# 金融商品取引法 / Financial Instruments and Exchange Act — 第二百七条の三 (Article 207-3) - 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: 第二百七条の三 (Article 207-3) — address `art-207-3` - Text in force since: 2026-08-12 - URL (the page that opens at this provision): https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3 - Permanent URL (e-Gov law ID, never renamed): https://japanlaw.org/l/323AC0000000025/art-207-3 - 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. --- ### 第二百七条の三 art-207-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3 · https://japanlaw.org/l/323AC0000000025/art-207-3 **第一項** 認可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又は金融商品取引所持株会社の役員（仮理事及び仮監事並びに仮取締役、仮会計参与、仮監査役及び仮執行役を含む。）は、次の場合においては、百万円以下の過料に処する。 art-207-3/par-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1 In the following cases, the officer (including a provisional board member, provisional auditor, provisional director, provisional accounting advisor, provisional company auditor, and provisional executive officer) of an authorized financial instruments firms association, financial instruments exchange, self-regulatory organization prescribed in Article 85, paragraph (1), or financial instruments exchange holding company is sentenced to a civil fine of not more than one million yen: Ministry of Justice translation — Japanese Law Translation Database System **一** 第七十三条又は第百五十三条（第百五十三条の四において準用する場合を含む。）の規定による命令に違反したとき。 art-207-3/par-1/item-1 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-1 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-1 the officer violates an order under the provisions of Article 73 or Article 153 (including as applied mutatis mutandis pursuant to Article 153-4); Ministry of Justice translation — Japanese Law Translation Database System **二** 第百一条の八に規定する資本準備金の額を計上しなかつたとき。 art-207-3/par-1/item-2 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-2 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-2 the officer fails to record the amount of capital reserves prescribed in Article 101-8; Ministry of Justice translation — Japanese Law Translation Database System **三** 第百一条の十第一項又は第四項の規定による通知をしなかつたとき。 art-207-3/par-1/item-3 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-3 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-3 the officer fails to give a notice under the provisions of Article 101-10, paragraph (1) or (4); Ministry of Justice translation — Japanese Law Translation Database System **四** 第百一条の二十第一項の規定による登記をすることを怠つたとき。 art-207-3/par-1/item-4 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-4 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-4 the officer fails to complete the registration under the provisions of Article 101-20, paragraph (1); Ministry of Justice translation — Japanese Law Translation Database System **五** 第百二条の三十一第一項又は第百五条の十六第一項の規定に違反して、議事録を備え置かなかつたとき。 art-207-3/par-1/item-5 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-5 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-5 the officer violates the provisions of Article 102-31, paragraph (1) or Article 105-16, paragraph (1) in failing to keep minutes; Ministry of Justice translation — Japanese Law Translation Database System **六** 第百五条の五第一項の規定に違反して、自主規制委員の過半数を社外取締役から選定しなかつたとき。 art-207-3/par-1/item-6 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-6 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-6 the officer violates the provisions of Article 105-5, paragraph (1) in failing to select a majority of the members of the self-regulatory committee from among outside directors; or Ministry of Justice translation — Japanese Law Translation Database System **七** 第百五条の十八の規定による名簿を公衆の縦覧に供することを怠つたとき。 art-207-3/par-1/item-7 · https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-207-3/par-1/item-7 · https://japanlaw.org/l/323AC0000000025/art-207-3/par-1/item-7 the officer fails to make the list under the provisions of Article 105-18 available for public inspection. Ministry of Justice translation — Japanese Law Translation Database System --- ## Cites - art-207-3/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/ja/financial-instruments-and-exchange-act/art-85/par-1 · https://japanlaw.org/l/323AC0000000025/art-85/par-1 - art-207-3/par-1/item-1: 第七十三条 → 金融商品取引法 第七十三条 (Article 73), art-73 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-73 · https://japanlaw.org/l/323AC0000000025/art-73 - art-207-3/par-1/item-1: 第百五十三条 → 金融商品取引法 第百五十三条 (Article 153), art-153 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-153 · https://japanlaw.org/l/323AC0000000025/art-153 - art-207-3/par-1/item-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/ja/financial-instruments-and-exchange-act/art-153-4 · https://japanlaw.org/l/323AC0000000025/art-153-4 - art-207-3/par-1/item-2: 第百一条の八 → 金融商品取引法 第百一条の八 (Article 101-8), art-101-8 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-101-8 · https://japanlaw.org/l/323AC0000000025/art-101-8 - art-207-3/par-1/item-3: 第百一条の十第一項 → 金融商品取引法 第百一条の十第一項 (Article 101-10, paragraph (1)), art-101-10/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-101-10/par-1 · https://japanlaw.org/l/323AC0000000025/art-101-10/par-1 - art-207-3/par-1/item-3: 第四項 → 金融商品取引法 第百一条の十第四項 (Article 101-10, paragraph (4)), art-101-10/par-4 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-101-10/par-4 · https://japanlaw.org/l/323AC0000000025/art-101-10/par-4 - art-207-3/par-1/item-4: 第百一条の二十第一項 → 金融商品取引法 第百一条の二十第一項 (Article 101-20, paragraph (1)), art-101-20/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-101-20/par-1 · https://japanlaw.org/l/323AC0000000025/art-101-20/par-1 - art-207-3/par-1/item-5: 第百二条の三十一第一項 → 金融商品取引法 第百二条の三十一第一項 (Article 102-31, paragraph (1)), art-102-31/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-102-31/par-1 · https://japanlaw.org/l/323AC0000000025/art-102-31/par-1 - art-207-3/par-1/item-5: 第百五条の十六第一項 → 金融商品取引法 第百五条の十六第一項 (Article 105-16, paragraph (1)), art-105-16/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-105-16/par-1 · https://japanlaw.org/l/323AC0000000025/art-105-16/par-1 - art-207-3/par-1/item-6: 第百五条の五第一項 → 金融商品取引法 第百五条の五第一項 (Article 105-5, paragraph (1)), art-105-5/par-1 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-105-5/par-1 · https://japanlaw.org/l/323AC0000000025/art-105-5/par-1 - art-207-3/par-1/item-7: 第百五条の十八 → 金融商品取引法 第百五条の十八 (Article 105-18), art-105-18 — https://japanlaw.org/ja/financial-instruments-and-exchange-act/art-105-18 · https://japanlaw.org/l/323AC0000000025/art-105-18 --- ## 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 - This site's parser, version 212 — 金融商品取引法 — structure, counts, cross-references and defined terms, computed 2026-10-22