# 金融商品取引法 / Financial Instruments and Exchange Act — 附　則 (Supplementary Provisions) - 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: 附　則 (Supplementary Provisions) — address `suppl-4151-54` - Text in force since: 2026-08-12 - URL (the page that opens at this provision): https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/suppl-4151-54 - 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. --- ## 附　則 平成一五年五月三〇日法律第五四号 suppl-4151-54 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54 ### 第一条（施行期日） — Effective Date caption: machine translation, not official suppl-4151-54/art-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-1 **第一項** この法律は、平成十六年四月一日から施行する。ただし、次の各号に掲げる規定は、当該各号に定める日から施行する。 suppl-4151-54/art-1/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-1/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-1/par-1 This Act comes into effect on April 1, 2004; provided, however, that the provisions set forth in the following items come into effect on the dates specified respectively in those items: machine translation, not official **一** 第一条中証券取引法第二十七条の三十の三第四項及び第二十七条の三十の七第一項の改正規定、同条に一項を加える改正規定、同法第二十七条の三十の八の改正規定、同条に一項を加える改正規定並びに同法第百九十八条の二第一項の改正規定、第三条中投資信託及び投資法人に関する法律第三十八条第五項及び第百二十九条第四項の改正規定、第四条中有価証券に係る投資顧問業の規制等に関する法律第十七条第一項の改正規定並びに第五条中金融先物取引法第十二条第三項、第三十四条の十六第一項及び第九十条の六第一項の改正規定　この法律の公布の日 suppl-4151-54/art-1/par-1/item-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-1/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-1/par-1/item-1 the provisions of Article 1 amending Article 27-30-3, paragraph (4) and Article 27-30-7, paragraph (1) of the Securities and Exchange Act, the provisions adding one paragraph to Article 27-30-7 of that Act, the provisions amending Article 27-30-8 of that Act, the provisions adding one paragraph to Article 27-30-8 of that Act, and the provisions amending Article 198-2, paragraph (1) of that Act; the provisions of Article 3 amending Article 38, paragraph (5) and Article 129, paragraph (4) of the Act on Investment Trusts and Investment Corporations; the provisions of Article 4 amending Article 17, paragraph (1) of the Act on Regulation of Securities Investment Advisory Business; and the provisions of Article 5 amending Article 12, paragraph (3), Article 34-16, paragraph (1), and Article 90-6, paragraph (1) of the Financial Futures Trading Act: the date of promulgation of this Act; machine translation, not official **二** 第一条中証券取引法第二条第八項、第二十七条の二第四項、第二十七条の二十八第三項及び第三十二条第三項の改正規定、同条第五項の改正規定（「、銀行」の下に「、協同組織金融機関」を加える部分に限る。）、同条第六項、同法第五十四条第一項第四号及び同法第六十五条第一項の改正規定、同条第二項の改正規定（同項第一号の改正規定を除く。）並びに同法第六十五条の二第一項、同条第三項、同条第九項、第六十五条の三、第百六十六条第五項及び第二百一条第二項の改正規定、第二条中外国証券業者に関する法律第二条第一号の改正規定、同法第十四条第一項の改正規定（「のうち銀行」の下に「、協同組織金融機関」を加える部分に限る。）、同法第二十二条第一項第四号の改正規定（「銀行」の下に「、協同組織金融機関」を加える部分に限る。）及び同項第五号の改正規定、第六条中商工組合中央金庫法第二十八条第一項第七号及び第十九号の改正規定、同条第六項を削る改正規定並びに同条第三項の次に一項を加える改正規定、第七条中農業協同組合法第十条第六項第三号の次に一号を加える改正規定、同項第六号の二、同項第十五号及び同条第十二項の改正規定、同条第十三項及び第十六項を削る改正規定並びに同条第九項の次に二項を加える改正規定、第八条中水産業協同組合法第十一条第三項第三号の次に一号を加える改正規定、同項第六号の改正規定、同法第八十七条第四項第三号の次に一号を加える改正規定、同法第九十三条第二項第三号の次に一号を加える改正規定及び同法第九十七条第三項第三号の次に一号を加える改正規定、第九条中中小企業等協同組合法第九条の八第二項第七号の改正規定、第十条中信用金庫法第五十三条第三項第二号及び第五十四条第四項第二号の改正規定、第十一条中労働金庫法第五十八条第二項第八号及び第五十八条の二第一項第六号の改正規定、第十二条中農林中央金庫法第五十四条第四項第二号の改正規定、第十三条の規定、附則第十六条中租税特別措置法（昭和三十二年法律第二十六号）第三十七条の十一第一項第一号、第三十七条の十四の二第一項第一号及び第四十一条の十四第三項第二号の改正規定並びに附則第十七条中所得税法（昭和四十年法律第三十三号）第二百二十四条の三第一項第二号の改正規定　公布の日から起算して一月を経過した日 suppl-4151-54/art-1/par-1/item-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-1/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-1/par-1/item-2 the provisions in Article 1 amending Article 2, paragraph (8), Article 27-2, paragraph (4), Article 27-28, paragraph (3), and Article 32, paragraph (3) of the Securities and Exchange Act, the provisions amending paragraph (5) of that Article (limited to the part adding ", cooperative financial institutions" after ", banks"), the provisions amending paragraph (6) of that Article, Article 54, paragraph (1), item (iv) of that Act, and Article 65, paragraph (1) of that Act, the provisions amending paragraph (2) of that Article (excluding the provisions amending item (i) of that paragraph), and the provisions amending Article 65-2, paragraph (1), paragraph (3), and paragraph (9) of that Act, Article 65-3, Article 166, paragraph (5), and Article 201, paragraph (2) of that Act, the provisions in Article 2 amending Article 2, item (i) of the Act on Foreign Securities Firms, the provisions amending Article 14, paragraph (1) of that Act (limited to the part adding ", cooperative financial institutions" after "of which banks"), the provisions amending Article 22, paragraph (1), item (iv) of that Act (limited to the part adding ", cooperative financial institutions" after "banks"), and the provisions amending item (v) of that paragraph, the provisions in Article 6 amending Article 28, paragraph (1), items (vii) and (xix) of the Shoko Chukin Bank Act, the provisions deleting paragraph (6) of that Article, and the provisions adding one paragraph after paragraph (3) of that Article, the provisions in Article 7 adding one item after Article 10, paragraph (6), item (iii) of the Agricultural Co-operatives Act, the provisions amending item (vi)-2 and item (xv) of that paragraph and paragraph (12) of that Article, the provisions deleting paragraphs (13) and (16) of that Article, and the provisions adding two paragraphs after paragraph (9) of that Article, the provisions in Article 8 adding one item after Article 11, paragraph (3), item (iii) of the Fishery Industry Cooperative Act, the provisions amending item (vi) of that paragraph, the provisions adding one item after Article 87, paragraph (4), item (iii) of that Act, the provisions adding one item after Article 93, paragraph (2), item (iii) of that Act, and the provisions adding one item after Article 97, paragraph (3), item (iii) of that Act, the provisions in Article 9 amending Article 9-8, paragraph (2), item (vii) of the Small and Medium-Sized Enterprise Cooperatives Act, the provisions in Article 10 amending Article 53, paragraph (3), item (ii) and Article 54, paragraph (4), item (ii) of the Shinkin Bank Act, the provisions in Article 11 amending Article 58, paragraph (2), item (viii) and Article 58-2, paragraph (1), item (vi) of the Labor Bank Act, the provisions in Article 12 amending Article 54, paragraph (4), item (ii) of the Norinchukin Bank Act, the provisions of Article 13, the provisions in Article 16 of the Supplementary Provisions amending Article 37-11, paragraph (1), item (i), Article 37-14-2, paragraph (1), item (i), and Article 41-14, paragraph (3), item (ii) of the Act on Special Measures Concerning Taxation (Act No. 26 of 1957), and the provisions in Article 17 of the Supplementary Provisions amending Article 224-3, paragraph (1), item (ii) of the Income Tax Act (Act No. 33 of 1965): the day on which one month has elapsed from the date of promulgation. machine translation, not official ### 第二条（証券会社等の主要株主に関する経過措置） — Transitional Measures Concerning Major Shareholders of Securities Companies, etc. caption: machine translation, not official suppl-4151-54/art-2 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-2 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-2 **第一項** この法律の施行の際現に証券会社（第一条の規定による改正後の証券取引法（以下「新証券取引法」という。）第二条第九項に規定する証券会社をいう。以下この条において同じ。）の主要株主（新証券取引法第二十八条の四第二項に規定する主要株主をいう。以下この条において同じ。）又は証券会社を子会社（同条第三項に規定する子会社をいう。）とする持株会社（私的独占の禁止及び公正取引の確保に関する法律（昭和二十二年法律第五十四号）第九条第五項第一号に規定する持株会社をいう。）の主要株主（以下この条において「証券会社等の主要株主」という。）に該当する者は、この法律の施行の日（以下「施行日」という。）において当該証券会社等の主要株主となったものとみなす。 suppl-4151-54/art-2/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-2/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-2/par-1 A person who, at the time this Act comes into effect, is a major shareholder of a securities company (meaning a securities company prescribed in Article 2, paragraph (9) of the Securities and Exchange Act as amended by the provisions of Article 1 (hereinafter referred to as the "New Securities and Exchange Act"); the same applies hereinafter in this Article) (meaning a major shareholder prescribed in Article 28-4, paragraph (2) of the New Securities and Exchange Act; the same applies hereinafter in this Article), or a major shareholder of a holding company (meaning a holding company prescribed in Article 9, paragraph (5), item (i) of the Act on Prohibition of Private Monopolization and Maintenance of Fair Trade (Act No. 54 of 1947)) that has a securities company as its subsidiary company (meaning a subsidiary company prescribed in Article 28-4, paragraph (3) of the New Securities and Exchange Act) (hereinafter in this Article referred to as a "major shareholder of a securities company, etc."), is deemed to have become that major shareholder of a securities company, etc. on the day this Act comes into effect (hereinafter referred to as "the effective date"). machine translation, not official ### 第三条（外務員に対する監督上の処分に関する経過措置） — Transitional Measures Concerning Supervisory Dispositions against Sales Representatives caption: machine translation, not official suppl-4151-54/art-3 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-3 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-3 **第一項** 新証券取引法第六十四条の五第一項（第三号に限る。）の規定は、施行日以後の行為について適用する。 suppl-4151-54/art-3/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-3/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-3/par-1 The provisions of Article 64-5, paragraph (1) (limited to item (iii)) of the New Securities and Exchange Act apply to acts on or after the effective date. machine translation, not official ### 第三十八条（罰則の適用に関する経過措置） — Transitional Measures Concerning the Application of Penal Provisions caption: machine translation, not official suppl-4151-54/art-38 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-38 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-38 **第一項** この法律の施行前にした行為に対する罰則の適用については、なお従前の例による。 suppl-4151-54/art-38/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-38/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-38/par-1 With regard to the application of penal provisions to acts committed before this Act comes into effect, the provisions then in force continue to govern. machine translation, not official ### 第三十九条（その他の経過措置の政令への委任） — Delegation of Other Transitional Measures to Cabinet Order caption: machine translation, not official suppl-4151-54/art-39 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-39 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-39 **第一項** この法律に規定するもののほか、この法律の施行に伴い必要な経過措置は、政令で定める。 suppl-4151-54/art-39/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-39/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-39/par-1 Beyond what is provided for in this Act, transitional measures necessary in connection with the enforcement of this Act are specified by Cabinet Order. machine translation, not official ### 第四十条（検討） — Review caption: machine translation, not official suppl-4151-54/art-40 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-40 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-40 **第一項** 政府は、この法律の施行後五年を経過した場合において、この法律による改正後の規定の実施状況、社会経済情勢の変化等を勘案し、この法律による改正後の金融諸制度について検討を加え、必要があると認めるときは、その結果に基づいて所要の措置を講ずるものとする。 suppl-4151-54/art-40/par-1 · https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-40/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-40/par-1 Once five years have passed after this Act comes into effect, the government is to take into account the implementation status of the provisions amended by this Act and the changes in socioeconomic conditions, review the financial system amended by this Act, and take the required measures based on the results of the review if it finds this to be necessary. machine translation, not official --- ## Cites - suppl-4151-54/art-2/par-1: この条 → 金融商品取引法 附則第二条 (Supplementary Provisions, Article 2), suppl-4151-54/art-2 — https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-2 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-2 - suppl-4151-54/art-2/par-1: 私的独占の禁止及び公正取引の確保に関する法律（昭和二十二年法律第五十四号）第九条第五項第一号 → e-Gov law 322AC0000000054, 第九条第五項第一号 (Article 9, paragraph (5), item (i)), art-9/par-5/item-1 — not held in this collection ## Cited by 1 provision cites this one. No official source publishes this direction. - 金融商品取引法 附則第二条第一項（証券会社等の主要株主に関する経過措置） — https://japanlaw.org/en/financial-instruments-and-exchange-act/suppl-4151-54/art-2/par-1 · https://japanlaw.org/l/323AC0000000025/suppl-4151-54/art-2/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-20261023T035921-035, translated 2026-10-23 - claude-sonnet-5-5 — Machine translation, batch financial-instruments-and-exchange-act-20261023T035921-036, 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