database System **イ** 第二十九条の四第一項第二号ロからチまで若しくはリ（同項第一号ハに規定する法律の規定に係る部分を除く。）又は前号イ（１）のいずれかに該当する者 art-66-53/par-1/item-6/sub-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-6/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-6/sub-1 a person that falls under any of Article 29-4, paragraph (1), item (ii), (b) through (h), or (i) (excluding the part that involves the provisions of Acts prescribed in item (i), (c) of that paragraph) or (a), 1. of the preceding item; Ministry of Justice translation — Japanese Law Translation Database System **ロ** 外国に住所を有する個人であつて国内における代理人を定めていない者 art-66-53/par-1/item-6/sub-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-6/sub-2 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-6/sub-2 an individual domiciled in a foreign country that has not designated a domestic agent; or Ministry of Justice translation — Japanese Law Translation Database System **ハ** 外国に住所を有する個人であつてその主たる営業所若しくは事務所又は高速取引行為に係る業務を行う営業所若しくは事務所の所在するいずれかの外国の第百八十九条第一項に規定する外国金融商品取引規制当局の同条第二項第一号の保証がない者 art-66-53/par-1/item-6/sub-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-6/sub-3 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-6/sub-3 an individual domiciled in a foreign country that has not been given the assurance referred to in Article 189, paragraph (2), item (i) by the foreign regulatory authority for financial instruments defined in paragraph (1) of that Article in a foreign country where the individual's principal business office or office or the individual's business office or office for conducting services related to high-speed trading is located; Ministry of Justice translation — Japanese Law Translation Database System **七** 純財産額（内閣府令で定めるところにより、資産の合計金額から負債の合計金額を控除して算出した額をいう。）が、公益又は投資者保護のため必要かつ適当なものとして政令で定める金額に満たない者 art-66-53/par-1/item-7 · https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-7 a person whose net assets (meaning the figure arrived at when the total amount of liabilities is deducted from the total amount of assets pursuant to the provisions of Cabinet Office Order) are less than the amount of money that is specified by Cabinet Order as necessary and appropriate in the public interest or for the protection of investors. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-66-53/par-1/item-1: 第二十九条の四第一項第一号 → 金融商品取引法 第二十九条の四第一項第一号 (Article 29-4, paragraph (1), item (i)), art-29-4/par-1/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1 - art-66-53/par-1/item-5/sub-1/sub2-2: 第二十九条の四第一項第二号 → 金融商品取引法 第二十九条の四第一項第二号 (Article 29-4, paragraph (1), item (ii)), art-29-4/par-1/item-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-2 - art-66-53/par-1/item-5/sub-4: 第百八十九条第一項 → 金融商品取引法 第百八十九条第一項 (Article 189, paragraph (1)), art-189/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-189/par-1 · https://japanlaw.org/l/323AC0000000025/art-189/par-1 - art-66-53/par-1/item-5/sub-4: 同条第二項第一号 → 金融商品取引法 第百八十九条第二項第一号 (Article 189, paragraph (2), item (i)), art-189/par-2/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-189/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-189/par-2/item-1 - art-66-53/par-1/item-6/sub-1: 第二十九条の四第一項第二号 → 金融商品取引法 第二十九条の四第一項第二号 (Article 29-4, paragraph (1), item (ii)), art-29-4/par-1/item-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-2 - art-66-53/par-1/item-6/sub-1: 同項第一号 → 金融商品取引法 第二十九条の四第一項第一号 (Article 29-4, paragraph (1), item (i)), art-29-4/par-1/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1 - art-66-53/par-1/item-6/sub-1: 前号 → 金融商品取引法 第六十六条の五十三第一項第五号 (Article 66-53, paragraph (1), item (v)), art-66-53/par-1/item-5 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-5 - art-66-53/par-1/item-6/sub-3: 第百八十九条第一項 → 金融商品取引法 第百八十九条第一項 (Article 189, paragraph (1)), art-189/par-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-189/par-1 · https://japanlaw.org/l/323AC0000000025/art-189/par-1 - art-66-53/par-1/item-6/sub-3: 同条第二項第一号 → 金融商品取引法 第百八十九条第二項第一号 (Article 189, paragraph (2), item (i)), art-189/par-2/item-1 — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-189/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-189/par-2/item-1 ## Cited by 9 provisions cite this one. No official source publishes this direction. - 金融商品取引法 第二十九条の二第二項第一号（登録の申請） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-2/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-29-2/par-2/item-1 - 金融商品取引法 第二十九条の四第一項第一号の二（登録の拒否） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-1-2 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-1-2 - 金融商品取引法 第二十九条の四第一項第七号（登録の拒否） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-29-4/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-29-4/par-1/item-7 - 金融商品取引法 第六十六条の五十一第二項第一号（登録の申請） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-51/par-2/item-1 · https://japanlaw.org/l/323AC0000000025/art-66-51/par-2/item-1 - 金融商品取引法 第六十六条の五十二第一項（登録簿への登録） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-52/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-52/par-1 - 金融商品取引法 第六十六条の五十三第一項第六号イ（登録の拒否） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-53/par-1/item-6/sub-1 · https://japanlaw.org/l/323AC0000000025/art-66-53/par-1/item-6/sub-1 - 金融商品取引法 第六十六条の六十三第一項第一号（監督上の処分） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-63/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-66-63/par-1/item-1 - 金融商品取引法 第六十六条の六十三第二項（監督上の処分） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-63/par-2 · https://japanlaw.org/l/323AC0000000025/art-66-63/par-2 - 金融商品取引法 第六十六条の七十第一項（内閣府令への委任） — https://japanlaw.org/en/financial-instruments-and-exchange-act/art-66-70/par-1 · https://japanlaw.org/l/323AC0000000025/art-66-70/par-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-20261023T033157-012, 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